Broadgate
FOLLOW FOR MORE:
Spotify
  1. Home/
  2. Legal, Compliance & Financial Crime

Legal, Compliance & Financial Crime

Legal, Compliance & Financial Crime Recruitment: Connecting Top Talent in the UK, Ireland, Switzerland, Germany, Luxembourg, and the US

A view of a skyscrapers to represent Broadgate's financial services specialisation

Broadgate is the preferred choice for legal, compliance and financial crime recruitment by many of the world’s leading firms. Our specialist consultants have the market knowledge, networks, and diversity-focused mindset to deliver sustainable talent solutions in a fast-changing regulatory environment.

From compliance managers and AML (Anti-Money Laundering) specialists to C-Suite roles such as Chief Compliance Officers and Heads of Financial Crime, we’re here to connect best-in-class talent with inclusive, growth-enabled opportunities inside the most exciting organisations in banking, insurance, and investments. 

Supported by our consulting division, led by ex-regulator Adrian McCarthy, our delivery teams are equipped to pinpoint culturally aligned, regulatory-approved talent in niche areas.

Through our community-led approach to recruitment, we create access to hard-to-reach candidates, enabling our clients to enrich their businesses with diverse perspectives.

Contact Broadgate to find out more about how our Legal, Compliance and Financial Crime recruitment division can support you.

Roles we support include:

Monitoring & Testing

Generalist

Advisory

Conduct Risk

Horizon Scanning

Regulatory Change

1st Line Compliance

1st Line Oversight

Financial Crime

Legal Counsel

Associate General Counsel

General Counsel

Chief Legal Officer

Head of Regulatory Affairs

INSIGHTS
Compliance Hiring Has a New Bottleneck: Soft Skills
Blog

Compliance Hiring Has a New Bottleneck: Soft Skills

Georgia MasonGeorgia Mason
5 days ago
Executive Recruitment: What do Regulators & Shareholders Expect from Their Board?
LondonBlogLegal, Compliance & Financial CrimeRisk

Executive Recruitment: What do Regulators & Shareholders Expect from Their Board?

Ben AdamsBen AdamsAdrian McCarthyAdrian McCarthyKevin Adam-HeinKevin Adam-Hein
26 days ago
CAF (CHARITIES AID FOUNDATION)
100%
Compliance Hires Delivered
4
Senior Contractors Placed
4/4
Contractors Converted to Permanent Employees

Charities Aid Foundation (CAF) is a leading charity and bank driving progress toward a fair and sustainable future. For over a century, it has pioneered new approaches to giving across the UK and North America. Over the past two years, Broadgate has partnered with CAF to deliver all hires into its second-line compliance team - placing interim leaders and long-term specialists who have shaped the function’s evolution. This includes the Head of Compliance, Head of Financial Crime Compliance, two Senior Compliance Managers, and a Compliance Projects Analyst supporting a wider tech transformation. By consistently outperforming other agencies, Broadgate has ensured continuity and stability for CAF’s compliance function.

CAF (Charities Aid Foundation)
RBS INTERNATIONAL
1.8
CV to Interview Ratio
28 Days
Time to Hire
13
Permanent Hires Made

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.

RBS International
THESIS ASSET MANAGEMENT
8
Permanent Placements
4
CVs Per Role
2:1
CV to Interview Ratio

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.

Thesis Asset Management
TRIODOS BANK
100%
Completion Rate
8
Risk & Compliance Contractors Placed

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.

 

Triodos Bank
WEALTHTIME
100%
Completion Rate
5
CVs Per Role in 24 Hours
1.5
CV to Interview Ratio

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.

