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CASS and MI Team Leader

1647
£40000 - £40000

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Managing this Role

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In-house Privacy Counsel

A global law firm are looking for a Senior In-House Counsel to head up their internal Data Protection Office.

The ideal professional would be a lawyer from a similar organisation that has worked within a risk and compliance function with a strong focus on data privacy.

This is a FTC for 12 months to join the firm on a full-time basis in their Leeds office. There is the option to work on a part-time basis or have flexible working hours.


You will be working with the lawyers and other colleagues around the business to develop and implement effective policies and procedures and ensure compliance with new legislative and regulatory requirements.


Day to day of the role..

  • Ensure that all of the firm's legal and regulatory obligations are met and high standards are maintained across the business.
  • Advising the firm on various risk and compliance issues, including SRA and FCA regulatory compliance, data protection, business continuity, quality management systems, complaints and financial crime.
  • Manage the firm's Data Protection Office. The Data Protection Office manages all data subject right requests, data privacy impact assessments and data breaches.
  • Respond to day to day enquiries from the firm, clients and other third parties on confidentiality, data protection and information security.
  • Lead the ongoing development and roll-out training to the wider business.
  • Manage the review of/updates to the firm's policies, including working with others within to facilitate the development of new policies and guidance notes where necessary.
  • Assisting colleagues on projects to manage risk across the firm's network of offices (UK/International).
  • Actively participating in International Operations Team ("IO") initiatives, working with colleagues across IO to ensure the needs of the business are met.
  • Researching and advising on local law and local regulatory requirements, in respect of the firm's network of offices and assisting in the building of a due diligence structure to support the intended growth plans for the firm.


Skills and experience..

  • Strong technical lawyer.
  • Strong privacy, commercial and financial awareness, demonstrable when providing technical advice.
  • Adopts a pragmatic and innovative approach to meeting client/business needs.
  • Experience of undertaking international projects and familiarity with international governance structures.
  • A passion for data protection, risk and compliance.
  • Proven ability to think independently, contribute to projects and confidently engage with and influence colleagues at all levels.
  • Experience of budget ownership.
  • Excellent level of IT and systems literacy.


Key competencies:

  • Ability to work with minimum supervision, in an autonomous and independent way.
  • A lively, energetic personality and enthusiasm for providing excellent client service.
  • A tenacious yet practical approach to problem solving.
  • Excited and challenged by the pace and demands of a corporate environment.
  • High degree of commercial awareness, with the ability to contribute to the wider business agenda.
  • A range of influencing skills, personal impact and communication skills that will ensure success and command instant credibility at all levels of the organisation.
  • A high degree of flexibility and responsiveness in approach to work.
  • Service-orientated with an ability to understand the varied issues facing the offices across the firm's network and provide possible solutions to challenges.
  • Resilient under pressure and willing to work with the challenges brought by change.


Please do send across your CV if this role has tempted your interest and I will give you a call if you have the desired experience!

Privacy Specialist

Would you like to be the Privacy Specialist at a consumer driven firm?


This is a newly appointed opportunity for a professional to join a global privacy team that have been building out their function across jurisdictions.


The team have been working hard to build a strong compliance culture and now they would like to welcome a Privacy Specialist to join their global business venture where data is at the forefront of their journey.


The company are always seeking to improve the customer experience in the fast paced world of consumer goods and with this there is a need for an innovative Privacy Specialist to join the team.


The day and the life of the chosen professional..

  • Work with teams across the business to ensure that data protection risks are identified and all personal information processing activities comply with the GDPR and national regulations.
  • Liaise with business units to build an understanding of privacy risks related to their data processing and advise on how to mitigate risks.
  • Embed Privacy by Design into business processes.
  • Work with the team to carry out training and awareness, review policies and procedures, complete testing and monitoring to ensure compliance with the firm's privacy framework.
  • Insert privacy language into contracts with third party providers.
  • Provide assessments and documentation of privacy risks with proposed plans to mitigate the risks.
  • Manage the response to privacy incidents. Process and complete SARs and DPIA.
  • Liase with the regulator and notify any data breaches through the set up breach processes.

What you shall need..

  • Strong experience in a previous privacy, legal or compliance function.
  • Capability to work autonomously and provide privacy advice to a complex organisation.
  • Strong understanding of the GDPR.
  • Experience working in a matrix environment within a large organisation.
  • Ability to engage with a wide range of business units.

If you would like to know more about the role, please apply with your updated CV and we can arrange a call to see whether this is the right opportunity for you.

CASS Monitoring Manager


FourthLine are currently recruiting for a leading Financial Services Firm who are looking for a CASS Monitoring Manager.
The role consists of:
  • Monitoring of the 1st line CASS team.
  • Communicate key findings to the risk owners, risk colleagues and at the relevant CASS committees and Boards.
  • Support the CASS Senior Manager to ensure that best practice is maintained throughout the business.

In order to qualify for the role, my client is looking for candidates who have/are:
  • Experience with working in a monitoring team.
  • Highly organised, confident, decisive and enthusiastic self-starter.
  • Knowledge of CASS is desirable.
  • Good attention to detail.

