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Broadgate is partnered with a fast-growing AI infrastructure provider looking for a Legal Counsel to assist with all legal aspects of the business and offer guidance and advice to management. Responsibilities include:Provide expert legal advice and support to internal stakeholders across all business functions.Draft, review, and negotiate a broad range of commercial agreements, including NDAs, vendor contracts, and strategic partnerships.Ensure ongoing compliance with applicable laws, regulations, and internal policies.Oversee litigation matters and liaise with external counsel when required.Develop and implement legal and risk management policies and procedures.Support corporate governance activities, including preparation of board resolutions and oversight of entity management.Advise on employment law issues and collaborate with HR on employment contracts and internal policies.Monitor and interpret legal and regulatory developments relevant to the technology sector.Deliver training and awareness programs on legal and compliance topics.Manage relationships with external counsel on matters such as litigation, regulatory inquiries, IP, and transactional work, ensuring alignment with business objectives and risk appetite. Qualifications & Experience:Qualified solicitor in England & Wales with 3–8+ years of post-qualification experience (PQE), ideally gained through a combination of law firm and in-house roles.Strong expertise in contract law, corporate governance, and regulatory compliance.Proven ability to negotiate effectively and communicate complex legal concepts clearly.Self-starter with the ability to manage multiple priorities independently.Solid understanding of corporate legal frameworks and litigation strategy.Demonstrated experience advising on convertible bond structures.Skilled in crisis management, critical thinking, and cross-functional collaboration.Excellent written and verbal communication skills. Desirable:Experience within the technology or cloud services sector.Exposure to international law or cross-border transactions.Familiarity with intellectual property rights, data privacy regulations, and regulatory frameworks. If you are interested, apply with us today!

Regulatory Conduct ManagerCardiff (Hybrid) - £45,000 - £55,000As Regulatory Conduct MI Manager, you’ll support Compliance by identifying risk trends, preparing MI for senior committees, and ensuring accurate regulatory reporting. You’ll review and sign off data submissions and challenge business MI from a second-line perspective.Oversee and coordinate all regulatory data reporting (e.g., RegData, FCA requests), ensuring accurate and timely submissions.Conduct second-line review, provide insights, and approve FCA returns (e.g., RMAR, GIVM, REP008) with guidance from Advice and Technical Standards teams.Analyze and challenge business MI on conduct, products, pricing, and Consumer Duty, escalating significant issues as needed.Monitor and communicate regulatory trends to the Advice team, enabling effective stakeholder engagement and highlighting key FCA priorities.Your ProfileExperience within a Compliance function in Financial Services (Insurance ideally)Experience of conducting regulatory reportingCapable of producing and presenting data from an MI perspectiveStrong analytical, proactive, and customer-focused professional with excellent stakeholder management, confident decision-making, effective communication and collaborative teamwork skills

Senior Compliance Manager – TransformationHybrid | Flexible WorkingAn exciting opportunity to join a leading global healthcare and financial services organisation as a Senior Compliance Manager – Transformation, leading compliance oversight and controls across key transformation initiatives while supporting regulatory engagement and industry standards.ResponsibilitiesWorking across Transformation delivery workstreams, prioritising Compliance resource, as appropriate.Provide practical, timely Compliance advice across Transformation programmes.Identify and mitigate Compliance Risks across projects.Develop frameworks and controls to manage Compliance Risks effectively.Prioritise and coordinate Compliance resources across delivery workstreams.Prepare risk reports for Executive Committees and Boards.RequirementsStrong regulatory compliance background working within 1st or 2nd line, ideally from a Retail Banking or Insurance backgroundStrong understanding of relevant UK regulatory requirements.Ability to translate complex regulatory requirements into clear, actionable guidance for business stakeholders.Understanding of risk management frameworks, controls, and related regulatory requirements.

Financial Crime Team LeaderNewcastleThe Financial Crime Team Leader will be responsible for delivering the financial crime framework within the first line of defence. They will play a vital role in strengthening the firm’s approach to financial crime by implementing effective systems and controls and advising other teams on financial crime-related matters.Position ResponsibilitiesTeam Management & Advisory Support: Supervise a team of financial crime analysts, providing day-to-day direction and serving as the primary point of contact for 1st line financial crime-related inquiries across the business.Operational Oversight: Ensure timely and accurate completion of key activities including client monitoring, transaction reviews, onboarding exceptions, PEPs/sanctions/adverse media screening, high-risk client assessments, escalations, and handling secure message queries.Data Reporting & Policy Adherence: Prepare and deliver financial crime reports for 1st line management to relevant risk committees, while ensuring the team follows established protocols and standards for all escalations and alerts.Collaboration & Awareness: Engage with 2nd line financial crime teams, and actively promote awareness of financial crime prevention efforts across the organization.Your ProfileMinimum of 3 years AML experience, preferably gained within a dynamic environmentStrong managerial competency - perfect if you have experience of training staff and want to move into a team lead capacityAML knowledge is essential, experience within Fraud Prevention, Transaction Monitoring and/or Market Abuse would be beneficialAble to seamlessly fit in to a non-corporate structure/culture

