CASE STUDIES

Charities Aid Foundation (CAF) is a leading charity and bank working to accelerate progress in society towards a fair and sustainable future for all. CAF is a group of charitable organisations in the UK and North America, and for the last 100 years, they have led the way in way in developing innovative approaches to giving.

Over the past 24 months, Broadgate have partnered with CAF to deliver 100% of its hires within the 2nd line compliance team.

As a trusted recruitment partner, Broadgate have placed key interim leaders and supported long-term, strategic hires that have shaped the evolution of the function.

This includes:

• Interim Head of Compliance (later transferred to a permanent position)
• Head of Financial Crime Compliance (later transferred to a permanent position)
• 2 Senior Compliance Managers
• Compliance Projects Analyst (embedded into a wider tech transformation initiative)

By consistently outperforming competing agencies, Broadgate not only delivered every role but also ensured continuity and stability for CAF’s compliance function.

Canada Life provides retirement, investment and protection solutions to individuals, families and businesses. Seeking an agile talent partner, Canada Life enlisted Broadgate to deliver a comprehensive Risk and Compliance transformation program. Our approach involved providing sustained support through long-term contracts (minimum one year), with our team peaking at 17 contractors. Over a five-year partnership, Broadgate has become a trusted talent partner for Canada Life, placing over 25 contractors across various initiatives, including critical support for GDPR readiness.

Centrus is a dedicated team of corporate finance advisors, treasurers and analytics experts who provide advice and investment to the projects, companies and assets that matter to people, communities and the environment. Centrus were in the market to hire a solution-oriented Head of Compliance with strong experience and credibility (particularly regarding the FCA), with a focus on acquiring regulatory sign-off. Given Broadgate’s experience and credentials, Centrus had no concerns with the team’s search capabilities. To help improve confidence in the candidate, Broadgate lent on the consultancy services of its senior advisor and C-suite trainer, Adrian McCarthy, identifying and securing the Head of Compliance role inside the agreed time frame.

Citibank had a high volume of diverse hires to make across Risk Management and Compliance over several years. The mounting pressure on their internal recruitment function made sourcing the relevant talent challenging, largely due to niche skill requirements and constant regulatory change. By leveraging an expansive community network, referrals, and bespoke thought leadership events, Broadgate was able to extend Citibank’s reach and create access to previously isolated candidates. Throughout their two-year partnership with Citibank, Broadgate made 49 key placements across Risk Management and Compliance. 60% of the hires made were from diverse backgrounds.

Fidelity International provide world-class investment solutions and retirement expertise to over 2.87 million clients around the globe. Intending to futureproof their pensions business, Fidelity International commissioned a highly complex remedial project spanning the course of several years.Fidelity International needed to source a wide array of skilled candidates, including pension case handlers, redress experts, and transfer specialists. Given the sheer scope of the project requirements, Fidelity International was in the market to hire both permanent and interim personnel when they turned to Broadgate for support. By leveraging a global, community-built candidate network, Broadgate was able to attract and place a range of high-quality, culturally compatible candidates into various investment management roles.

Broadgate partnered with an award-winning fund and corporate services organisation, revered around the globe for their expertise and integrity in the finance space. Broadgate’s client was experiencing a major influx of work, resulting in the need to take on a range of junior candidates at once, many of whom required extensive depository experience. Broadgate supported their client’s TA team by conducting pre-screening interview tests on their behalf, alleviating some of the workload. Broadgate dedicate a consultant to their project, taking on the project as a full-time priority. Broadgate was able to fill jobs quickly and cost- efficiently, easing the strain of the workload, filling mission-critical positions, and supporting their client’s positive growth trajectory, placing 28 candidates to date.

For more than 50 years, leading financial institutions and businesses have relied on FIS financial technology to power their mission-critical operations. In search of senior compliance leaders, the team at FIS enslisted the help of Broadgate's recruitment and advisory specialists. Having previously delivered a number of successful hiring project in this niche (regulatory approved governance roles in FinTech), Broadgate were able to quickly pinpoint and vet qualified, culturally attuned candidates from an expansive global network. Broadgate successfully placed two regulatory approved Heads of Compliance in two different legal entities for FIS.

Quilter PLC, a leading provider of advice, investments, and wealth management in the UK and internationally, engaged Broadgate Search to support a significant organisational restructure. This involved separating from their parent company, Old Mutual PLC, and listing independently on the London Stock Exchange. To overhaul Quilter's risk and compliance framework, Broadgate Search built internal teams capable of establishing robust risk management, reducing reliance on external resources. This included strengthening the second line of defense and enhancing risk activities within individual entities and the first line of defense. We successfully placed numerous candidates across the group and its subsidiaries, including Intrinsic FS, Old Mutual Global Investors, and Quilter Cheviot, with up to 11 concurrent contractors on-site supporting this transformation.

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.

SCOR is a leading global reinsurer that offers its clients a diversified and innovative range of reinsurance and insurance solutions and services to control and manage risk. SCOR were searching for a business-critical role, a Head of Compliance, and their previous attempts to secure and retain them had not worked as intended. SCOR engaged the specialised recruiters at Broadgate for support. The team at Broadgate dedicated the full extent of their resources to committing an international talent search, which included looking inside the organisation’s existing employee network. Alongside the establishment of psychometric testing to assess ability and personality, Broadgate were able to present a list of pre-screened, vetted, and interviewed candidates. This enabled SCOR to streamline their search, saving both and money in the process. The Broadgate team were successful in appointing a new Head of Compliance, gaining approval by the regulator with incredible feedback on the candidate.

The Cumberland Building Society aims to create a banking experience that is kinder to people and the planet. In search of a Head of First Line Risk and Reslience candidate, the team at The Cumberland Building Society engaged the specialist recruiters at Broadgate for support. Broadgate was able to provide a diverse shortlist to fulfil the requirement of a critical hire in to the COO business function. Within an agreed 6 week timelines, we were able to provide a longlist of over 80 candidates, a shortlist of 10 and get 6 candidates to first stage interview. With our agreed timelines we were then able to get from first interview to offer within 3 weeks.

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 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.

 

We completed an assignment on a regulatory requirement role which cannot be empty for more than 90 days. We were delighted to be referred from another client to Turkish Bank, following excellent feedback.

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.