Adrian McCarthy

Financial Crime Advisory Manager & Deputy MLRO A UK mutual financial services organisation is hiring a Financial Crime Advisory Manager & Deputy MLRO, reporting to the Head of Compliance & MLRO. You’ll also spend around half your time as the financial crime SME on a three-year digital transformation programme. Responsibilities Act as Deputy MLRO and oversee the Financial Crime Officer Own the Financial Crime Risk Management Framework, policies and Firm-Wide Risk Assessment Horizon scan regulatory change and carry out gap analysis Act as financial crime product owner on the transformation programme Represent the business at industry and regulatory forums Requirements Extensive financial crime/AML experience gained within a bank or building society An AML qualification (Certificate level minimum) Transformation project or online savings fraud experience (desirable) Strong communication skills and confidence with senior stakeholders

Governance & Assurance Manager | Insurance & Financial Services Buckinghamshire | Permanent  A well-established, FCA and PRA regulated financial services organisation is creating a new first-line governance and assurance role within its consumer function. You’ll report to a senior director and shape how good customer outcomes are evidenced and protected across the business. The role This is a hands-on build. You’ll design and embed a consistent first-line governance, assurance and operational risk framework across claims, customer service, product and consumer support teams.   Design and run a risk-based assurance and control testing programme Provide constructive challenge on controls, risk ownership and ways of working Provide first-line oversight of Consumer Duty evidence and regulatory readiness Oversee business continuity (BCM) and operational resilience arrangements Bring governance to transformation and process change Produce clear MI and reporting for senior leaders and governance forums Work closely with Risk, Compliance and Internal Audit across the three lines model What we’re looking for Significant experience in first-line assurance, operational risk, control testing or governance within a regulated environment Experience supporting Consumer Duty or conduct risk Experience designing or improving frameworks across multiple functions Strong stakeholder skills and confidence challenging at senior level Clear written communication and a data-driven approach Insurance experience is highly desirable Experience of standing up or maturing a risk function would be a real advantage A risk, governance, audit or resilience qualification (IRM, ICA, IIA, CBCI) is welcome but not essential Why join You’ll have real influence in a role with direct access to senior leadership, at a time when consumer outcomes are a regulatory priority. This is a chance to build something as you see best practice.  To find out more, get in touch for a confidential conversation

Reward Analyst / Reward Manager | Remote  I’m working with a mid-tier professional services firm that is building its in-house reward function for the first time. They’re looking for an experienced reward professional to help shape it from the ground up, and they’re open to hiring at either Analyst or Manager level depending on experience. The role comes with a comprehensive benefits package. The role is fully remote, but they’d ideally like someone based within reach of Manchester. The opportunity This is a newly created role. The firm’s ongoing M&A activity means there’s plenty of meaty reward analysis to get stuck into, and over time you’ll take ownership of the firm’s reward structures and systems. You’ll have the support and runway to build things properly rather than inheriting a backlog.   What you’ll be doing Pay benchmarking: matching roles to salary surveys and market data, owning annual survey submissions, and recommending salary ranges Designing and running the pay review process, including bonus modelling, budget tracking and data checks Supporting job evaluation and grading, applied consistently and with clear records Analysing the reward implications of acquired businesses: due diligence, mapping roles to the grading structure, and pay harmonisation proposals Internal pay relativities, gender pay gap reporting and equal pay audits Modelling LTIP outturns and building Total Reward Statements   What you’ll bring Significant hands-on reward experience, particularly in benchmarking, job evaluation and grading A track record of turning market data into clear pay recommendations LTIP and Total Reward Statement experience Advanced Excel (lookups, pivots, modelling) and confidence working with large datasets Comfort working independently and owning data-led projects end to end   Nice to have Power BI, especially experience replacing Excel-based reporting An interest in, or knowledge of, AI in reward and analytics Reward experience on mergers or acquisitions Working knowledge of UK pay legislation   Why apply? A rare chance to build a reward function, not just maintain one Genuine variety, driven by an active acquisition pipeline Fully remote, with the autonomy to shape how reward is done   Interested? Apply here or get in touch directly: ? william@broadgatesearch.com ? +44 20 3772 3959