Wealthtime
VIEW OUR CASE STUDIES

MEET THE TEAM

Meet Ben

Ben Adams

Co-Founder and Managing Director

Meet Adrian

Adrian McCarthy

Senior Advisor

Meet Kevin

Kevin Adam-Hein

Partner

Meet Daniel

Daniel Tapsell

Associate Director, Contract and Interim

Meet Matt

Matt Carter

Associate Director: Risk, Compliance, Financial Crime

Meet Connor

Connor Nurse

Head of US

Meet Darren

Darren Hogan

Team Leader, Ireland

Meet Georgia

Georgia Mason

Recruitment Consultant

Meet Annabel

Annabel Lovell

Recruitment Consultant

Meet Cheytan

Cheytan Stewart

Recruitment Consultant

 

LATEST JOBS

Bath, Bath Avon, South West, England
Senior CASS Specialist
Permanent£120000 per annum
Senior CASS Specialist Some Key Responsibilities:Support the business on CASS technical query escalationsPreparation and delivery of CASS adherence reports/opinion to the Executive Team and the BoardWork closely with the 2nd line risk and compliance function in management changes to the CASS regulatory environmentProduce and maintain CASS policies / frameworks as required.Support the design and implementation of a first line CASS oversight function within operationsOwnership and maintenance of CASS Control Matrix, including monthly attestations and sample testing Experience & Qualifications:Strong interpersonal and communication skillsCASS knowledge, in particular CASS 6,7 and 8Experience in a similar CASS oversight roleCASS CISI qualification, Investment Management Certificate (IMC), Operations Certificate (IOC) or equivalent industry recognised qualificationPrevious experience in a similar role within the Wealth & Investment Management/ Platform sector
Matt CarterMatt Carter
Posted 9 minutes ago
VIEW ROLE
Bath, Bath Avon, South West, England
Senior CASS Specialist
Permanent£120000 per annum
Senior CASS Specialist Some Key Responsibilities:Support the business on CASS technical query escalationsPreparation and delivery of CASS adherence reports/opinion to the Executive Team and the BoardWork closely with the 2nd line risk and compliance function in management changes to the CASS regulatory environmentProduce and maintain CASS policies / frameworks as required.Support the design and implementation of a first line CASS oversight function within operationsOwnership and maintenance of CASS Control Matrix, including monthly attestations and sample testing Experience & Qualifications:Strong interpersonal and communication skillsCASS knowledge, in particular CASS 6,7 and 8Experience in a similar CASS oversight roleCASS CISI qualification, Investment Management Certificate (IMC), Operations Certificate (IOC) or equivalent industry recognised qualificationPrevious experience in a similar role within the Wealth & Investment Management/ Platform sector
Matt CarterMatt Carter
Posted 11 minutes ago
VIEW ROLE
London, Greater London, South East, England
IT Compliance Manager
PermanentCompetitive
IT Compliance Manager @ Global Trading Firm  Location: Remote Our client, global, technology-driven trading firm operating across major financial markets, is hiring an IT Compliance Manager to oversee technology controls to ensure compliance with financial market regulations and data protection standards within a high-performance trading environment.. This role suits a highly autonomous and proactive professional who identifies compliance risks and operates effectively in a fast-paced, quantitative setting. Roles & Responsibilities: Lead major compliance projects including ICT implementations, regulatory change, and new market or venue accessManage project scope, timelines, resources, deliverables, and stakeholder expectationsOversee compliance review and sign-off of technology changes and system implementationsEmbed regulatory and compliance controls into system architecture and the SDLCMonitor adherence to regulatory technical standards (e.g. MiFID II RTS 6)Act as the primary compliance liaison for technology, trading, and business teamsSupport regulatory examinations, incident management, and stakeholder reporting Essential Skills & Experience:Degree in Computer Science, IT, or related field, with relevant professional certifications (e.g. ITIL, ISO 27001, CISA, CRISC)Strong experience in technology compliance and ICT implementation oversight within electronic or HFT trading environmentsDeep knowledge of ICT governance, system change management, technology audits, and regulatory technical standards for electronic tradingAbility to interpret complex regulations and apply them effectively to high-performance trading operationsProven project management, analytical, and stakeholder management skills, with experience leading cross-functional initiativesExcellent communication skills and ability to manage multiple priorities independently in a fast-paced environment Benefits:Fully remote with access to global offices including London, DubaiFlexible working schedule40 paid days off annuallyCompetitive compensationInternational team and cutting-edge technology If this sounds like your next role then get in touch with me at annabel.lovell@broadgatesearch.com
