Legal, Compliance & Financial Crime Recruitment

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

Broadgate supports organisations where legal, compliance, and financial crime capability is central to regulatory confidence, business protection, and long-term performance.

Embedded in key regulated markets across the UK, Ireland, DACH, and the US, our consultants understand the hiring pressure created by regulatory change, financial crime exposure, sanctions complexity, and increasing personal accountability.

Whether you’re building a compliance function, appointing an MLRO, strengthening financial crime controls, or exploring your next move, Broadgate provides specialist guidance across the full Legal, Compliance and Financial Crime lifecycle.

Looking for top talent? Talk us through your hiring plans, and we'll connect you with the specialist who can support you:

Speak to a Consultant

Hoping to move into a rewarding new career in Legal, Compliance, and Financial Crime? Check out our latest opportunities:

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Why Choose Broadgate for Legal, Compliance and Financial Crime Recruitment?

A Specialist Partner for Business Protection

Legal, Compliance, and Financial Crime sit at the centre of Business Protection, the functions that protect organisations against regulatory, financial, legal, and reputational risk.

Broadgate supports hires where governance standards, regulatory accountability, and board confidence matter.

We deliver permanent, interim, contract, embedded, and executive search mandates, with a focus on specialist, senior, and regulator-exposed appointments.

Regulator-Ready Hiring for High-Accountability Roles

Hiring into Legal, Compliance and Financial Crime functions requires more than technical capability.

The right candidates need judgement, credibility, and the ability to operate under scrutiny.

We support organisations hiring for:

MLRO and Deputy MLRO appointments
Head of Compliance and SMF16 roles
Financial Crime leadership
Sanctions, AML, KYC, and transaction monitoring
Regulatory legal and compliance advisory
Compliance monitoring, assurance, and testing
General Counsel and senior in-house legal roles

Our approach is built for roles where hiring decisions can affect regulatory approval, enforcement exposure, and business continuity.

Market Intelligence Across Regulated Sectors

Legal, Compliance and Financial Crime hiring changes quickly in response to regulation, enforcement activity, market entry, and remediation.

Broadgate works with firms navigating:

FCA, PRA, SMCR, DORA, MiCA, and cross-border regulatory requirements
Financial crime remediation and control enhancement
First-time compliance and MLRO appointments
Second line and third line function builds
Multi-jurisdiction legal and compliance hiring
Fintech, banking, asset management, insurance, and payments growth

This gives us a clear view of candidate availability, compensation trends, and hiring expectations across regulated markets.

Access to Off-Market and Diverse Talent

The strongest Legal, Compliance and Financial Crime professionals are often not active in the market.

Broadgate engages talent through long-term relationships, specialist networks, and community-led sourcing. This supports access to off-market candidates and more representative shortlists across governance and control functions.

For clients, this means stronger candidate quality, better retention potential, and reduced hiring risk.

A Long-Term Partner for Legal, Compliance and Financial Crime Hiring

Legal, Compliance and Financial Crime hiring is often linked to regulation, transformation, remediation, and leadership change.

We support this through flexible delivery models:

Executive search for General Counsel, MLRO, Head of Compliance, and Financial Crime leadership
Retained search for specialist senior appointments
Interim and contract hiring for urgent regulatory needs
Embedded solutions for function buildouts
Advisory support for role design, benchmarking, and assessment

This gives organisations continuity across hiring cycles, rather than one-off recruitment support.

We don't do transactional hiring. Start a meaningful partnership with a talent consultant you can trust:

