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Senior CASS Associate

£35000 - £55000 per annum

FourthLine are currently recruiting on behalf of a client who are looking for a CASS Reconciliations Associate.
The role responsibilities include:

  • Performing daily internal and external reconciliation.

  • Preparing instructions and monitoring cash transfers for transaction accounts for multiple asset classes.

  • Client reporting including trade confirmations, statement of holdings and monthly statements.

In order to qualify for the role requirements include:

  • Minimum 2 years' experience in financial services

  • Highly developed analytical and problem solving skills.

  • Knowledge in OTC financial products, Client Assets (CASS) rules, EMIR and MIFID


Managing this Role


This job has now been filled but you may be interested in:


Trading & Wealth Legal Counsel

£80000 - £100000 per annum

A fantastic opportunity has arisen for an experience trading lawyer to work within the legal team of one of the fastest growing fintech companies in the world. The multi-faceted role includes providing expert trading and investment legal support to a variety of clients to help expand and cultivate working relationships and ensure that appropriate regulatory policies, procedures and controls are established and maintained.
This role offers a competitive rate and is based in London.
Role and responsibilities:

  • Helping to structure and launch a trading-platform in the UK.
  • Provide sound advice and support to senior management and business partners.
  • Analyse changes to regulatory requirements and apply that to the company
  • Draft agreements, policies and procedures, disclosures, account documentation and website materials
  • Review marketing materials in relation to financial promotions

Skills and Attributes Required

  • Excellent written and verbal communication skills.
  • 3 years PQE experience in commercial and contracting work.
  • Strong knowledge of legal and regulatory requirements (MiFID II)
  • Past experience in retail focussed products is desirable
  • Innovative approach to meeting client's needs.
  • Strong financial and commercial awareness.
  • Excellent organisation and time management skills.
  • Able to meet tight deadlines and thrives under pressure.


Regulatory Authorisations Manager

FourthLine are exclusively representing an up and coming financial technology provider as they look to hire a Regulatory Authorisations Manager to their expanding London operation. The company has gone from strength to strength over the past two years offering services such as peer to peer lending, pre-paid card services, currency exchange and much more. They continue to grow across Europe and have plans to offer services in North America.
In order to support the launch of new retail trading products cross jurisdictionally, they are looking to hire someone to own and manage all their regulatory authorisation processes. Joining the Global Licensing team, you will also be responsible for all of the firms banking policies and procedures.
You will need to have knowledge and experience of:

  • Drafting banking authorisation applications or related applications that have been granted by applicable regulators in the UK, EEA and/or US. Experience of retail investments authorisations would be preferable.
  • Excellent knowledge of UK/EEA and/or US banking regulation.
  • Experience working for a regulatory / compliance consultancy, legal firm, or an investment brokerage would be ideal.
  • Project experience and ideally knowledge of change management process tools.
  • Able to prioritise, work to tight deadlines and be comfortable working in a fast-paced environment.
  • Logical and analytical approach. Must be hands on and solutions focused.

This is a great time to join the firm as they continue to grow. An excellent benefits package on offer as well as a very appealing bonus in the form of share options.
To find out more about the firm and the role, please contact Robert Morrison on 0203 800 1547


Compliance Manager

FourthLine are working closely with a client of ours; a leading investment management firm in London who are looking to bring in a Compliance Manager on a 3-month contract, to start immediately to support the compliance monitoring team.

Job Type: Contract
Duration: 3 Months
Location: London
Start Date: Immediately
Rate: Attractive Day Rate

Key Responsibilities:

  • Assist with the design, implementation and delivery of the risk-based Compliance Monitoring Programme across all regulated firms within the business.
  • Carry out effective surveillance and monitoring reviews against identified regulatory issues and risks.
  • Provide MI to senior management and committees.
  • Take lead on specifically allocated compliance projects and represent the team in meetings.
  • Be able to work with other members of the team providing support and guidance on Compliance and Risk matters.