Annabel LovellAnnabel Lovell
Posted about 1 hour ago
VIEW ROLE
London, Greater London, South East, England
Senior Compliance Manager
PermanentCompetitive
Senior Compliance Manager @ Global Trading Firm  Location: Remote Our client, global, technology-driven trading firm operating across major financial markets, is hiring a Senior Compliance Manager to lead complex regulatory initiatives in a fast-paced, electronic trading environment. This role is for a highly self-sufficient professional who takes ownership and can translate complex regulation into practical outcomes. Roles & Responsibilities:Lead major compliance projects, including regulatory change, new market access, and remediation initiativesOwn compliance responsibilities across assigned regions, asset classes, or regulatory domainsInterpret and apply complex regulations across US, European, and Asian marketsOversee regulatory reporting, filings, and regulatory examinationsAct as the primary compliance contact for key business stakeholdersCoordinate cross-functional teams to deliver compliant, practical solutions Essential Skills & Experience:7 years’ compliance experience in financial services, including electronic or HFT/algorithmic tradingStrong knowledge of global market regulations (SEC/FINRA, MiFID II/MiFIR, MAR, EMIR, APAC regimes)Proven ability to lead complex, cross-functional compliance initiativesHighly self-sufficient, with strong communication and stakeholder management skills Benefits:Fully remote with access to global offices including London, DubaiFlexible working schedule40 paid days off annuallyCompetitive compensationInternational team and cutting-edge technology If this sounds like your next role then get in touch with me at annabel.lovell@broadgatesearch.com
Annabel LovellAnnabel Lovell
Posted about 3 hours ago
VIEW ROLE
Birmingham, West Midlands, England
Compliance Officer
Permanent£45000 - £50000 per annum
Compliance Officer / Compliance Manager Financial Planning / Wealth Management Birmingham | Hybrid WorkingAn established and growing independent financial planning firm in the West Midlands is seeking a Compliance Officer to support the business during continued growth. Key ResponsibilitiesMonitor FCA regulatory requirements and advise senior managementCompliance monitoring, risk assessments and reportingOversight of client file reviews (high-risk in-house; low-risk outsourced)FCA reporting and maintenance of the FCA DirectoryAdviser Training & Competency, FIT assessments and CPD oversightPolicy and procedure reviewOversight of PII, cyber insurance and complaints handlingDue diligence on providers and third partiesSkills & Experience:Minimum 2 years’ experience in a Compliance Officer role within an IFA / wealth management environmentStrong working knowledge of FCA regulations applicable to IFA firmsExperience of compliance monitoring, file reviews and regulatory reportingLevel 4 diploma in financial planning qualification (or working towards)
Georgia MasonGeorgia Mason
Posted about 4 hours ago
VIEW ROLE
Malta
Compliance Officer
PermanentCompetitive
Broadgate is partnered with an international trading company looking for a Compliance Officer to join their team. The position is heavily monitoring-led, with the majority of time dedicated to testing, review activity, and regulatory assurance in line with MiFID obligations and wider regulatory standards. Responsibilities include:Own and deliver the annual compliance monitoring programme, ensuring effective coverage throughout the yearPerform ongoing compliance testing and monitoring activities across the businessAssess adherence to MiFID and other applicable regulatory requirementsIdentify, evaluate, and escalate compliance risks, breaches, or control weaknessesProduce clear and timely compliance reports for senior managementTrack regulatory developments and communicate relevant changes internallySupport internal audits, reviews, and regulatory interactions as requiredProvide practical compliance guidance and training to business stakeholdersWork collaboratively with internal teams to resolve compliance findings and enhance controls Requirements:Professional Qualification (PQ) approval by the MFSADegree qualified in Law, Finance, Business, or a related disciplineProven experience in a compliance, risk, or regulatory role within financial servicesSolid working knowledge of MiFID regulationsStrong analytical skills with the ability to interpret regulatory requirements pragmaticallyHighly organised, with the ability to manage priorities independentlyClear and confident communicator, both written and verbalStrong attention to detail and a structured approach to workProfessional compliance qualifications are advantageous but not essential Apply with us today!
Elliott SnowballElliott Snowball
Posted about 6 hours ago
VIEW ROLE
Greater London, South East, England
Risk & Compliance Manager
Permanent£62000 - £82000 per annum
