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Job title: Compliance Monitoring Specialist Location: LeedsThe Compliance Monitoring Specialist ensures the firm adheres to regulatory requirements and internal policies by conducting regular compliance audits and reviews. The role supports the effectiveness of compliance programs and promotes a strong culture of compliance across the business. ResponsibilitiesConduct risk-based compliance monitoring reviews and audits.Ensure adherence to FCA regulations and internal policies.Support the development and execution of the compliance monitoring programme.Report on compliance breaches and recommend corrective actions.Prepare compliance reports for management and regulators.Evaluate customer outcomes across all product lines.Liaise with external auditors and regulatory bodies as needed.Experience & Qualifications:3–5 years in a compliance monitoring role within Financial Services (ideally Investment Management)Strong knowledge of FCA handbooks and regulatory requirements.Relevant compliance qualification.

Assistant Manager - ComplianceLondonThis is a great opportunity for an experienced Compliance professional to join a high-performing Global Compliance team (operates across UK, Channel Islands, Caymans).This position will play a critical role in supporting and embedding a strong culture of compliance across the organisation. You would contribute to the development, maintenance, and testing of global risk policies and procedures, ensuring that compliance frameworks are both effective and robust.The RoleWork closely with legal, compliance, and business control teams to evaluate new legal and regulatory requirements, ensuring that policies and procedures are updated as necessary.Collaborate with Business Services teams (including Finance and HR) to ensure a cohesive and unified approach to regulatory compliance across the organisation.Contribute to the maintenance of policy resources, support the Compliance Monitoring Programme, and leverage digital tools to streamline processes and enhance reporting activities.Your ProfileExperience in Compliance/Risk roles within a regulated Financial Services environment, with a focus on corporate and fiduciary servicesKnowledge of AML regulations across jurisdictions (UK/Jersey/Caymans etc)Strong analytical and organizational skills, with the ability to manage large volumes of dataExcellent soft skills (communication, time management, teamwork)

Broadgate is partnered with an independent fund administration provider looking to employ a detail orientated and experienced Company Secretary to join their dynamic team.Responsibilities include:Provide full company support to a portfolio of client entities, including regulated and unregulated fund structures, corporate entities, and private equityCoordinate and prepare board and shareholder meeting packs, agendas, and resolutions; attend meetings and prepare accurate minutesEnsure timely and accurate filing of statutory documents with the relevant regulatory authorities and registries (e.g., annual returns, changes in directors or officers, share capital updates)Maintain and update statutory registers and company recordsAssist in the incorporation and liquidation of entities and any structural changesLiaise with clients, directors, regulators, auditors, and legal advisorsMonitor and ensure compliance with corporate governance best practicesSupport internal governance initiatives and contribute to process improvement projects Requirements: Professional qualification or part-qualification (e.g., ICSA/CGI, LLB, or equivalent) is preferred.2–4 years of experience in a company secretarial role, ideally within the financial services or fund administration industry.Strong understanding of corporate governance, company law, and regulatory frameworks.Proficient in MS Office and experience with entity management systems (e.g., Diligent Entities, GEMS) is advantageous.

Broadgate is partnered with a leading investment firm looking for an experienced and highly motivated Senior Project Manager to join the Fund Managers team.Responsibilities include:Drive strategic initiatives that enhance fund management capabilities and deliver exceptional value to clientsLead and manage the end-to-end delivery of complex projectsUnderstand business and solution architectureMaintain clear and consistent communication with all project stakeholders, providing regular status updates and addressing any concerns promptlyElicit and prioritize functional and non-functional requirements from business and technical stakeholdersManage external technology providers and drive any system selection processesRequirements:University degree in Information Technology, Business Administration or equivalentAt least 5 years of working experience as a Project Manager at a financial services company or with a leading consulting firm in a delivery role in the financial services sectorExperience in the asset management industry, more specifically fund administration and its corresponding systems is a plusIn-depth and proven project management, delivery and leadership skills (both technical and people as well as change; management)Agile certification (Scrum, IPMA, etc.) and practical experience as a plusExcellent language skills in English (verbal/written) is a requirement, German is a plusAbility to act as a mediator on complex topics between business and technology teamsIf you possess the key skills necessary to fill the role then apply with us today!