Based in the North East - Permanent Role - Competitive Salary Benefits.
If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV

Interim Head of Compliance

FourthLine are currently working with a Consumer Credit company who are looking to add an Interim Head of Compliance to the business.

This person will be responsible for taking the lead role in the building of a new team as the company launch new products and continue in their growth path.

The role:

  • Lead and develop the Compliance team
  • Oversight and responsibility of all regulatory requirements with a focus on CONC
  • Amend and re-design all Compliance related policies and procedures
  • Design and implement Compliance frameworks
  • Carry out GAP analysis and develop operating model all within the compliance function
  • Provide updates and engage regularly with Senior Stakeholders
  • Represent the firm in all engagements with clients

Experience required:

  • A background in Consumer Credit is essential
  • Experience at Head of level previously
  • Excellent knowledge of the FCA handbook and understanding of the CONC guidelines
  • Exceptional written and verbal communication skills as you will regularly be engaging with stakeholders and clients

Please apply for more details.

CASS FTC

FourthLine are currently recruiting for a leading Financial Services Firm who are looking for a CASS Analyst for 6 -12 months.

The role consists of:

  • Performing compliant internal and external client money reconciliations.
  • Ownership and resolution of specific issues identified by monitoring. Understand causes of failures and identify areas of weakness while working within the various business areas and/or third parties to resolve them and mitigate the risk of them reoccurring.
  • Support the CASS Manager to ensure that best practice is maintained throughout the business.

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

  • Experience with working with reconciliations.
  • Highly organised, confident, decisive and enthusiastic self-starter.
  • Knowledge of CASS is desirable.
  • Good attention to detail.

Based in the North East - Permanent Role - Competitive Salary + Benefits.

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

CASS Manager

FourthLine are currently recruiting for a leading Financial Services Firm who are looking for a CASS Manager.

The role consists of:

  • Performing compliant internal and external client money reconciliations.
  • Ownership and resolution of specific issues identified by monitoring. Understand causes of failures and identify areas of weakness while working within the various business areas and/or third parties to resolve them and mitigate the risk of them reoccurring.
  • Support the Senior CASS Manager to ensure that best practice is maintained throughout the business.

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

  • Experience with working with reconciliations.
  • Highly organised, confident, decisive and enthusiastic self-starter.
  • Knowledge of CASS, experience in a CASS Analyst or Manager role is beneficial.
  • Good attention to detail.

Based in the North East - Permanent Role - Competitive Salary + Benefits.

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

Senior Compliance Monitoring Manager

£60000 - £70000

I am currently working with one of my valued Retail Financial Services clients based in Yorkshire on their search for an experienced Compliance Monitoring professional to join the business on a permanent basis. Ideal candidates will have significant experience overseeing complex monitoring functions, and a strong understanding of all relevant sections of the FCA Handbook including the key aspects of BCOBS, COBS, ICOBS, MCOB including sales process, and the key elements of SYSC/FIT/APER.

  • Development and delivery of a sound compliance monitoring that focuses on, but not limited to, the FCA’s Handbook and measurement of fair outcomes for our customers
  • The delivery of the Compliance Monitoring plan for your assigned clients.
  • Inspire and engage through role modelling the values and behaviours within your team across clients.
  • The identification of best practice standards for compliance with regulatory requirements.
  • Develop and communicate the Compliance Monitoring Plan for your assigned clients.
  • Contribute to the development and maintenance of working relationships with key contacts in Society, Audit and Compliance contacts within the subsidiary firms regulated by FCA
  • Reporting to management on levels of compliance through specific monitoring activity, or through regular reporting to management committees (e.g. the Board Audit Committee, Exco, Main Board)

Please get in touch With Richard Miller to discuss further.

Compliance Monitoring Consultant

£40000 - £50000

An exciting opportunity has presented itself within one of my values Retail Financial Services clients based in Yorkshire. Ideal candidates will have a good understanding of compliance monitoring proceedures, and be able to contribute to the delivery of the Compliance Monitoring agenda by producing quality reviews an guidance based on their findings throughout the year. You will also have relevant qualifications and experience across product and service areas, with technical knowledge across FCA handbook areas e.g. MCOB, BCOBS, COBS & ICOBS.

  • Work closely with the Compliance Monitoring Manager/ Senior Compliance Monitoring Manager to continually improve processes and systems for Compliance reviews, with an emphasis upon business service levels, productivity, efficiency optimisation, customer service focus and the long-term benefits for the Society and its subsidiaries
  • Responsible for personally keeping up to date in respect to all relevant sections of the FCA Handbook including the key aspects of BCOBS, COBS, ICOBS, MCOB including sales process, key elements of SYSC/FIT/APER, Training and Competence
  • Manage and prioritise own workload, and support other Compliance Consultants (CCs), taking into account the team’s SLAs and own Key Business Priorities (KBPs)
  • Have the ability to perform more complex reviews;
  • The provision of advice and guidance to the Society and its subsidiaries on actions required to achieve compliance with prevailing regulatory requirements and Codes of Practice as part of recommendations in Monitoring report.

Please contact Richard Miller to discuss further.

MINIMUM Salary

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