Legal, Compliance & Financial Crime

Legal, Compliance & Financial Crime Recruitment: Connecting Top Talent in the UK, Ireland, Switzerland, Germany, Luxembourg, and the US

Broadgate is the preferred choice for legal, compliance and financial crime recruitment by many of the world’s leading firms. Our specialist consultants have the market knowledge, networks, and diversity-focused mindset to deliver sustainable talent solutions in a fast-changing regulatory environment.

From compliance managers and AML (Anti-Money Laundering) specialists to C-Suite roles such as Chief Compliance Officers and Heads of Financial Crime, we’re here to connect best-in-class talent with inclusive, growth-enabled opportunities inside the most exciting organisations in banking, insurance, and investments.

Supported by our consulting division, led by ex-regulator Adrian McCarthy, our delivery teams are equipped to pinpoint culturally aligned, regulatory-approved talent in niche areas.

Through our community-led approach to recruitment, we create access to hard-to-reach candidates, enabling our clients to enrich their businesses with diverse perspectives.

Contact Broadgate to find out more about how our Legal, Compliance and Financial Crime recruitment division can support you.

Roles we support include:

Monitoring & Testing

Generalist

Advisory

Conduct Risk

Horizon Scanning

Regulatory Change

1st Line Compliance

1st Line Oversight

Financial Crime

Legal Counsel

Associate General Counsel

General Counsel

Chief Legal Officer

Head of Regulatory Affairs

CAF (CHARITIES AID FOUNDATION)

100%

Compliance Hires Delivered

Senior Contractors Placed

4/4

Contractors Converted to Permanent Employees

Charities Aid Foundation (CAF) is a leading charity and bank driving progress toward a fair and sustainable future. For over a century, it has pioneered new approaches to giving across the UK and North America. Over the past two years, Broadgate has partnered with CAF to deliver all hires into its second-line compliance team - placing interim leaders and long-term specialists who have shaped the function’s evolution. This includes the Head of Compliance, Head of Financial Crime Compliance, two Senior Compliance Managers, and a Compliance Projects Analyst supporting a wider tech transformation. By consistently outperforming other agencies, Broadgate has ensured continuity and stability for CAF’s compliance function.

RBS INTERNATIONAL

1.8

CV to Interview Ratio

28 Days

Time to Hire

Permanent Hires Made

RBS International is the UK’s largest independent depository service provider, holding around 30% of the market and rapidly expanding in Luxembourg. With the scale, experience, and breadth of expertise to support a wide variety of fund structures and asset types, their Luxembourg branch plays a key role in ensuring investors’ money is safeguarded with confidence and without conflict.

In 2024, the firm onboarded Broadgate alongside other new suppliers to help deliver in light of a significant wave of growth hires.

The first release of the seven roles was highly competitive, with multiple agencies on the PSL. Broadgate filled six of them by leveraging our established network in the small but specialised Luxembourg market, underpinned by our confidence in representing RBS International’s unique value proposition.

By building strong communication lines, investing in on-site meetings, and developing a comprehensive understanding of the culture, we quickly became a trusted partner.

Following this success, Broadgate continued to deliver on additional hiring needs, culminating in an exclusive partnership from August 2024.

Roles placed include: Risk Manager, Due Diligence Manager, Depository Manager, and Custody Officer.

THESIS ASSET MANAGEMENT

Permanent Placements

CVs Per Role

2:1

CV to Interview Ratio

For over 40 years, Thesis Asset Management has been providing investment management services for private clients, charities, pension funds and trusts. Facing a mix of hiring needs across both permenent and contract recruitment, the firm was seeking senior talent in Compliance, MLRO, Fund Accounting, Reporting, and Oversight.

One of the most significant milestones was its very first contract hire; a senior appointment reporting directly to the CEO. Having never hired a contractor before, the firm needed guidance through the process, from understanding regulatory requirements to ensuring full compliance.

Broadgate’s consultants provided the education piece, building confidence and delivering a smooth process that resulted in a successful SMF placement. The candidate made such an impact that she was later transferred into a permanent role.

TRIODOS BANK

100%

Completion Rate

Risk & Compliance Contractors Placed

Triodos Bank is a leading expert in sustainable banking. With over 700,000 customers across Europe, Triodos is on a mission to make money work for positive change.

Broadgate’s partnership with Triodos began with a strong value alignment and a shared commitment to responsible business as B Corp accredited organisations.

Broadgate was initially engaged to deliver a business-wide gap analysis of all policies and procedures in reference to local regulators and authorities, including the FCA, HMRC, ICA, and PRA.