Risk and Compliance Manager – Investment Management & WealthLocation: London (Hybrid working available)Join a fast-growing Risk & Compliance Advisory team at a big 4 global consultancy. You'll work at the forefront of the Investment Management & Wealth sector, supporting major clients as they navigate regulatory change, operational risk, and compliance challenges. This is a unique opportunity to help shape industry-leading solutions while developing your own career in a flexible, collaborative environment. Key Responsibilities:Advise clients on risk and regulatory matters across the sector.Analyse upcoming regulatory developments and assess impact on clients.Design and implement effective risk and control frameworks.Contribute to thought leadership, market propositions, and industry forums.Support business development and help grow the practice.Requirements:Proven experience in risk, compliance, or regulatory advisory within Investment Management or Wealth/ Platform (consulting, in-house, or regulatory).Strong understanding of UK and/or EU financial regulations relevant to investment firms, fund managers, or wealth managers.Practical experience designing and implementing risk frameworks.Excellent communication and stakeholder management skills.Entrepreneurial mindset with a focus on delivering quality and creating value.
Georgia MasonGeorgia Mason
Posted about 8 hours ago
VIEW ROLE
Edinburgh, City of Edinburgh, Scotland
Executive Assistant
PermanentCompetitive
Executive Assistant – M&A Transactions | Edinburgh | Hybrid workingIf you thrive in fast-moving, high-trust environments and love being at the heart of complex, high-impact work, this could be a standout next step in your EA career.This is a rare opportunity to support a senior commercial leader and an M&A team during live transactions — mergers, acquisitions and strategic deals that genuinely shape the future of the business. You’ll be trusted with sensitive information, relied on during critical moments, and valued as a true partner rather than “just” support.It’s a role for someone who stays calm under pressure, thinks two steps ahead, and enjoys the pace and intensity that comes with deal work.What you’ll be doingYou’ll play a central role across active M&A transactions, providing seamless support from early diligence through to signing and closing. This includes coordinating timelines, managing documentation, supporting data rooms, and keeping everyone aligned when deadlines are tight and priorities shift.You’ll manage complex diaries and meetings involving senior stakeholders and external advisors, ensuring everyone is prepared and briefed. You’ll often be the glue between legal, finance, strategy and external parties, keeping communication flowing smoothly.You’ll also support meetings by capturing actions and decisions, tracking follow-ups, and maintaining clear records. Travel coordination (often at short notice) will be part of the role, as will preparing polished presentations and materials for boards, investment committees and senior executives.Alongside this, you’ll help manage the logistics around deal meetings, workshops, management presentations and signing events — always with an eye for detail and professionalism.Why this role is differentThis isn’t a traditional EA role. You’ll be embedded in live transactions, trusted with confidential information, and relied upon during some of the most important moments in the deal cycle. You’ll work closely with other Executive Assistants, gain real exposure to how deals run behind the scenes, and build experience that few EA roles offer.What we’re looking forYou’ll already have experience supporting senior leaders in a fast-paced, confidential environment — ideally within M&A, corporate development, investment banking, private equity, legal or professional services.You’re highly organised, unflappable under pressure, and naturally proactive. You spot issues before they become problems, manage competing priorities with confidence, and take pride in producing accurate, high-quality work. Strong Microsoft Office skills (especially PowerPoint) are essential, as is discretion, sound judgement and professionalism.Familiarity with transaction processes, deal timelines and executive-level governance would be a strong advantage.Why apply?If you’re looking for a role where you’re genuinely involved, trusted, stretched and valued — and where no two days look the same — this is an opportunity to build a highly credible EA career at the sharp end of commercial decision-making, with the flexibility of hybrid working based in Edinburgh.
Amanda DolanAmanda Dolan
Posted 3 days ago
VIEW ROLE
FIND A JOB
Your browser does not support the video tag.

TALK TO OUR TEAM

Learn more about our services, communities and impact by connecting with our consultants.

Privacy Policy
Terms of Service
Diversity & Inclusion Policy
Modern Slavery Statement

OUR OFFICES

Berlin
Boston
Dublin
London
Luxembourg
Zurich
Our Services
Search Jobs

PART OF TRINNOVO GROUP

Trinnovo Group
Deeprec.ai
SODA
Sorai
Work for us
Contact Us

All Awards

Site by