Key Skills Required:

  • Minimum 5 years' experience working within the Financial Services with specific focus on Investment Management.
  • Previous experience on taking lead on a compliance function.
  • Robust knowledge of Retail and Wholesale regulatory Requirements particularly within an asset management context.
  • Pension experience would be preferable but not imperative.
  • Ability to hit the ground running working independently and within a team.
  • Strong attention to detail particularly with report writing and good analytical skills.
  • Real Asset Experience is desirable.

If you have the relevant experience and would like to discuss the role in more detail, please send an up-to-date CV


Regulatory Reporting Manager

FourthLine are currently recruiting for a boutique wealth manager who are looking for a Regulatory Reporting Manager.
The role consists of:

  • Manage a team of 2 Regulatory Reporting Analysts.

  • Oversight of MiFID II, EMIR, Trade & Transaction Reporting.

  • Attend external Reporting forums/committee's.

In order to qualify for the role, my client is looking for candidates who have/are:

  • Extensive experience of managing regulatory reporting team is desirable.
  • Strong technical knowledge of regulations including but not limited to EMIR & MiFID II.
  • Previous experience of working within an asset manager is essential.

If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.


Compliance Analyst

I am currently working with a London based investment management firm who are currently looking for a Compliance Analyst to join their existing team on a permanent basis. Looking to pay around £50,000
The overall role would be focusing on:

  • Review of risk framework and register
  • Oversight of operational risk
  • Presentation of issues to Operational Risk Committee
  • Monitoring the liquidity, market, counterparty credit and investment risks
  • Restrictions and Exposures Monitoring
  • Preparation and submission of regulatory reports to FCA and SEC
  • Performing elements of the Compliance Monitoring Programme, which includes the monitoring of operations, trading and best execution.
  • Review and sign-off of Financial Promotions.
  • Administration, including preparation and maintenance of the Compliance policies and procedures.

The ideal candidate will have:

  • Professional risk qualifications, and/or be degree-educated.
  • Experience of UK financial services compliance, in an asset management or funds environment.
  • Knowledge of AIFMD Risk Management requirements and processes.
  • Knowledge and experience of regulatory reporting.
  • Good knowledge of financial promotion rules


Project Manager/Business Analyst

Business Analyst/PM
£competitive day rate DOE
Initially 4 months

We are supporting a leading Investment Management client who are looking for the support of a strong Business Analyst/Project Manager for the 2nd phase of a key operational project.

This successful candidate will possess the following:

- A strong track record of delivering change initiatives, ideally within a regulatory or compliance based environment
- A solid understanding of CASS regulations and connected change
- The ability to communicate with senior teams internally, and manage change interactions with the third party providers of the client.
- Self starter, problem solver and with a high degree analysis, able to identify potential issues and create fixes removing risks
- A history in Financial Services, ideally Investment Management however other areas of the Capital Markets considered.


Compliance Monitoring Manager

Compliance Monitoring Manager - Asset Management - Perm

An Asset Management company in the Centre of London are looking to Bring in a Compliance Monitoring Manager to run this side of Compliance.

This is a Permanent role
Role: Compliance Monitoring Manager
Salary: £60,000 - £70,000
Location: London

This role will be reporting directly to the Head of Compliance you will gain valuable experience by working very closely with key stakeholders throughout the business. The main responsibilities of the role will be running the annual compliance monitoring plan and ensuring that trades keep in line with Market Abuse Regulations (MAR).

The company itself has a strong compliance culture and the department works with the business in a cohesive manner. With this they are looking for someone that is collaborative in nature and will share with colleagues whilst being open and transparent. As this is a smaller business, they are looking for someone that will integrate into the culture well and can be adaptable at times.

Key Requirements

  • Experience updating a Compliance Monitoring Plan (CMP)
  • Experience dealing with a wide variety of stakeholders effectively.
  • Financial crime experience around AML would be beneficial.
  • Knowledge of MAR.
  • Conducting risk-based monitoring reviews, both routine and thematic.
  • Other areas of Compliance experience would be valued as there will be ad hoc projects that you will be asked to assist with.