We were then given the mandate to make 8 Compliance & Risk placements for interim positions as part of a broader transformation project.

Despite operating in a highly competitive market, Broadgate tapped into an expansive network and strong domain-specific knowledge to deliver the roles with precision and speed, securing all hires within the allotted timeframe.

WEALTHTIME

100%

Completion Rate

CVs Per Role in 24 Hours

1.5

CV to Interview Ratio

Wealthtime are a next-generation investment platform group that combines market-leading technology with best-in-class customer service. With £11bn AUM, 1500 advisory firms, and and 77,000 investors across its platform, it offers a comprehensive investment wrap service.

Facing an urgent need to make hires across Risk, Compliance, and Financial Crime, Wealthtime required specialist interim and permanent recruitment support to srtrengthen its second line of defence and support BAU operations.

The hiring project was run on a non-exclusive basis, with 6 other agencies engaged simultaneously. Despite competing against 5 other agencies, Broadgate leveraged their deep market knowledge and strong compliance and risk networks to source and secure the right talent for 100% of the roles, delivering a Risk specialist, a Compliance Contractor, and a Senior Financial Crime Contractor to cover critical second line functions.

Alongside this Broadgate also made five permanent placements across Compliance and Risk to strengthen long-term capability.

VIEW OUR CASE STUDIES

MEET THE TEAM

Meet Ben

Ben Adams

Co-Founder and Managing Director

Meet Adrian

Adrian McCarthy

Senior Advisor

Meet Kevin

Kevin Adam-Hein

Partner

Meet Daniel

Daniel Tapsell

Associate Director, Contract and Interim

Meet Matt

Matt Carter

Associate Director: Risk, Compliance, Financial Crime

Meet Connor

Connor Nurse

Head of US

Meet Darren

Darren Hogan

Team Leader, Ireland

Meet Georgia

Georgia Mason

Recruitment Consultant

Meet Anis

Anis Soomaroo

Senior Consultant

LATEST JOBS

London, Greater London, South East, England

Lead Quality & Regulatory Specialist

Permanent£75000 - £110000 per annum

Lead Quality & Regulatory Specialist Location: London A leading innovative digital health company is seeking a Lead Quality & Regulatory Specialist to support the VP of Regulatory in developing and executing quality and regulatory strategies for Software as a Medical Device. This hands-on role will be instrumental in building and maintaining regulatory compliance frameworks across the US, UK, and EU, helping prepare products for certification and market clearance.Role Responsibilities:Support the development and execution of global regulatory and quality strategies.Prepare and review documentation for FDA, EU MDR, and UK MHRA submissions.Define device intended use, risk classification, and regulatory pathways for SaMD.Assist in the implementation and maintenance of the Quality Management System aligned with ISO 13485, 21 CFR Part 820, and EU MDR.Draft and maintain SOPs, work instructions, and templates.Contribute to the creation and management of technical documentation and medical device files.Support internal and external audit readiness, including training and CAPA management.Partner with cross-functional teams to ensure regulatory requirements are integrated into product development.Requirements:6 years’ experience in Regulatory Affairs and Quality Assurance within medical devices, digital health, or SaMD.Proven experience with FDA and/or EU MDR submissions (Class II or higher).Strong understanding of regulatory frameworks and standards, including ISO 13485, ISO 14971, IEC 62304, and 21 CFR Part 820.Hands-on experience supporting QMS implementation and audit preparation.Desirable: Experience setting up QMS from scratch, using regulatory tools (e.g., MasterControl, Greenlight Guru), or acting as PRRC/Deputy PRRC.

Georgia Mason

Posted 2 minutes ago

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Kent, South East, England

Compliance Officer

Permanent£37500 per annum

We are partnered with a leading financial planner seeking a proactive Compliance Officer to join the 2nd Line Compliance function, providing regulatory guidance to the business and supporting a strong culture of good client outcomes. Responsibilities include: Support the delivery of thematic reviews and assessments of client outcomes.Review and approve marketing materials, websites and presentations to ensure regulatory compliance.Draft and update internal policies in line with current regulations.Support administration of the Senior Managers & Certification Regime (SMCR).Investigate internal referrals and monitor KYC due diligence.Escalate concerns and ensure appropriate follow-up actions are taken.Compile data and produce MI demonstrating adherence to regulatory requirements and client outcome standards.Monitor regulatory developments and communicate impacts to the business.Assist in collating information for regulatory submissions and responding to regulator requests.Educate employees on regulatory expectations, client outcomes, and compliance best practice. Requirements: Minimum 2 years’ experience in a Compliance function, ideally within wealth management or financial planning.Experience conducting thematic or client outcome reviews.Strong knowledge of FCA regulations, including Consumer Duty.Excellent communication and stakeholder engagement skills.Ability to interpret and translate complex regulations into clear, practical guidance.Strong investigative, analytical and problem-solving skills.High attention to detail, strong organisational skills, and a self-motivated approach.Commitment to delivering positive client outcomes.ICA or similar compliance qualification.Level 4 Diploma in Financial Planning – preferrable but not essentialKnowledge of pensions – preferrable but not essential Apply with us today!