Speak to Our Consultants

MEET THE TEAM

Meet Ben

Ben Adams

Co-Founder and Managing Director

Meet Matt

Matt Carter

Associate Director: Risk, Compliance, Financial Crime

Meet Connor

Connor Nurse

Head of US

Meet Declan

Declan Stark

Principal Consultant - Risk

LATEST JOBS

West Midlands, England

Regulatory Consultant

Permanent£60000 - £70000 per annum

Regulatory ConsultantClient-facing Regulatory Consultant role within a growing FCA-regulated compliance consultancy. The position focuses on supporting financial advice and investment firms with regulatory compliance, suitability oversight, and ongoing advisory support. The role is highly relationship-driven, combining technical compliance expertise with commercial awareness, stakeholder engagement, and proactive client support across a portfolio of firms.Key ResponsibilitiesAct as the primary relationship manager for allocated client firms, building long-term trusted partnershipsProvide ongoing regulatory compliance advice to FCA-regulated financial advice and investment firmsSupport firms with understanding and meeting FCA regulatory requirements and expectationsManage regulatory issues including reporting requirements (e.g. RegData) and ad hoc compliance queriesConduct compliance monitoring, oversight reviews, and audits (remote and on-site)Deliver clear, practical and commercially focused regulatory guidance to firmsDeliver training, webinars, workshops, seminars, and presentations to client firmsSupport SMCR-related matters, including engagement with senior management function holdersSupport continuous improvement of internal frameworks, tools, and methodologiesEmbrace and utilise technology and AI tools to improve efficiency and consistency of service deliveryRequirementsEssentialMinimum Level 4 qualificationAt least 5 years’ experience in a compliance role within financial servicesStrong experience working with FCA-regulated firmsExcellent understanding of FCA rules, regulatory expectations, and suitability requirementsBackground in pensions, investments, financial advice, or wealth management

Georgia Mason

Posted about 2 hours ago

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Remote work, England

File Checker

Permanent£45000 - £55000 per annum

File Checker Remote-based This growing FCA-regulated IFA business is looking for a file checker to focus on reviewing financial advice files across pensions and investments to ensure suitability, regulatory compliance, and consistent quality standards. This is a high-volume, fast-paced role requiring strong technical knowledge and excellent attention to detail.Key ResponsibilitiesReview client files, suitability reports, and supporting documentation for compliance and qualityAssess whether financial advice aligns with FCA requirements, client objectives, risk profile, and regulatory standardsIdentify gaps, inconsistencies, and potential areas of non-complianceProvide clear, structured, and constructive feedback to advisers and firmsEnsure all reviews are completed accurately and within agreed SLAs and timelinesHandle complex pensions and investment cases, including higher-risk planning structuresMaintain accurate records of file reviews and outcomesEngage with technology and AI tools to improve efficiency, consistency, and output qualityRequirementsMinimum Level 4 qualificationAt least 5 years’ experience in a financial services compliance or file checking roleStrong experience working with FCA-regulated firms (pensions and investments)Solid knowledge of FCA rules, suitability requirements, and regulatory expectations

Georgia Mason

Posted about 2 hours ago

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Birmingham, West Midlands, England

Compliance Officer

Permanent£45000 - £50000 per annum

Compliance Manager Financial Planning / Wealth Management BirminghamAn 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 reviewSkills & 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 Mason

Posted 1 day ago

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Remote work, England

Compliance Manager

Permanent£80000 - £100000 per annum

Compliance ManagerLondon (Remote/Hybrid)A high-impact Compliance & Risk opportunity within a regulated, technology-led financial services business operating in the insurance and fintech space. Reporting to the Chief Risk Officer, this role offers broad, hands-on exposure across regulatory compliance, financial crime, operational risk, and governance within a fast-scaling, digitally driven environment.Key ResponsibilitiesSupport the implementation, enhancement, and ongoing maintenance of compliance frameworks across insurance, payments, consumer finance, GDPR, AML/CTF, and conduct risk.Monitor regulatory developments from the FCA and other relevant bodies, assessing business impact and supporting implementation of change.Conduct compliance monitoring reviews, thematic testing, control assessments, and risk reviews across key business areas.Support enterprise risk management activities including risk registers, incident management, and internal controls oversight.Assist with regulatory reporting, governance committee materials, and senior management MI.Support Fitness & Propriety / SMCR processes, onboarding governance, and annual certifications.Provide compliance input for new product launches, market expansion, third-party partnerships, and change initiatives.RequirementsMinimum 5 years’ experience in Compliance within fintech, payments, insurance, insurtech, e-money, banking, or other regulated financial services environments.Strong understanding of FCA regulations and experience interpreting regulatory requirements in a practical business context.Exposure to payments regulation, consumer duty, AML/financial crime, operational risk, or data privacy highly advantageous.Experience working in fast-paced, technology-led, or scaling businesses preferred.Confident communicator with the ability to engage and influence stakeholders across all levels of the business.