Step into a role where your insights shape culture, not just checklists. I am currently partnering with a growing financial planning firm seeking a Compliance Officer who’s ready to lead on best practice, challenge constructively, and keep regulatory integrity front and centre. You'll be trusted to advise, influence, and help the firm scale with confidence. Key Responsibilities:Operate as part of the 2nd line Compliance function, supporting a culture of regulatory integrity and client-centric outcomesDeliver expert regulatory guidance and support across all business functionsManage and respond to data protection requests, including Data Subject Access Requests (DSARs)Log, investigate, and conduct root cause analysis of compliance breachesPerform horizon scanning to identify, monitor, and report on relevant regulatory developmentsConduct KYC due diligence reviews and investigate referrals from business unitsReview and approve financial promotions, marketing collateral, and client-facing materials to ensure regulatory complianceAssist in the preparation and submission of regulatory reports and information requestsPromote compliance awareness through staff engagement, training, and communicationsDevelop, maintain, and review internal compliance policies in line with evolving regulatory requirementsCompile and present Management Information (MI) to demonstrate compliance with applicable regulations and support client outcome monitoringParticipate in thematic reviews, depending on skills and experienceOversee the administration of the Senior Managers & Certification Regime (SM&CR), including certification and associated governance processesWhat You Bring:At least 1 year of experience in a retail compliance role within financial servicesSolid understanding of FCA regulations and regulatory expectationsStrong focus on delivering positive client outcomesPractical, solution-oriented mindset with the ability to interpret and apply regulatory requirements effectivelyWell-developed investigative and decision-making skills, supported by sound judgmentStrong analytical and problem-solving capabilitiesSkilled at translating complex regulatory concepts into clear, understandable guidance for diverse audiences

First Line Risk and Resilience AnalystLocation: London (Hybrid)Sector: Financial Services / Wealth ManagementEmployment Type: PermanentOverviewOur client, a leading financial services provider, is seeking a First Line Risk and Resilience Analyst to join their UK Private Banking unit. This is a high-impact, cross-functional role focused on strengthening operational risk management and enhancing the business’s resilience capabilities.You’ll work closely with business leaders and risk teams to support key control processes, develop risk assessments, and help embed a robust operational resilience framework aligned with UK regulatory expectations.Key ResponsibilitiesOperational Risk & ControlPrepare, maintain, and monitor Risk and Control Self-Assessments (RCSA)Develop and analyse risk registers, key risk indicators (KRIs), and perform key control testingTrack and report on operational risk events, perform root cause analysis, and drive action remediation plansIdentify risk trends and escalate emerging risks to relevant stakeholdersOperational ResilienceContribute to the development and enhancement of the firm’s Operational Resilience frameworkSupport mapping of critical business services to systems, people, processes, and third partiesAssist with impact tolerance validation and scenario testingMaintain and improve business continuity and disaster recovery plans, including scheduling and testingCoordinate training and awareness initiatives on resilience practicesCross-Team CollaborationLiaise with operations, IT, compliance, and other departments to align on risk and resilience standardsSupport regulatory compliance efforts, including interpreting guidance from UK regulators (FCA, PRA, BoE)Participate in ad hoc risk and resilience projects as requiredProduce management reporting for senior stakeholdersCandidate RequirementsEssential Skills & ExperienceSolid experience in operational risk management within a financial services environmentWorking knowledge of RCSA processes and control testingFamiliarity with UK regulatory requirements on Operational ResilienceStrong data analysis and reporting skills (especially Excel)Excellent written and verbal communication skillsHighly organised with attention to detail and the ability to manage multiple priorities independentlyDesirableExposure to incident management, business continuity, disaster recovery, or third-party riskExperience working in a matrixed or global organisationAwareness of relevant regulatory frameworks in the UK financial sectorWhat’s on OfferHybrid working model - 3 days in the officeStrong focus on work-life balance and wellbeingExcellent benefits including private medical, pension, and learning supportA collaborative, values-driven culture in a modern central London office