HR Integration Senior Manager | UK & Ireland - Hybrid Be at the heart of business transformation. What if your next HR role went beyond business partnering and gave you the opportunity to shape how businesses come together, how people experience change, and how organisations grow? We’re looking for an experienced People & Culture professional to take ownership of the people integration journey following business acquisitions. This is an opportunity to work at the intersection of people strategy, business transformation and M&A, playing a pivotal role in bringing acquired businesses together while protecting the talent, culture and client relationships that make them successful. You’ll have genuine visibility with senior leadership, ownership of meaningful integration projects and the opportunity to influence how future acquisitions are delivered. Why this opportunity stands out Lead the people workstream from early integration planning and Day 1 readiness through the first 100 days, stabilisation and final handover. translate acquisition strategy into practical people plans that protect business continuity, retain key talent and support long-term value creation. Partner closely with business leaders, acquired-company stakeholders, People & Culture specialists and programme leadership. Help bring different teams, leadership styles and working practices together while preserving the strengths that make each business distinctive. Track integration progress, employee retention, engagement, workforce priorities and agreed business benefits. Contribute to the development of integration frameworks, playbooks and processes that will shape how future acquisitions are delivered. Work across the UK and Ireland within a hybrid environment, with the opportunity to collaborate across multiple locations and businesses. The role You’ll be the central point of coordination for the people aspects of acquisitions, ensuring that plans move from strategy into successful execution. Working alongside senior stakeholders and specialist teams, you’ll coordinate organisational design, employee transitions, payroll and benefits changes, HR systems, recruitment, learning and employee engagement. You’ll ensure the right people are involved at the right time, risks are identified early, decisions are escalated appropriately and critical milestones are delivered. You’ll also play a key role in managing the human side of change: helping leaders communicate effectively, supporting managers through uncertainty, identifying retention risks and ensuring employees feel informed and supported throughout the transition. This is a delivery-focused position. You won’t be expected to be the technical expert in every HR discipline, but you will need the judgement and project leadership skills to bring the right specialists together and ensure that nothing falls through the cracks. From initial readiness through to business-as-usual handover, you’ll have a clear line of sight between your work and the success of each integration. What you’ll bring We’re interested in professionals who combine strong people expertise with the commercial awareness and delivery discipline needed to manage complex business change. You’ll ideally bring: Significant experience in HR, People & Culture, HR business partnering, organisational change or people integration. Direct experience leading the people aspects of M&A integrations, acquisitions or comparable business transformation programmes. Experience in professional services, accountancy, consulting or another complex, partnership-led and client-facing environment. Strong project management skills, including integration planning, milestones, dependencies, risk management and progress reporting. Sound working knowledge of UK employment law, employee consultation, employee transfers and employee relations, with the ability to engage legal and technical specialists when required. Experience supporting organisational design, cultural alignment, leadership engagement and employee retention. The confidence to influence senior stakeholders, challenge constructively and navigate competing priorities. Excellent communication skills and the ability to handle sensitive information and change-related conversations with discretion. Experience across multiple acquisitions, UK and Ireland operations, or the development of integration playbooks would be advantageous. A CIPD qualification or equivalent professional accreditation is also desirable. Who will thrive here? You’re someone who enjoys bringing structure to complexity. You can move comfortably between strategic discussions with leadership and the practical detail required to deliver an integration successfully. You understand that successful M&A is about more than systems, structures and processes. It’s about people, trust, communication and ensuring that the business continues to perform while change takes place. You’re resilient, commercially minded and comfortable taking ownership in an environment where priorities can evolve quickly. The next step in your career This is an opportunity to move beyond traditional HR business partnering and into a role where you can influence acquisition outcomes, shape the employee experience and build a valuable specialism in people integration. If you’re ready to combine people strategy, M&A and hands-on delivery in a role with real business impact, we’d welcome a confidential conversation.

