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 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.

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 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 Oliver

Oliver White

Senior Consultant

Meet Annabel

Annabel Lovell

Recruitment Consultant

Meet Cheytan

Cheytan Stewart

Recruitment Consultant

Meet Riyaadh

Riyaadh George

Recruitment Search Consultant

LATEST JOBS

Greater London, South East, England

Senior Compliance Officer

Permanent£40000 - £50000 per annum

Senior Compliance Officer – Regulatory AdvisoryLondonWe’re partnering with a fast-growing consultancy building out its Regulatory Compliance Advisory team in London. You’ll work with firms across retail banking and consumer credit, supporting regulatory projects, framework reviews, Consumer Duty initiatives, and wider FCA compliance programmes.Key ResponsibilitiesSupport the delivery of regulatory compliance advisory work for clients across retail banking and consumer credit sectorsAssist in interpreting and applying UK regulatory requirements including FCA Handbook, Consumer Duty, CONC, SYSC, and wider conduct standardsSupport reviews of compliance frameworks, policies, procedures, and controlsAssist with regulatory change projects, including gap analysis, implementation activity, and impact assessmentsContribute to remediation programmes, governance improvements, and internal audit actionsKey Skills & ExperienceExperience in a compliance, risk, or regulatory role within:Retail Banking, and/orConsumer Credit / LendingGood understanding of UK regulatory frameworks, particularly FCA requirementsKnowledge of key topics such as Consumer Duty, SMCR, conduct risk, governance, and customer outcomesGood stakeholder management skills with a collaborative approach

Georgia Mason

Posted about 2 hours ago

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London, Greater London, South East, England

Compliance Manager – Regulatory Advisory

Permanent£55000 - £65000 per annum

Compliance Manager – Regulatory AdvisoryLondonWe are partnering with a high-growth consultancy expanding its Regulatory Compliance Advisory practice and seeking a talented Compliance Manager to join its London team.This is an excellent opportunity for an experienced compliance professional looking to broaden their exposure in a client-facing advisory environment. You will work closely with clients across a range of regulatory projects, providing practical compliance support and helping firms respond to evolving UK regulatory requirements.Key ResponsibilitiesProvide regulatory compliance support and advisory services to clients across retail banking and consumer credit sectorsInterpret and apply UK regulatory requirements including FCA Handbook, Consumer Duty, CONC, SYSC, and wider conduct standardsSupport the review and enhancement of compliance frameworks, policies, procedures, and controlsDeliver regulatory change projects, including gap analysis, implementation support, and impact assessmentsBuild strong relationships with clients and internal colleagues across multiple engagementsContribute to proposals, business development activity, and wider team growth initiativesKey Skills & ExperienceExperience in a compliance, risk, or regulatory advisory role within:Retail Banking, and/orConsumer Credit / LendingGood understanding of UK regulatory frameworks, particularly FCA requirementsKnowledge of key topics including Consumer Duty, SMCR, conduct risk, governance, and customer outcomesStrong stakeholder management and communication skills

Georgia Mason

Posted about 2 hours ago

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London, Greater London, South East, England

Senior Compliance Advisory Manager

Permanent£70000 - £80000 per annum

Regulatory Compliance Advisory ManagerLondonWe are partnering with a high-growth consultancy expanding its Regulatory Compliance Advisory practice and seeking an experienced Regulatory Compliance Advisory Manager to join its London team.This is a senior, client-facing opportunity for an established compliance professional looking to move into a dynamic advisory environment. You will provide subject matter expertise to clients, lead complex engagements, and support firms in navigating evolving UK regulatory expectations.Key ResponsibilitiesProvide expert regulatory compliance advice to clients across retail banking and consumer credit sectorsInterpret and apply UK regulatory requirements including FCA Handbook, Consumer Duty, CONC, SYSC, and wider conduct standardsLead the design, review, and enhancement of compliance frameworks, policies, controls, and governance arrangementsSupport clients through remediation programmes, internal audit actions, and regulatory reviewsBuild strong client relationships and act as a trusted advisor across multiple engagementsSupport business development activity, proposals, and the continued growth of the advisory practiceMentor junior team members where appropriate and contribute to internal capability buildingKey Skills & ExperienceProven experience in a senior compliance, or regulatory advisory role within:Retail Banking, and/orConsumer Credit / LendingStrong understanding of UK regulatory frameworks, particularly FCA requirementsGood knowledge of key topics including Consumer Duty, SMCR, conduct risk, governance, and customer outcomesExperience delivering regulatory projects, advisory reviews, or framework enhancements

Georgia Mason

Posted about 2 hours ago

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Kent, South East, England

Financial Crime Officer

PermanentCompetitive

Looking to step into a role where you can take real ownership of financial crime risk and work closely with senior leadership?This opportunity offers broad exposure across AML, sanctions, and wider financial crime, giving you the chance to play a key role in protecting the business while influencing best practice across the organisation. Responsibilities include:Reviewing and approving high-risk clients and transactions, including those with sanctions exposureConducting detailed enhanced due diligence (EDD) and assessing financial crime risksInvestigating alerts linked to PEPs, sanctions, adverse media, and high-risk jurisdictionsSupporting and, where appropriate, leading suspicious activity investigations and reportingActing as a key escalation point for financial crime queries across the businessContributing to the ongoing monitoring and improvement of AML and financial crime controlsSupporting onboarding processes to ensure robust KYC and compliance standards are metAssisting with responses to law enforcement and regulatory requestsDelivering guidance and training to colleagues to strengthen financial crime awarenessBuilding strong relationships with stakeholders across both first and second line functions Requirements:Solid experience within financial crime / AML in a banking or financial services environmentProven exposure to high-risk customer reviews and transaction monitoringStrong working knowledge of sanctions frameworks (UK, EU, US)Experience conducting enhanced due diligence and investigating suspicious activityGood understanding of regulatory expectations and industry guidanceConfident communicator, able to challenge, influence and advise stakeholdersA proactive mindset with the ability to work independently and make sound decisions If you’re looking for a role where you can make a genuine impact in financial crime prevention while developing your expertise in a collaborative and forward-thinking environment, we’d love to hear from you.

