Legal, Compliance & Financial Crime

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

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

CAF (CHARITIES AID FOUNDATION)

100%

Compliance Hires Delivered

Senior Contractors Placed

4/4

Contractors Converted to Permanent Employees

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: <ul> <li>Interim Head of Compliance (later transferred to a permanent position)</li> <li>Head of Financial Crime Compliance (later transferred to a permanent position)</li> <li>2 Senior Compliance Managers</li> <li>Compliance Projects Analyst (embedded into a wider tech transformation initiative)</li> </ul> By consistently outperforming competing agencies, Broadgate not only delivered every role but also ensured continuity and stability for CAF’s compliance function.

RBS INTERNATIONAL

1.8

CV to Interview Ratio

28 Days

Time to Hire

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.

THESIS ASSET MANAGEMENT

Permanent Placements

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.

TRIODOS BANK

100%

Completion Rate

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.

WEALTHTIME

100%

Completion Rate

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.

VIEW OUR CASE STUDIES

MEET THE TEAM

Meet Ben

Ben Adams

Co-Founder and Managing Director

Meet Daniel

Daniel Tapsell

Associate Director, Contract and Interim

Meet Matt

Matt Carter

Associate Director: Risk, Compliance, Financial Crime

Meet Kevin

Kevin Adam-Hein

Partner

Meet Connor

Connor Nurse

Head of US

Meet Darren

Darren Hogan

Team Leader, Ireland

Meet Anis

Anis Soomaroo

Senior Consultant

Meet Georgia

Georgia Mason

Recruitment Consultant

Meet Adrian

Adrian McCarthy

Senior Advisor

LATEST JOBS

Dublin, County Dublin, Ireland

Compliance Officer

Permanent€80000 - €88000 per annum

Compliance OfficerInsurance Dublin - hybrid - 2 days on-site80-88kAre you looking to be a part of an exciting, growing, global business?Do you want a role where you can work across multiple business lines?Do you want to work in a business where you will have opportunities to grow and have great exposure to senior leaders?If so then you should apply for this role!Your Role:Support in the development and ongoing reviews of compliance policies & proceduresEnsure the compliance framework is kept up to date and in line with latest requirementsSupport in managing key regulatory requirements and preparing regulatory reportsManage key business relationships and provide support with any compliance related queries they may haveRepresent the Irish business in global compliance meetings and in various working groupsAbout You:5+ years compliance experienceExperience within the insurance industry - experience across specialty lines would be a bonusStrong stakeholder management Collaborative and adaptableApply here or reach out to me directly if you would like to hear more about this role!

Darren Hogan

Posted about 17 hours ago

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Greater London, South East, England

Risk and Compliance Associate

Permanent£50000 - £55000 per annum

Risk & Compliance AssociateLondon, UK (Hybrid)A fast-growing FinTech company is seeking a Risk & Compliance Associate to join its dynamic team. The role offers hands-on exposure to regulatory processes and business operations, supporting the company’s mission to transform personal financial management through technology and behavioural insights. Key ResponsibilitiesMonitor regulatory developments and support communications with the Financial Conduct Authority (FCA).Prepare and submit regulatory reports in line with FCA requirements and other applicable regulatory frameworks.Maintain and enhance risk and compliance recordkeeping using SaaS tools and emerging technologies.Lead internal assurance reviews across various business areas.Support Anti-Money Laundering (AML) and Know Your Customer (KYC) processes.Generate and analyse compliance reports using databases (including simple SQL queries).Requirements1–4 years of experience in an FCA-regulated environment.Solid understanding of UK financial products, services, and regulatory landscape (including MIFID)A minimum 2:1 degree with strong academic performance.Comfortable with numerical analysis and database tools.Keen to work with technology, including compliance-related SaaS and automation tools.

Georgia Mason

Posted about 23 hours ago

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Luxembourg

Senior CDD Analyst

Permanent

Job Title: Senior CDD Analyst Department: Client OnboardingAbout the role As Senior CDD Analyst, you’ll act as a key point of expertise on AML/CTF obligations. You’ll support and review onboarding and ongoing due diligence, oversee junior team members, and step in as the first point of escalation. This is a client-facing role with exposure to senior stakeholders, external providers, and regulatory bodies, offering both technical depth and leadership responsibility. Key responsibilitiesLead and review the client onboarding cycle, from KYC profiling to risk assessment.Conduct and review periodic checks and trigger-event reviews.Support teams with CDD requirements and regulatory reporting.Manage workload while guiding junior analysts and providing training.Ensure data accuracy, process improvements, and adherence to internal policies.Act as a point of contact for clients and colleagues on CDD matters.Experience & skillsBackground in AML/CTF and client due diligence within financial services.Strong knowledge of KYC/CDD processes.Skilled in MS Office with the ability to adapt to complex systems.Detail-focused, proactive, and able to manage competing priorities.Confident supporting junior colleagues and promoting best practice.