Job Title: Risk Manager Department: Risk & Compliance Location: [Bath-based Office] – Hybrid working model (2 days in office) Reports to: Head of Risk About the Company Our client is a leading player in the wealth management and financial services sector, recognised for their award-winning service and innovative technology platform. With significant investment backing and a clear growth trajectory, they’re transforming the way wealth management services are delivered in the UK. With a team of approximately 300 professionals, they are committed to delivering excellence, supporting professional development, and fostering a collaborative culture. The Opportunity This is a pivotal role within the second line of defence, responsible for supporting the delivery and ongoing enhancement of the group-wide Enterprise Risk Management Framework. The Risk Manager will partner with first line business functions to support effective risk identification, assessment, and assurance, while fostering a strong risk-aware culture across the organisation. Key ResponsibilitiesEnsure the Enterprise Risk Management Framework is embedded and effectively operated across the group.Support the identification, description, and assessment of key business risks.Lead incident management oversight, closure approval, and trend analysis.Provide pragmatic and regulatory-informed risk advice to support business decision-making.Deliver second-line assurance via a structured control assessment programme.Apply the organisation’s risk appetite to assessments and escalate concerns where appropriate.Assist in regulatory risk capital processes and internal capital adequacy assessments (ICARA).Promote risk awareness and accountability at all levels of the business.Develop and maintain clear and impactful risk reporting for executive and board-level audiences.Collaborate with Compliance, Internal Audit, and other teams on risk mitigation strategies.Actively contribute to the delivery of excellent service outcomes for end clients.Key Skills and Experience RequiredStrong operational risk management expertise within a financial services or wealth management environment.Experience in designing and implementing risk frameworks, policies, and risk appetite models.Proven ability to deliver clear, concise Risk MI and reporting.Knowledge of RCSAs, KRIs, incident and control management.Skilled in presenting to senior stakeholders and managing cross-functional relationships.Comfortable interpreting regulatory guidance and complex risk scenarios.Strong analytical, negotiation, and project management skills.DesirableRelevant risk qualifications (e.g. IRM Diploma, IAQ, etc.)Knowledge of SIPP, ISA, GIA, or Bond productsExperience with outsourced service providers and third-party oversightBackground within platform services or discretionary fund managemen

Broadgate is partnered with a collaborative and team-orientated fund administration company looking for a Fund Accounting Manager to join their team. Responsibilities include: Ensuring accurate accounting records, preparing reports in accordance with various accounting rules, Partnership Agreements or client specific requirementsLeading a team of accountants in the processing and review of reconciling cash, securities and other financial transactionsProvide service on a range of matters including recording and analyzing transactions, reconciliations, and preparation of work paper packagesAssistance in the coordination of external auditsPrepare quarterly and annual financial statementsCreate and review partner capital calls, monthly and quarterly partner capital statements including calculation of partner allocationsCalculate and review waterfall models, distribution notices, and management feesAssist with the onboarding of new clientsManage client expectations, build relationships and meet client deliverablesProvide training to the Accountants and Senior AccountantsAssist with year-end audit process and support external auditors and tax teams with requested financials Requirements: Bachelor's degree in accounting or related field OR ACA / ACCA or other related Certification4 + years of accounting experience, with at least 2 years being post graduated or qualified1 + years of Private Equity experienceStrong knowledge of industry and accounting principlesDemonstrated experience supervising and managing a team of AccountantsSenior AccountantsProficient with software related products such as Microsoft Excel etc If this is the role for you then apply with us today!

Broadgate is partnered with a collaborative and team-orientated fund administration company looking for a Fund Accounting Manager to join their team. Responsibilities include: Ensuring accurate accounting records, preparing reports in accordance with various accounting rules, Partnership Agreements or client specific requirementsLeading a team of accountants in the processing and review of reconciling cash, securities and other financial transactionsProvide service on a range of matters including recording and analyzing transactions, reconciliations, and preparation of work paper packagesAssistance in the coordination of external auditsPrepare quarterly and annual financial statementsCreate and review partner capital calls, monthly and quarterly partner capital statements including calculation of partner allocationsCalculate and review waterfall models, distribution notices, and management feesAssist with the onboarding of new clientsManage client expectations, build relationships and meet client deliverablesProvide training to the Accountants and Senior AccountantsAssist with year-end audit process and support external auditors and tax teams with requested financials Requirements: Bachelor's degree in accounting or related field OR ACA / ACCA or other related Certification4 + years of accounting experience, with at least 2 years being post graduated or qualified1 + years of Private Equity experienceStrong knowledge of industry and accounting principlesDemonstrated experience supervising and managing a team of AccountantsSenior AccountantsProficient with software related products such as Microsoft Excel etc If this is the role for you then apply with us today!

Job Title: Executive Assistant to CEO Location: Birmingham, Hybrid Working Options AvailableA dynamic and innovative challenger bank/growing fintech is seeking an experienced Executive Assistant. This vital role will support the CEO and the wider executive team, driving key business initiatives and maintaining seamless operations across multiple business areas. The ideal candidate will bring a proactive, "get things done" attitude and a high level of professionalism. This position offers growth potential and could evolve into a Chief of Staff role as the company scales. Responsibilities:Executive Support: Provide high-level administrative support to the CEO and senior leadership, including managing schedules, meetings, and travel.Serve as a key liaison between internal and external stakeholders, managing communication for the executive team.Meeting Coordination & ManagementConfidentiality & Information HandlingSupport the CEO on strategic projects and initiativesTravel & Event CoordinationOffice & Operational SupportRequirements:Minimum of 4 years in a senior administrative position, preferably supporting C-suite executives.Strong proficiency with MS Office Suite (Word, Excel, PowerPoint, Outlook), excellent communication, and a keen eye for detail.Background: Experience in technology or fintech environments is highly desirable, with a proven ability to manage complex schedules, projects, and high-level communications.Self-motivated, adaptable, with a proactive attitude and excellent problem-solving skills. Ability to thrive under pressure in a fast-paced, evolving environment.A bachelor’s degree or equivalent combination of education and experience is preferred, though not required.** Willingness to travel occasionally, including monthly trips to London and occasional trips to New York.