Which regulatory roles does Broadgate support?

Broadgate supports regulated executive appointments including SMF, PCF, NED, INED, SID, CRO, CCO, MLRO, COO, CFO, Head of Compliance, Head of Internal Audit, and board committee chair roles.

Which jurisdictions does Broadgate cover?

Broadgate supports executive search across the United Kingdom, Ireland and the EU, Switzerland, and the United States, with mapping aligned to FCA, PRA, CBI, FINMA, MiCA and other regulatory requirements.

What is Broadgate's assessment methodology?

Broadgate uses a proprietary 12-step assessment methodology covering scoping, key competencies, structured interviews, reporting, candidate review, offer management and aftercare.

Does Broadgate offer support beyond executive search?

Yes. Broadgate also provides succession planning, culture audit, leadership assessment, onboarding support, diversity and inclusion consulting, employer branding and talent risk audits.

Board & Executive Search for Regulator-Ready Leadership

Specialist board and executive search across governance, risk, compliance, financial crime, legal and transformation, powered by our proprietary Fit & Proper Framework, our rigorous 12-step assessment process.

Specialist expertise
Fit & Proper Framework (12-step assessment)
Cross-border search

12 step methodology

Broadgate's Fit & Proper Framework

Broadgate’s rigorous, expert-led Board and Executive Search service employs a proprietary 12-step assessment methodology, which has an established track record of delivering regulatory approvals (PRA, FCA & CBI), cultural and competency fit, and effective succession planning.

1Step 1 of 12

Scoping / 'Fit'

In-depth structured discussions with Board and Employer Stakeholders.

2Step 2 of 12

‘Key Competencies’

Up to 8 key competencies agreed with the Board or Employer.

3Step 3 of 12

Form 1

Interview Structure is created by our advisory bench of subject matter experts.

4Step 4 of 12

Shortlist Agreed

From the longlist, up to 6 shortlist candidates agreed for interviews with Broadgate experts.

5Step 5 of 12

Interview Prep

Candidates prepare for their 90-120 minute structured interviews based on the agreed Form 1.

5AOptional stage

Testing

Virtual pre-interview psychometric testing (optional).

6Step 6 of 12

Shortlist Interviews

90-120 minute structured interviews with Broadgate experts.

7Step 7 of 12

Form 2 Reports

Independent report per candidate, RAG-rated against the pre-agreed key competencies.

8Step 8 of 12

Form 3 Overview Report

Independent, RAG-rated overview report, ranking all shortlisted candidates.

9Step 9 of 12

Candidate Review Meeting

60-90 minute review meeting with the Board or Employer to decide the preferred shortlisted candidates.

10Step 10 of 12

Internal

Board and/or Employer internal stakeholder interviews.

11Step 11 of 12

Offer Management

Managing candidate through the offer and acceptance stages, including the resignation with previous employer.

12Step 12 of 12

Aftercare

Onboarding support for the candidate during the first six months of joining the business.

Trusted across financial services

Jurisdictional coverage

Regulator-ready executive search

Broadgate supports senior hiring across regulated financial services, digital assets, payments, FinTech and governance functions, mapping search activity to regulatory approval requirements across key global markets.

London

United Kingdom

Typical mandates

SMF holders, NEDs, CROs, CCOs, MLROs, Approved Persons, CF roles, payments compliance, FinTech risk and Consumer Duty leads.

Dublin

Ireland & EU

CBI
IAASA
EBA
EIOPA
ESMA
MiCA

Typical mandates

PCF holders, NEDs, fund boards, MLCOs, designated persons, AMI, IUA and reinsurance, asset management and DORA compliance leads.

Zug

Switzerland

FINMA
SNB
FINMA FinTech Licence

Typical mandates

Responsible persons, bank board appointments, digital assets and crypto leaders, payments and EMI leadership.

Boston

United States

OCC
CFPB
Federal Reserve
State Regulators

Typical mandates

CROs, Chief Credit Officers, CCOs, decision scientists, model risk leaders and FinTech lender executive leadership.

What you get

Built for regulatory approval

We offer service level agreements of 12 weeks; full market in-depth candidate identification mapping; bespoke market and competitor insights; diverse candidate shortlists; tailored psychometric testing; access to highly experienced advisors; and interim support while you search for your permanent candidate.