Georgia Mason

Posted 3 days ago

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Edinburgh, City of Edinburgh, Scotland

Client Relationship Support

Permanent£30000 - £35000 per annum

Client Relationship Support - Wealth Management | Hybrid Working | Career Progression Looking to move beyond a traditional financial planning admin role?This is an opportunity to join a fast-growing, high-performing wealth management environment where you’ll play a genuinely involved role in the client journey — working closely with Financial Planners, building relationships, and becoming a key part of a collaborative pod structure. This role offers far more exposure, responsibility, and progression than a typical back-office support position. You’ll be trusted to work directly alongside advisers and paraplanners in a fast-paced environment where your contribution truly matters.The Opportunity:You’ll support multiple Financial Planners as part of a collaborative pod team, taking ownership of the administrative and client support process from start to finish. This is ideal for someone who enjoys organisation, client interaction, and being at the centre of the financial planning process rather than sitting purely behind the scenes.Key Responsibilities:• Full financial planning administrative support• Preparing client packs, valuations, and meeting documentation• Submitting new business and obtaining provider information• Managing letters of authority and client documentation• Liaising with providers and internal stakeholders• Maintaining regular client communication (non-advisory)• Supporting planners within a pod-based structure• Maintaining accurate records across back-office systems• Working to service standards and team KPIsWhat We’re Looking For:• Experience within financial planning or wealth management is essential• Strong understanding of products including pensions, ISAs, GIAs, and bonds• Highly organised with excellent attention to detail• Strong communication skills and confidence engaging with clients• Ability to manage multiple priorities in a fast-paced environment• Comfortable working independently and collaboratively• Experience using financial planning platforms/back-office systems• CII qualifications (or progress towards them) highly desirableWhat Makes This Opportunity Different?• Greater involvement in the client journey than most similar roles• Clear progression pathways within a growing business• Full support towards CII qualifications and ongoing development• A genuinely collaborative, supportive culture• Hybrid working flexibility• High employee engagement and strong internal support network• Opportunity to join during an exciting growth phase with multiple hires plannedIf you’re looking for a role where you can develop professionally, build strong adviser relationships, and become an integral part of a growing financial planning team, this could be the perfect next step.Apply now or get in touch for a confidential conversation.

Amanda Dolan

Posted 4 days ago

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Zürich Crédit Suisse, Switzerland

Senior Compliance Officer

PermanentCompetitive

Senior Compliance Officer - Financial Crime & Regulatory OperationsWe are working with a rapidly expanding financial technology business seeking an experienced Senior Compliance Officer to support and strengthen its regulatory and financial crime framework across multiple markets.This role offers the opportunity to work closely with operational, product, and leadership teams within a fast-moving regulated environment focused on digital financial services and payments infrastructure.ResponsibilitiesSupport the ongoing development and execution of the company’s compliance and financial crime framework across multiple jurisdictions.Monitor and interpret evolving regulatory requirements and assess their impact on internal policies, procedures, and controls.Oversee day-to-day compliance operations including customer due diligence, enhanced due diligence, transaction monitoring, sanctions screening, and suspicious activity investigations.Assist in maintaining effective AML, KYC, and risk management procedures aligned with applicable regulatory expectations.Conduct compliance reviews and risk assessments across products, operational processes, and customer activities.Work closely with Product, Operations, Risk, and Engineering teams to ensure regulatory considerations are embedded into systems and workflows.Support regulatory reporting obligations and assist with responses to audits, compliance reviews, and information requests.Investigate compliance alerts, operational incidents, and suspicious activity escalations, ensuring appropriate documentation and resolution.Contribute to the development and enhancement of internal controls, policies, and monitoring frameworks.Deliver compliance guidance and training to internal stakeholders where required.Maintain accurate and well-structured compliance documentation, records, and reporting materials.Participate in the continuous improvement of onboarding, monitoring, and fraud prevention processes.Requirements4 years of experience within Compliance, Financial Crime, AML, or Risk functions in fintech, payments, banking, crypto, or another regulated financial services environment.Strong working knowledge of AML, KYC, CDD/EDD, sanctions, transaction monitoring, and regulatory compliance obligations.Familiarity with European and international financial services regulatory frameworks.Experience handling compliance investigations, suspicious activity reviews, and operational risk matters.Understanding of customer onboarding processes and financial crime prevention controls.Ability to assess regulatory risk and apply practical, commercially minded solutions.Strong analytical and problem-solving skills with excellent attention to detail.Comfortable working cross-functionally in fast-paced and evolving business environments.Excellent written and verbal communication skills in English.Experience using compliance and case management systems is advantageous.Prior exposure to payments, digital assets, acquiring, or online financial platforms is considered a plus.What’s on OfferOpportunity to join a high-growth financial technology environment with international exposure.Involvement in complex regulatory and operational projects with direct business impact.Flexible remote-first working model with optional office collaboration.Competitive salary package with performance-based incentives.Professional development opportunities within a highly experienced team.International and collaborative working culture focused on innovation and ownership.Generous holiday allowance and flexible approach to time off.Regular company meetups, team events, and off-site gatherings.