Process Risk & Controls Manager

Process Risk & Controls Manager - Fixed Term Contract 9 Months
An Asset Management company in London are looking to recruit a Compliance Advisory Officer to join the growing department.
This is a Fixed Term Contract
Role: Process Risk & Controls Manager
Salary: £70,000 - £80,000
Location: London

The role will be reporting directly to the Group Head of Risk and work with all key stakeholders across the business. The successful candidate will join the Risk team for the business designing and producing risk registers. These registers will help the business capture key material risks associated with every step of the investment process. This function will ensure that the business evaluates upcoming regulatory risks and ensures that the business complies with new FCA regulations.

Key to this role will be your excellent communication skills and ability to influence at senior management level as well as possessing the business acumen and understanding the full risk and controls landscape across all areas of the business. There is a scope for this role becoming a permanent position after the 9 months has been completed.

Key Requirements

  • Someone with an Asset Management / Investments background ideal, but open to Life, wider Banking experience.
  • The ability to scope out and lead the project autonomously.
  • Background in ERM / Op Risk and Controls with experience of designing or supporting to design effective risk registers and control frameworks.
  • Excellent stakeholder management and influencing skills, ability to have strong conversations.
  • Some knowledge of CASS would be ideal, but not essential.
  • Open to traveling between Bristol and London.
  • If possible, some financial risk experience, or experience working with actuaries in relation to operational risk capital requirements.


Regulatory Reporting Senior Analyst

FourthLine are currently recruiting for a Regulatory Reporting Senior Analyst based in London.
The role consists of:
  • On-site support of clients.
  • Liaise with clients to determine their regulatory reporting software needs.

In order to qualify for the role, my client is looking for candidates who have/are:
  • 2 years Regulatory Reporting experience.
  • Interest in working in a client facing role.

If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.


Head Of Compliance

We are looking for a Compliance Head based in London who has following experience

  • Handle CF10 and CF11 Role
  • Understand Client Money and Client Custody
  • Understand Broking, Investment Advisory, Investment Management business
  • Understand Financial Accounts and correlate compliance rules with financial information
  • Implement new compliance requirements
  • Upgrading Compliance Manual
  • Liaising with FCA
  • Providing training to staff members
  • Submitting FCA reports
  • Understand Gabriel, COREP and Connect System

The company, a global wealth and investment management firm are looking for a self motivated and passionate individual who can oversee their compliance function as a whole. This is a great opportunity for someone looking to undertake a management position with the scope to build the compliance department from scratch.

CASS Assurance Manager

FourthLine are currently recruiting on behalf of a client who is looking for a CASS Assurance Manager.
The role responsibilities include:

  • Act as the CASS SME for the business.
  • Assisting with the annual CASS audit.
  • Investigation around CASS & TR breaches.

In order to qualify for the role requirements include:

  • Strong knowledge of the CASS rules.
  • Experience of working in an Operations/Middle Office team.
  • Experience in an Oversight role.

If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.


Market Surveillance Business Analyst/Project Manager Hybrid

ROLE: Market Surveillance Business Analyst / Project Manager Hybrid
LENGTH: 6 Months
DAY RATE: £500p/d

Fourthline are working with a Brokerage to bring in a Business Analyst/Project Manager who has experience working within Investment Banking Compliance.

  • We are looking for someone capable of working with Business managers and Compliance officers to implement the project within 1st and 2nd Lines of Defence, assessing trader behaviour, risk and controls.
  • Strong experience working within Investment Banking/Brokerage as a functional Business Analyst
  • Strong familiarity and working experience of Market Abuse Regulation (MAR)
  • Excel experience in essential
  • You will be working closely with users and will be expected to analyse and construct data, and write the functional requirements

If you have the relevant experience and are interested, please apply below. Please feel free to share the job description with those who you know that may be interested.




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