01
Service level agreements of 12 weeks
02
Full market in-depth candidate identification mapping
03
Bespoke market and competitor insights
04
Diverse candidate shortlists
05
Tailored psychometric testing
06
Access to highly experienced advisors
07
Interim support while you search for your permanent candidate

Case Study

Mars Capital

2Non-Executive Directors Placed

Specialist asset management business seeking experienced board-level leadership to support growth. Appointed two Non-Executive Directors, enhancing governance capability and providing inderpendent strategic oversight.

our work

Case Study

FIS

2Heads of Compliance Placed

Financial services business seeking senior leadership to strengthen governance and support growth. Broadgate appointed board level talent, enhancing oversight and strategic decision making.

our work

Case Study

The Cumberland

15Leadership Appointments Placed

Mutual building society strengthening leadership across risk, resilience and transformation. Delivered senior executives across governance, operational risk, and business transformation to support strategic growth.

our work

Advisory

People, Culture & Brand

Culture Audit

Attrition, exit interview coaching, trend analysis & coaching. In collaboration with our change management expert, Amanda Wallace, we offer a range of services to help drive positive culture change.

Leadership Assessment

From psychometric testing to independent leadership assessments for finalists, using validated tools to evaluate cultural fit and leadership style.

Onboarding support

A structured onboarding plan, with executive coaching or mentoring for the first 90–180 days, including advice on the Regulatory approval process.

Succession Planning

Advise on building a leadership pipeline, including gap analysis and internal development recommendations.

Diversity & Inclusion Consulting

Assess and benchmark the organisation D&I progress against the market, and provide recommendations for attracting diverse talent.

Board Advisory

Offer advice on optimal board structure, skills audits, and board succession planning.

Employer Branding

Review and advise on the bank’s employer value proposition, to align with executive talent attraction, providing feedback on brand perception in the market.

Talent Risk Audit

Assess organisational exposure to leadership gaps or over-dependence on key individuals.

Advisory

Support that lasts beyond the appointment

From culture audits to board succession planning, our Advisory team helps new leaders and boards perform from day one.

Explore our Advisory services →

Regulated roles

Roles we support

Ireland (PCF)

PCF 1 - Executive Director
PCF 11 - Head of Finance
PCF 12 - Head of Compliance
PCF 13 - Head of Internal Audit
PCF 14 - Chief Risk Officer (CRO)
PCF 39A - Capital and Financial Management
PCF 39B - Operational Risk Management
PCF 42 - Chief Operating Officer (COO)
PCF 49 - Chief Information Officer
PCF 52 - MLRO

UK (SMF)

SMF 1 - Chief Executive Officer
SMF 2 - Chief Financial Officer
SMF 3 - Executive Director
SMF 4 - Chief Risk Officer
SMF 5 - Head of Internal Audit
SMF 6 - Head of Key Business Area
SMF 16 - Chief Compliance Officer
SMF 17 - MLRO
SMF 18 - Executive (Other Overall Responsibility)
SMF 24 - Chief Operations (COO/CTO)

Ireland (PCF)

PCF 2A - Non-Executive Director
PCF 2B - Independent Non-Executive Director
PCF 3 - Chair of the Board
PCF 4 - Chair of the Audit Committee
PCF 6 - Chair of the Remuneration Committee
PCF 7 - Chair of the Nomination Committee
PCF 8 - Chief Executive Officer

UK (SMF)

SMF 9 - Chair of the Board
SMF 10 - Chair of Risk Committee
SMF 11 - Chair of Audit Committee
SMF 12 - Chair of Remuneration Committee

Revenue, Growth & Clients

Chief Revenue Officer (CRO)
Chief Commercial Officer (CCO)
Chief Growth Officer (CGO)
Chief Customer Officer
Chief Distribution Officer
Chief Client Officer

Business, Digital & Strategy

Chief Business Officer (CBO)
Chief Business Development Officer
Chief Partnerships Officer
Chief Digital Officer (CDO)
Chief Product Officer (CPO)
Chief Strategy Officer

We also specialise in recruiting for Non-Executive Directors (NED), Senior Independent Advisors (SID), and Independent Non-Executive Directors (INED).

Partnership

Broadgate x Independent Audit

Independent perspectives. Complementary expertise. One purpose: helping boards thrive.

Broadgate are proud to work collaboratively with Independent Audit Limited, specialists in board effectiveness. We are coming together in Ireland to spark fresh conversations at board level, combining Independent Audit’s governance insight with Broadgate’s talent perspective to create a richer dialogue for Chairs, NEDs and Company Secretaries.

Each firm will continue to provide its services independently to clients. Together, we are hosting The Conversationalist Series, roundtables on the challenges shaping boards today, from regulation to leadership pipelines.

Read our event white paper →

The Conversationalist Series

Broadgate Search and Independent Audit, the specialist board advisory firm, came together once again to bring senior leaders to Euronext Dublin for the second event in The Conversationalist Series, a fireside conversation with Raj Singh exploring governance, oversight, board effectiveness, and the realities facing Boards today.

Euronext Dublin

Meet Our Executive Search Team

Connect with our executive search specialists to discuss leadership hiring challenges, succession planning and critical appointments across regulated markets.

Meet Ben