Anis Soomaroo

Posted about 24 hours ago

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Luxembourg

Senior Corporate Officer

Permanent

Senior Corporate Officer - Private EquityOur client, a dynamic local AIFM, are growing their Luxembourg operations and looking to bring in an experienced Senior Corporate/Legal professional. Key ResponsibilitiesOverseeing the on boarding and structuring process of regulated fund vehicles (private equity), ensuring alignment with applicable regulatory frameworks.Coordinating the preparation and execution of board meetings, including reviewing and approving core fund documentation.Monitoring legal and regulatory developments impacting the fund and ensuring their timely implementation by third-party service providers.Managing investor on boarding work flows in coordination with external stakeholders (transfer agents, legal counsel, compliance teams), with a strong focus on AML/KYC compliance and operational efficiency.Providing oversight of post-launch fund operations, including capital activity (subscriptions, capital calls, and distributions), maintaining investor registers, and ensuring accurate investor reporting Essential Skills & Experience Minimum of 3 years working experience in a fund administration/fund corporate position in LuxembourgWorking knowledge of private equity structures – any knowledge of close-ended fund structures would be highly valuedStrong understanding of Luxembourg regulatory frameworks – AIFMD & CSSFYou must have authorisation to work in Luxembourg along with previous experience working in Luxembourg to be considered for this position.Call Settings Override To From Record Yes No Always use these settings

Scarlett Worthington

Posted 6 days ago

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Bristol, South West, England

T&C Manager

Permanent

T&C Manager Overview To lead the T&C function while supporting the line management of Financial Planners, Mortgage Advisers, Employee Benefit Consultants, including Appointed Representatives (advisers), within the Group to deliver training and monitor competency in line with FCA regulations and the company’s T&C Scheme. Key Responsibilities:Ensure internal policies and FCA regulatory requirements are adhered to across the Group.Adhere to Company T&C Scheme.Management of T&C Supervisors, ensuring the Group complies with the best business practices and regulatory requirements.Oversee the T&C of regulated and other individuals within the Group, ensuring compliance with business practices and regulatory requirements.Work with Compliance, Business Quality, Regional Sales Directors, HR, and other departments to ensure consistent training and monitoring of the advice process.Maintain, update, and review T&C records and processes to ensure accuracy and compliance.Support line management in supervising Financial Planners, Mortgage Advisers, and Corporate Financial Planners through observed meetings, 1-2-1 development sessions, coaching, and feedback.Agree on, implement and deliver training plans for advisers across the Group, and deliver and/or arrange training sessions in both group settings and individually. Experience & Qualifications:Minimum level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)Working knowledge of FCA Principles and Rules.Good working knowledge of Microsoft Office products including Word, Excel, Outlook and PowerPoint.Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry.

Matt Carter

Posted 7 days ago

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Luxembourg

Senior Fund Administrator

Permanent

Senior Fund Administrator - Private EquityOur client, a dynamic local AIFM, are growing their Luxembourg operations and looking to bring in an experienced Senior Fund Administrator. Key ResponsibilitiesOverseeing the on boarding and structuring process of regulated fund vehicles (private equity), ensuring alignment with applicable regulatory frameworks.Coordinating the preparation and execution of board meetings, including reviewing and approving core fund documentation.Monitoring legal and regulatory developments impacting the fund and ensuring their timely implementation by third-party service providers.Managing investor on boarding work flows in coordination with external stakeholders (transfer agents, legal counsel, compliance teams), with a strong focus on AML/KYC compliance and operational efficiency.Providing oversight of post-launch fund operations, including capital activity (subscriptions, capital calls, and distributions), maintaining investor registers, and ensuring accurate investor reporting Minimum of 5 years working experience in a fund administration/fund corporate position in LuxembourgWorking knowledge of private equity structures – any knowledge of close-ended fund structures would be highly valuedStrong understanding of Luxembourg regulatory frameworks – AIFMD & CSSFCall Settings Override To From Record Yes No Always use these settings

Scarlett Worthington

Posted 9 days ago

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Greater London, South East, England

Risk & Compliance Manager

Permanent

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 Mason

Posted 13 days ago

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Dublin, County Dublin, Ireland

Senior Compliance Officer

Permanent€65000 - €80000 per annum

Senior Compliance OfficerInsuranceDublin - 3 days on-site75-90kGreat opportunity for someone with some leadership experience who is looking to join a strong team. You will play a key role in the continued development of the compliance framework within the business. You will mentor the junior team members while also having more senior members of the team who you can learn from to continue your own development.Your Role:Provide support to junior team membersSupport in the planning and execution of the annual compliance planProvide compliance reports to senior managementProvide compliance advice across the businessAbout You:5+ years compliance experienceExperience of working in the insurance industry in IrelandExperience managing/leading a small teamIdeally hold a professional qualification in complianceIf you would be interested to learn more, you can apply here or reach out to me directly!

Darren Hogan

Posted 14 days ago

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