Callum Dudrenec

Posted 8 days ago

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Zürich, Switzerland

Senior Legal Counsel

PermanentCompetitive

Senior Legal Counsel – Financial Services (Switzerland)We are exclusively partnered with a regulated financial services organisation in Switzerland.The business operates across a range of traditional and evolving financial markets, with a strong focus on regulatory compliance, product development, and institutional-grade governance.The RoleThis is a senior legal position with broad responsibility across regulatory, commercial, and product-related matters within a complex and fast-moving environment.The successful candidate will act as a key legal advisor to senior stakeholders and support the ongoing development and implementation of legal and regulatory frameworks across the business.Key responsibilitiesProvide legal and regulatory advice to senior stakeholders and business unitsDraft, review, and negotiate a wide range of commercial agreements and documentationLead legal input on regulatory, corporate, and product-related initiativesSupport the structuring and implementation of new products and servicesMaintain internal policies, standard documentation, and contractual frameworksMonitor relevant Swiss and international regulatory developments and support implementationPrepare legal analysis and briefings for senior managementDeliver internal training on legal and regulatory topicsWork closely with Compliance on cross-border and complex regulatory issuesSupport external counsel, regulators, auditors, and other stakeholders as requiredEssential requirementsSwiss Master of Law (or equivalent Swiss qualification)Admission to the Swiss Bar is essential5 years’ PQE in a leading law firm, financial institution, or consultancyStrong background in banking, financial services regulation, or comparable regulated sectorsExperience with financial products, structuring, and documentation desirableInterest in innovation within financial services (broadly defined)Strong analytical, drafting, and stakeholder management skillsCommercial, pragmatic, and hands-on approachThe opportunitySenior-level legal role with significant business exposureBroad remit across regulatory and commercial mattersClose collaboration with senior stakeholdersDynamic and evolving financial services environmentConfidential mandateThis search is being conducted on a confidential and exclusive basis. Further details will be shared with shortlisted candidates.

Callum Dudrenec

Posted 8 days ago

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Manchester, Greater Manchester, North West, England

Head of Compliance

Permanent£80000 - £100000 per annum

Head of Compliance We are looking for an experienced compliance professional to support our client through a period of growth. You will lead on embedding and enhancing the company’s second line risk & compliance function, while will collaborating with the wider business and provide effective and pragmatic compliance guidance and support. Some of the responsibilities Enhance and embed the company’s suite of compliance and financial crime policies and processesLiaise with regulatory bodies, such as the FCA, seeking to develop effective communication and working relationships and providing assurance that the business is acting in line with regulatory expectations and requirementsEnsure appropriate Risk & Compliance support is provided to company projects and initiativesOversee and deliver second line compliance monitoring reviews in line with the compliance monitoring planSupport the first line in the continual improvement of Consumer Duty deliverables, oversight and reportingProvide regular compliance and financial crime data, assessments, action tracking and reports to the relevant governance committees and the Boards Skills and Experience Experienced compliance leader within Pensions & InvestmentsExperience of managing teamsStrong stakeholder management skillsCollaborative approach that supports business growth while ensuring strong compliance standards.Experience in identifying and assessing regulatory changes and supporting the delivery of change through project governanceExperienced in designing and delivering compliance-based governance reports up to Board level

Matt Carter

Posted 9 days ago

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