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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
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
21 days ago
Trinnovo Group Impact Report 2025 | How We Work
News

Trinnovo Group Impact Report 2025 | How We Work

Helena SullivanHelena Sullivan
about 1 month 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

Luxembourg
Fund and Corporate Legal Officer
Permanent€50000 - €65000 per annum
Fund & Corporate Legal Officer Our client, a dynamic fund services business, is currently recruiting for a Fund & Corporate Legal Officer. This is a great role to consider if you want to take on a role with a wide range of responsibilties, be autonomous, client-facing and work in a human-sized company where you can directly add value.Roles & Responsibilties Serve as the primary point of contact for clients on Luxembourg corporate governance and statutory matters, managing entities throughout their lifecycle from onboarding to ongoing complianceOversee a portfolio of funds and SPVs, ensuring timely filings, accurate statutory records, adherence to governance frameworks, and support for authorised payment processesOrganise and support board and shareholder meetings, including preparation of documentation, attendance, minute-taking, follow-up actions, and maintenance of governance calendarsDevelop strong client relationships by understanding legal structures, operational timelines, and business objectives, delivering pragmatic and responsive serviceCoordinate with internal teams and external advisers (auditors, legal counsel, notaries, banks, regulators and service providers) to ensure efficient and consistent deliveryUse and help enhance digital tools and workflows, contributing to process improvements that strengthen governance, efficiency, and client experienceEssential Skills & Experience Minunum of 2 years experience in a legal/corporate/administrationMust have experience working with alternative investment funds Strong stakeholder management skills
Scarlett WorthingtonScarlett Worthington
Posted 3 days ago
VIEW ROLE
Luxembourg
Senior Client Due Diligence Analyst
Permanent€60000 - €85000 per annum
Senior Client Due Diligence Analyst (Onboarding & AML)Our client, a dynamic fund services business, is currently recruiting for a Senior CDD Analyst. This is a great role to consider if you want to take ownership for processes, be autonomous and self-sufficient and work in a human-sized company where you can directly add value to the business.Roles & Responsibilities Act as subject matter expert for AML/CFT and Client Due Diligence, serving as first escalation point and key contributor to client risk assessmentOversee and review the end-to-end client on boarding and acceptance process, including KYC profiling, documentation review, verification and risk assessmentConduct and review periodic and trigger-event CDD reviews, supporting servicing teams on material and corporate changesManage workload planning and oversight, including support, guidance and quality review of junior team members’ workMaintain and enhance CDD data quality, internal/external trackers, regulatory reporting and performance indicators, ensuring adherence to group policies and proceduresIdentify process gaps and risks, escalating issues to management supporting third-party interactions, and contributing to system enhancements and user testingEssential Skills & Experience Mininum of 3 years experience with client due-diligence/on boarding/AML within the Luxembourg fund industryWorking knowledge of alternative investment funds Strong client communication skills
Scarlett WorthingtonScarlett Worthington
Posted 3 days ago
VIEW ROLE
Dublin, County Dublin, Ireland
Compliance Analyst
Contract€70000 - €80000 per annum
Compliance Analyst - 12 Month Contract Investment ManagementDublin City Centre - Office Based70-80kOpportunity to work with a great business and be able to continue your own development. In this role you will work closely with the Head of Compliance and the rest of the leadership team in Dublin. You'll get exposure to a range of compliance topics and tasks and be part of a close knit team where you will be given a great mix of autonomy and support enabling you to be successful in your role.Your Role:Support with the regulatory reporting requirements of the business and ensure that regulatory correspondence is dealt with accordingly Provide day-to-day support and guidance on regulatory compliance matters that arise across the businessSupport in the development and delivery of the annual compliance planMonitor for any upcoming regulatory changes and prepare the business accordinglyAlso support with the company's AML and ESG requirementsAbout You:3  years experience working in a compliance roleExperience working in the investment/asset/fund management sectorStrong experience and understanding of relevant regulations -  UCITS, AIFMD, & MiFID etcIf you think this could be the right role for you then please apply here or reach out to me for more info - darren.hogan@broadgatesearch.com
Darren HoganDarren Hogan
Posted 6 days ago
VIEW ROLE
Luxembourg
Senior Client Due Diligence Analyst
Permanent€60000 - €85000 per annum
Senior Client Due Diligence Analyst (Onboarding & AML)Our client, a dynamic fund services business, is currently recruiting for a Senior CDD Analyst. This is a great role to consider if you want to take ownership for processes, be autonomous and self-sufficient and work in a human-sized company where you can directly add value to the business.Roles & Responsibilities Act as subject matter expert for AML/CFT and Client Due Diligence, serving as first escalation point and key contributor to client risk assessmentOversee and review the end-to-end client on boarding and acceptance process, including KYC profiling, documentation review, verification and risk assessmentConduct and review periodic and trigger-event CDD reviews, supporting servicing teams on material and corporate changesManage workload planning and oversight, including support, guidance and quality review of junior team members’ workMaintain and enhance CDD data quality, internal/external trackers, regulatory reporting and performance indicators, ensuring adherence to group policies and proceduresIdentify process gaps and risks, escalating issues to management supporting third-party interactions, and contributing to system enhancements and user testingEssential Skills & Experience Mininum of 3 years experience with client due-diligence/on boarding/AML within the Luxembourg fund industryWorking knowledge of alternative investment funds Strong client communication skills