Director of Risk, Compliance & MLRO (SMF16&17)   As the Director of Risk, Compliance and MLRO you will be a member of Executive Management Team. Providing independent strategic and operational oversight of building and shaping the compliance function. Delivering the right strategies, tools and controls to promote a positive risk and compliance culture and associated behaviours across organisation.   Some Key Responsibilities Lead the delivery of the Compliance Assurance programme across the business. Development, implementation and maintenance of appropriate compliance, risk and financial crime frameworks Deliver robust oversight on non-financial risks, including operational, change, conduct and reputational risk in collaboration with the Chief Executive Horizon scanning, ensuring compliance with relevant UK regulations and legislation, including financial crime and Anti-Money Laundering Drive forward looking insight into major risks, anticipating major exposures and providing analysis to stakeholders Design, enhance and build out effective 2nd Line of Defence oversight Compliance monitoring via testing of first line quality assurance activities and Thematic Reviews Supporting the wider People strategy with SMCR (Senior Manager Certification Regime) and maintaining a culture which embraces awareness and prevention of conduct risk Carry out the responsibility of MLRO with full access to resources and information to enable a stance of authority and independence Compilation of the MLRO annual report and subsequent recommendations to the BRAC (Board Risk & Audit Committee) MLRO reporting to regulatory bodies and board/committees Experience Proven experience in Risk management and Compliance in UK Financial regulated mortgages business Strong MCOBS experience Thorough understanding of SMCR (Senior Manager Certification Regime) Commercially minded Previously held an SMF16 or SMF17 role, both would desirable Excellent relationship and stakeholder management skills with an ability to challenge at all levels

Senior Manager, Model Risk Established UK Bank | Hybrid Working The opportunity An established UK banking group is looking for a Senior Manager to strengthen its Model Risk function, providing independent oversight of models used to support lending decisions, credit risk management and financial reporting. This is an opportunity to take ownership of key elements of the Model Risk Framework, challenge model development and performance, and help ensure models remain robust, appropriate and fit for purpose as the business evolves. Working closely with Credit Risk, Finance, Data Science and senior stakeholders, you’ll play an important role in maintaining effective model governance while supporting responsible lending and sustainable business growth. What you’ll be doing Leading independent validation and oversight of credit risk models across consumer and business lending portfolios. Challenging model design, assumptions, methodology, performance and ongoing monitoring. Overseeing models used for credit decisioning, probability of default (PD), loss given default (LGD), exposure at default (EAD) and IFRS 9 expected credit loss. Maintaining and enhancing model governance, policies, validation standards and risk reporting. Identifying model limitations, emerging risks and areas for improvement, making clear and actionable recommendations. Working with first-line model owners to ensure findings are addressed and appropriate controls are maintained. Presenting model risk insights and recommendations to senior management and relevant governance committees. Supporting regulatory expectations and the continued development of the bank’s model risk capabilities. About you We’re looking for an experienced model risk professional with a strong understanding of credit modelling and the ability to combine technical challenge with sound commercial judgement. You’ll ideally bring: Experience in Model Risk Management, independent model validation or credit model oversight within banking or financial services. Strong knowledge of credit risk models, ideally covering PD, LGD, EAD and IFRS 9. Exposure to consumer lending, SME lending or a combination of both. A track record of challenging model assumptions, assessing performance and communicating validation findings effectively. Experience developing or embedding model governance frameworks, policies and controls. Confidence engaging with senior stakeholders and influencing model owners to deliver improvements. Strong analytical, problem-solving and written communication skills. Why consider this opportunity? You’ll join a well-established banking business where you can make a tangible contribution to the strength of its risk management, influence senior stakeholders and help shape the ongoing development of its Model Risk function. It’s an opportunity for someone who enjoys getting into the technical detail, asking the right questions and translating complex model risk issues into practical outcomes.