Tyla Ritchie

Posted 3 days ago

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London, Greater London, South East, England

Manager - Governance Services

Permanent£75000 per annum

We are partnered with a professional services company seeking an experienced Governance Services Manager to support the day-to-day running of the office, oversee the take-on and administration of corporate entities, and lead a high-performing Client Services Administrator team. Responsibilities include:Contribute to the ongoing development of the UK Governance Services office, including operational procedures and daily management.Manage the onboarding and administration of new business in line with internal policies, ensuring clients receive efficient, professional service.Oversee a diverse portfolio of corporate clients, maintaining strong relationships and high-quality service delivery.Act as a director for client entities and serve as an authorised signatory on client bank accounts.Lead, support, and mentor team members to ensure high performance, strong technical capability, and alignment with organisational values.Provide technical guidance, training, and oversight to ensure consistent understanding of transactions across the team.Manage client expectations, nurture relationships, and help grow repeat business and referrals.Oversee day-to-day workflow for direct reports, ensuring timely processing of work, transaction deadlines, accurate time recording, WIP management, and debt control.Maintain consistency of service standards across the team and proactively resolve any issues.Ensure full adherence to internal policies, procedures, and governance standards.Support collaboration between the UK office and other jurisdictions to deliver coordinated, seamless corporate governance and legal services.Work closely with Risk & Compliance, staying informed on regulatory changes and industry developments.Ensure your team follows established risk frameworks, identifying process gaps and recommending enhancements to mitigate regulatory, operational, and reputational risk. Requirements:CGI UK Graduate, Affiliated, or Fellow Member.Demonstrable experience as a Company Secretary, with strong exposure to UK corporate structures.Proven experience in a law firm’s company secretarial team or a corporate services provider.Strong knowledge of the UK Companies Act and core company secretarial requirements.Previous people management experience.Proficient in Microsoft Office and SharePoint.Excellent record-keeping, documentation, organisation, and attention to detail.Exceptional communication and interpersonal skills, with the ability to build trusted relationships and work collaboratively as part of a team. Apply with us today!

Elliott Snowball

Posted 13 days ago

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Leeds, West Yorkshire, Yorkshire, England

Compliance Monitoring Officer

Permanent£40000 - £55000 per annum

Compliance Monitoring Officer Overview As a Compliance Monitoring Officer, you will be responsible for conducting second-line file reviews and thematic assessments of investment management activities. Key Responsibilities: Producing high-quality monitoring reports summarising findings, trends, and recommendations for remedial actionCollaborating with the Training & Competence (T&C) team to support training and awareness initiatives on suitability and regulatory expectations.Conducting detailed reviews of client files to assess the suitability and appropriateness of investment advice and portfolio recommendationsExperience & Qualifications:At least 3 years’ experience in compliance monitoring, audit, or quality assurance within investment management or wealth management.Level 4 Investment Advice Diploma (IAD) or equivalent (e.g., CISI, CII).Strong working knowledge of FCA rules, particularly around suitability

Matt Carter

Posted 14 days ago

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London, Greater London, South East, England

Compliance Advisory Associate

Permanent£50000 - £65000 per annum

Compliance Advisory Associate Overview As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators. Key Responsibilities:Provide advice, training, and guidance to the business on regulatory mattersWorking on regulatory horizon scanning and anticipating upcoming regulatory changes.Support the review of Financial PromotionsAssist in determining the relevance and impact of regulatory change and provide practical support on the implementation of any necessary changes.Manage ad hoc regulatory queries from the business Experience & Qualifications:Previous experience in a similar Compliance role within Wealth & Investment Management.Detailed, and current, technical knowledge of the FCA Handbook (Consumer Duty, SYSC, COBS, SMCR) and other relevant regimes.Strong attention to detail