Elliott Snowball

Posted 2 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 2 days ago

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Zürich, Switzerland

Senior Legal Counsel

PermanentCompetitive

Callum Dudrenec

Posted 2 days ago

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Zug, Switzerland

Senior Legal Counsel

PermanentCompetitive

Senior Legal CounselSwitzerlandBankingWe are exclusively partnered with a highly innovative, FINMA-regulated financial institution operating at the intersection of traditional banking and digital assets. The organisation is a pioneer in regulated financial services for the digital economy, providing a secure and fully compliant platform that bridges conventional banking with blockchain-based financial infrastructure. It is widely recognised for combining institutional-grade regulatory standards with forward-thinking product innovation. As part of its continued expansion, the business is seeking a Senior Legal Counsel to join its legal function in Switzerland.The Role This is a key senior legal position with broad exposure across regulatory, commercial, and product-related legal matters in a fast-evolving environment. The successful individual will act as a trusted advisor to senior stakeholders and play a central role in shaping the legal framework supporting both existing and new financial and digital asset offerings. Key responsibilities include:Providing proactive legal and regulatory advice to senior management and business stakeholders across the organisationStructuring, drafting, and negotiating a wide range of agreements, including client documentation and third-party service arrangements in a digital asset contextActing as legal lead on regulatory and cross-functional legal workstreams, including corporate mattersAdvising on the development and launch of innovative financial and crypto-related products and servicesDrafting and maintaining internal policies, terms & conditions, legal documentation, and marketing materials from a regulatory perspectiveMonitoring Swiss and international legal and regulatory developments and driving implementation of changesPreparing legal assessments and presentations for senior leadership on key risk and regulatory topicsDelivering internal training on legal and regulatory mattersWorking closely with Compliance on cross-border and complex regulatory issuesSupporting engagement with regulators, auditors, external counsel, litigation, and ad-hoc strategic mattersCandidate Profile – We are looking for a highly qualified legal professional with strong experience in regulated financial services and a solid understanding of complex regulatory environments. Essential requirements:Swiss Master of Law (or equivalent Swiss legal qualification)Admission to the Swiss Bar is an absolute requirement (non-negotiable)Minimum 5 years’ post-qualification experience gained in a leading law firm, bank, Big Four, or consultancyStrong expertise in banking law, financial services regulation, and ideally exposure to crypto / digital assets / fintech environmentsExperience with investment products, structuring, documentation, and distribution frameworksStrong interest in innovative technologies including DLT, Web3, and digital financial infrastructureCommercially minded, hands-on, and strong analytical capabilityExcellent communication and stakeholder management skills, with a collaborative approachWhat’s on Offer This is a rare opportunity to join a leading regulated digital finance organisation at an important stage of growth. The role offers:Senior-level legal responsibility with high visibility across the businessDirect involvement in innovative product and regulatory developmentClose collaboration with senior stakeholders across multiple functionsA forward-looking legal remit within a highly dynamic sectorExclusive Mandate: This search is being conducted on an exclusive basis. Further details regarding the organisation will be provided to shortlisted candidates following initial screening.

Callum Dudrenec

Posted 3 days ago

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Northern Ireland, UK

HR Consultant

Permanent£32000 - £35000 per annum

HR Consultant – Consultancy Environment | Belfast (Hybrid) | Up to £35,000 BenefitsWe’re supporting a growing HR consultancy in Belfast with the appointment of an HR Consultant to join their team. This role offers the opportunity to work in a client-facing environment, supporting a range of organisations with day-to-day HR matters and people-related challenges.The RoleThis is not a traditional in-house HR position. As an HR Consultant, you’ll work with multiple clients, advising and supporting across a broad range of HR activities including recruitment, onboarding, employee relations matters (such as disciplinaries, grievances and performance management), redundancies and general HR guidance.The role requires someone adaptable, organised and confident managing different client environments, as priorities can change quickly and no two days will be the same.Requirements• CIPD qualified (essential)• Previous HR experience based in Belfast• Around 1–2 years’ HR experience• Strong communication and stakeholder management skills• Comfortable working in a fast-paced, multi-client environmentPlease note this role cannot offer visa sponsorship, so applicants must already have the right to work in the UK.What’s on Offer• Salary up to £35,000 plus benefits• Hybrid working (up to 2 days in the office)• Exposure to a wide variety of industries and HR challenges• Opportunity to build experience in a consultancy environment and continue developing your HR careerIf you’re looking to step into a more varied, client-facing HR role and develop your consultancy skills, this could be a great next move.

Amanda Dolan

Posted 6 days ago

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