Broadgate is working with a regulated crypto bank that are growing rapidly with a global presence. They are looking for a Head of Sales to lead their growth across the Middle East with a focus on Private & Institutional Clients, leading a team of Relationship Managers. Responsibilities for the role include: Collaborate with regional and group leadership to define and align the regional sales strategy with overall business objectivesLead the implementation and execution of the sales strategy, including team hiring and resource planningManage and motivate and mentor the regional sales team to achieve and exceed sales targets and KPIsIdentify and capitalize on new business opportunities and market trends to drive growthExpand market presence in the Middle East through direct sales efforts and strategic partnershipsDevelop pricing strategies, sales policies, and forecasting models to ensure profitability and market competitivenessDevelop and maintain strong relationships with key regional clients, including individuals, corporates, and strategic partnersAct as a trusted advisor by understanding client needs and delivering value-aligned solutionsLead sales negotiations to secure mutually beneficial agreementsHandle and resolve escalated client issues to ensure long-term satisfaction and retentionCollaborate with cross-functional teams—including marketing, product development, and customer service—to ensure seamless execution and optimal client outcomesAnalyse market trends, competitor activities, and customer behaviour to provide strategic insights to senior leadershipConduct regular sales pipeline reviews and deliver accurate forecasts, reports, and performance updates to executive managementAdjust sales strategy in response to industry developments and regulatory changes Requirements for this role: Bachelor’s degree in Business, Marketing, or a related field; MBA preferredMinimum 10 years of sales experience, including 5+ years in a leadership role within the Middle EastDemonstrated success in driving sales growth and consistently exceeding targets in the regionExperience in both B2B and B2C sales environmentsStrong market knowledge and professional network in the Middle East, particularly within crypto, financial services, technologyExceptional negotiation and communication skills, with the ability to engage stakeholders at all levelsProven leadership in building, managing, and developing high-performing sales teamsStrategic and analytical mindset with the ability to translate insights into effective sales strategiesFluency in English; Arabic proficiency is an advantage Apply for this role with us today!

First Line Risk Manager - £65,000 - Private BankingThis is an exclelent opportunity for someone with a background in private Banking / Wealth management to come in and make an impact within a very progressive organisation. OverviewThis is a first line of defence role within a regulated financial services organisation, focused on supporting Private Banking & Wealth Management. The position is responsible for helping the business meet its strategic objectives while ensuring effective governance and compliance with regulatory obligations. The role involves close collaboration with teams such as Risk, Compliance, Operational Resilience, Financial Crime, and Legal.The successful candidate will support UK-based business risk activities (including strategic, financial, and operational risks), contribute to regulatory change initiatives, and participate in client- and project-related agendas.Key ResponsibilitiesEmbed and enhance risk and compliance frameworks across business units, with a focus on data protection, financial crime, and other key areas.Lead and participate in first line monitoring reviews, coordinating resulting actions and maintaining appropriate records.Support the operation of the firm’s overarching Risk Management Framework by fostering an effective control environment, including control testing and input into capital adequacy assessments.Work with senior stakeholders to align business strategy with risk appetite.Ensure timely escalation, reporting, and resolution of risk incidents in line with internal policies.Prepare and manage the Risk and Control Self-Assessment (RCSA) process, reflecting ongoing risk assessments and business changes.Track and report on mitigation plans for identified control gaps, risk events, breaches, and client complaints.Manage documentation of risk acceptances, track key risk indicators (KRIs), and monitor for emerging risks.Contribute to or lead regulatory change initiatives, and help respond to information requests from regulators where necessary.Support prospect and client meetings, including input on RFPs and due diligence requests.Promote awareness and understanding of risk and regulatory frameworks across the business through training and coaching.Oversee delivery of Consumer Duty obligations, including preparing board reports and leading working group meetings.Encourage a resilient culture by supporting operational resilience awareness and initiatives.Maintain a strong understanding of risk policies, ensure timely incident reporting, and complete all relevant training requirements.Skills & Experience RequiredExperience in financial services in a risk or compliance role, with working knowledge of RCSA processes.Strong interest in risk management and first line of defence responsibilities.Ability to develop deep knowledge of products, services, and regulatory requirements.Strong communication skills, particularly in data presentation, incident reporting, and senior stakeholder engagement.Excellent written communication skills for drafting policies and procedures.Proficiency in Excel and data analysis; strong general IT skills and adaptability to new systems.Project management experience and the ability to coordinate across multiple teams.Attributes & BehavioursStrong problem-solving abilities and creative thinking.Effective and credible communicator with internal and external stakeholders.Collaborative and team-oriented mindset.Energetic, adaptable, and process-improvement focused.Excellent time and project management skills.