Matt Carter

Posted 14 days ago

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London, Greater London, South East, England

Senior Compliance Advice Manager

Permanent£75000 - £90000 per annum

Senior Compliance Advisory Manager London (Hybrid) A leading UK IFA/ wealth management firm is looking for a Senior Compliance Advisory Manager who will support and deputise the Head of Compliance Advisory. This is a broad, generalist compliance role will assist in providing regulatory guidance across the business and delivering practical technical advice to first-line teams,. Key ResponsibilitiesMaintain compliance policies and deliver training.Manage incidents, root-cause analysis and control improvements.Oversee financial promotions and provide second-line approvals.Manage introducer due diligence and approvals.Oversee compliance for appointed representatives.Support DSAR processes and FCA reporting requirements.Deputise for the Head of Compliance Advisory on projects and governance matters.What We’re Looking ForMinimum 5 years’ compliance advisory experience, with financial planning experience essential.Experience operating in a generalist compliance environment.Strong stakeholder engagement and relationship-building skills.In-depth knowledge of COBS and how Conduct of Business rules apply specifically to financial planning firms.Strong knowledge of the FCA Handbook (COBS, SYSC, DISP).

Georgia Mason

Posted 18 days ago

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Luxembourg

Senior Fund Administrator - In-House

Permanent€70000 - €90000 per annum

Senior Fund Administrator - In-House Our client, a dynamic local AIFM, are growing their Luxembourg operations and looking to bring in an experienced Senior Corporate/Legal professional. Key ResponsibilitiesOverseeing the on boarding and structuring process of regulated fund vehicles (private equity), ensuring alignment with applicable regulatory frameworks.Coordinating the preparation and execution of board meetings, including reviewing and approving core fund documentation.Monitoring legal and regulatory developments impacting the fund and ensuring their timely implementation by third-party service providers.Managing investor on boarding work flows in coordination with external stakeholders (transfer agents, legal counsel, compliance teams), with a strong focus on AML/KYC compliance and operational efficiency.Providing oversight of post-launch fund operations, including capital activity (subscriptions, capital calls, and distributions), maintaining investor registers, and ensuring accurate investor reporting Essential Skills & Experience Minimum of 5 years working experience in a fund administration/fund corporate position in LuxembourgWorking of open-ended fund structures and AIF'sStrong understanding of Luxembourg regulatory frameworks – AIFMD & CSSFYou must have authorisation to work in Luxembourg along with previous experience working in Luxembourg to be considered for this position.Call Settings Override To From Record Yes No Always use these settings

Scarlett Worthington

Posted 19 days ago

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New York, United States

Compliance Officer - Fixed Income Sales & Trading - Credit VP

Permanent£220000 - £250000 per annum

VP – Compliance Business Partner, FIC Sales & Trading |📍 New York, NY (Hybrid) | 💼 Vice President Level | 🕒 Full-Time | 📅 Start: August/September 2025A global financial institution is looking to hire a Compliance Business Partner to support its Fixed Income & Currencies (FIC) Sales & Trading business, with a primary focus on credit products. This is a high-impact VP-level role working directly with front-office trading and sales teams, offering a rare opportunity to influence the compliance culture and risk framework of a major markets division.What You'll Be DoingAct as the first point of contact for compliance advisory within credit trading and sales.Monitor regulatory developments and help the business adapt policies, controls, and processes in line with market regulations (SEC, FINRA, CFTC, MSRB).Participate in and lead internal risk assessments, surveillance reviews, and compliance testing efforts.Collaborate with stakeholders on control design, policy implementation, and supervisory oversight.Support internal investigations, regulatory inquiries, and audits.Deliver targeted training and guidance to ensure adherence to firm-wide and regulatory standards.Partner with business leaders to proactively identify, assess, and mitigate compliance risks.What You Bring7+ years of compliance, legal, or regulatory advisory experience within capital markets.Strong understanding of fixed income products, particularly credit instruments.Knowledge of broker-dealer regulations and U.S. financial market requirements (SEC, FINRA, CFTC, etc.).Confident communicator with the ability to engage front-office professionals and senior leadership.Bachelor’s degree required; JD or MBA is a plus.What’s On OfferCompetitive compensation: $130,000 – $200,000 base + performance-based incentives.Hybrid working environment – New York-based role with flexibility.Comprehensive benefits including healthcare, retirement plans, wellness initiatives, and paid time off.The opportunity to make a real impact in a high-visibility role on a dynamic trading floor.

Connor Nurse

Posted 20 days ago

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