Broadgate have been exclusively engaged to support a growing Wealth Management firm on a Deputy MLRO search. An exciting opportunity for an experienced Financial Crime leader to review the current processes and framework, drive enhancements and embed best practice. Some Key Responsibilities   Conduct a comprehensive review of an external compliance consultant's findings and recommendations, prioritising and delivering remediation activities. Take ownership of the Financial Crime programme, ensuring regulatory obligations are met and best practice is embedded. Leading the review and enhancement of the Company's AML and Financial Crime framework. Reviewing, redesigning and implementing AML, CDD, EDD and Financial Crime policies, procedures and controls. Developing and implementing a robust client risk-rating methodology. Establishing and embedding Enhanced Due Diligence (EDD) processes for higher-risk clients and relationships. Enhancing our customer onboarding and ongoing monitoring controls, including identity verification requirements. Deliver engaging AML and Financial Crime training across the business to improve awareness, understanding and compliance. Provide ongoing guidance and support to colleagues on AML, Financial Crime and regulatory matters. Experience Proven experience designing, implementing, or enhancing AML and Financial Crime frameworks. Experienced Senior Financial Crime professional ideally from Wealth & Investments background, wider financial services would be considered. Strong knowledge of FCA rules and regulations, including the FCA Handbook, SM&CR, Consumer Duty AML-related professional qualification (ICAS, ICA Diploma, ACAMS or equivalent) The ability to influence stakeholders and drive change across a business.

Tax Director | Award-Winning Tax & Wealth Advisory Firm | Bergen County, NJ | Up to $180,000 + bonus About the Firm Our client is a growing and highly respected tax and wealth advisory firm in Bergen County, NJ, recognised nationally across several industry rankings in recent years. While boutique in size, their client base is mid-market in nature, and the accounting team of around 25 people handles a broad and complex mix of work. They’re seeking a Tax Director to lead the tax function and work closely with the partner group as the firm continues to grow. The role offers a base salary of up to $180,000 plus bonus and benefits, commensurate with experience. The team works one day a week remotely, with flexible scheduling and early finishes on summer Fridays. Extra hours are expected during tax season (Feb to Apr). Relocation to NJ is welcome for the right candidate. About the role This is a senior leadership role with real ownership. You’ll be the technical lead across the tax practice, overseeing the review of complex engagements, setting the standard for quality and process, and acting as a trusted advisor to the firm’s key clients. You’ll lead and develop the managers and staff beneath you, partner with the wealth advisors on integrated tax and financial planning, and help shape how the practice scales over the next few years. Essential Duties / Responsibilities Lead the firm’s tax practice day to day, overseeing workflow, staffing and delivery across all engagements Provide final level review of complex individual, partnership, corporate, trust and estate returns Own the tax planning process for key clients, including year round projections and strategy Serve as the senior technical resource for the team, researching and resolving complex tax issues Manage, mentor and develop tax managers, seniors and staff, building out the team’s bench strength Work alongside the wealth advisors on estate, retirement and financial planning matters Build and deepen relationships with high value clients and support new business development Drive process improvement, best practices and quality control across the tax function Oversee budgets, realization and production goals for the practice Lead internal training and CPE on technical updates and relevant industries Partner with leadership on firm strategy, growth initiatives and new client proposals Preferred Qualifications / Requirements Active CPA license 10+ years of public accounting experience, with significant time in a tax leadership role Experience at a mid-market CPA firm, or serving mid-market clients, strongly preferred Deep technical knowledge across 1040, 1065, 1120/1120S, 1041 and 706 returns Proven track record leading and developing tax teams Strong client facing presence with experience managing senior client relationships Lacerte experience a plus Bachelor’s degree in Accounting; Master’s in Taxation a plus Desired Characteristics Confident leader who can set direction and hold a high bar for quality Superior interpersonal, verbal and written communication skills Commercially minded, with an eye for growing the practice Organized, detail oriented and comfortable managing competing priorities