Scarlett WorthingtonScarlett Worthington
Posted 7 days ago
VIEW ROLE
Bath, Bath Avon, South West, England
Senior Compliance Monitoring Associate
Permanent£45000 - £50000 per annum
Senior Compliance Monitoring AssociateBathThis UK wealth manager is seeking a Senior Compliance Monitoring Officer to support the delivery of a risk-based Compliance Monitoring Plan across its financial services operations. The role covers multiple business areas, including platform services, discretionary fund management and financial advice. Working closely with the Compliance function, you will assess adherence to regulatory requirements, internal policies and industry best practice.Key ResponsibilitiesConduct scheduled and ad-hoc compliance monitoring reviews across the business.Identify, assess and document regulatory, operational and reputational risks.Design and deliver risk-based monitoring activities aligned to regulatory expectations.Liaise with business stakeholders to support understanding of compliance requirements.Review regulatory developments and assess their impact on monitoring activities.Produce clear, high-quality monitoring reports with findings and recommendations for senior management and committees.Track and follow up on remedial actions arising from monitoring reviews and regulatory visits.Contribute to compliance MI and assurance reporting, including input into Board-level reports.Promote a strong culture of compliance and ethical conduct across the organisation.Key ExperienceProven experience in a compliance monitoring role within UK financial services (preferably wealth management)Hands-on experience delivering risk-based compliance monitoring reviews.Experience within adviser platforms and/or monitoring financial advisers, including file reviews.Strong working knowledge of key regulations (e.g. AML, KYC, MiFID, GDPR).Experience producing clear, senior-level compliance reports and management information.
Georgia MasonGeorgia Mason
Posted 13 days ago
VIEW ROLE
London, Greater London, South East, England
Deputy MLRO
Permanent£75000 - £85000 per annum
Deputy Money Laundering Reporting Officer (DMLRO) This is a great opportunity to work for a UK wealth management firm, supporting the MLRO in maintaining and enhancing the firm’s financial crime framework, systems, and controls, while acting as deputy in the MLRO’s absence.Key ResponsibilitiesSupport the MLRO in maintaining and enhancing the firm’s financial crime framework, systems, and controls, acting as deputy in their absence.Lead and support financial crime risk assessments, governance reporting, and preparation of senior management and regulatory submissions.Provide expert advice to the business on financial crime matters, including AML, sanctions, PEPs, and fraud-related queries.Oversee and support due diligence activity, including EDD reviews and approval of higher-risk client relationships.Assist with financial crime investigations, compliance monitoring, training delivery, and regulatory horizon scanning.Skills & KnowledgeStrong understanding of UK financial crime regulation and legislation, including AML, fraud, sanctions, PEPs, bribery and corruption, JMLSG guidance, and FCA rules (including SYSC).Experience working within a UK wealth management or investment management environment, with a clear understanding of the associated financial crime risks.Working knowledge of UK criminal law as it applies to financial crime and regulatory expectations.Proven ability to assess financial crime risks and maintain effective systems, controls, policies, and procedures.Strong stakeholder management skills with the ability to provide clear, pragmatic advice to senior management and business teams.
Georgia MasonGeorgia Mason
Posted 16 days ago
VIEW ROLE
Zug, Switzerland
Senior Legal Counsel
PermanentCompetitive
Broadgate is partnered with a leading Swiss established bank looking to hire Senior Legal Counsel. This role will provide senior-level legal and regulatory support across a broad, internationally active business in the crypto and digital assets space. Responsibilities include: Provide proactive legal and regulatory advice to senior management, relationship managers, and business units, including coordination with external counselDraft, structure, and negotiate legal agreements with clients and third-party service providers, including in a crypto and digital-assets environmentDraft, review, and maintain legal documentation, including internal directives, marketing materials, standard agreements, forms, and general terms and conditionsMonitor legal and regulatory developments in Switzerland and internationally, leading implementation of regulatory change projectsPrepare and present legal and regulatory assessments for senior managementDeliver internal legal and regulatory training sessionsWork closely with Legal & Compliance colleagues, particularly on cross-border and overlapping mattersAdvise stakeholders on legal risk and regulatory impactProvide legal input for regulatory submissions, audits, litigation, and ad-hoc matters Requirements: Master of Law from a Swiss university; admission to the Swiss Bar (LL.M. an advantage)Minimum 5 years’ experience in a law firm, Big Four, consulting environment, or bankStrong background in banking law, financial regulation, and digital assets / cryptoExperience with investment products, including documentation, contractual structuring, and regulatory considerationsInterest in complex and innovative topics relating to DLT, Web3, FinTech, and digital financeCommercially minded, hands-on team player with strong analytical, communication, and stakeholder-management skillsFluent in German and English (additional languages beneficial) Apply with us today!
Callum DudrenecCallum Dudrenec
Posted 16 days ago
VIEW ROLE
Aberdeen, Aberdeen City, Scotland
Aberdeen - HR Consultant
PermanentCompetitive
HR Advisor – Aberdeen (Hybrid) | Professional Services  We’re looking for an experienced HR professional to join a dynamic team supporting a diverse portfolio of clients based in Aberdeen. This role is ideal for someone who enjoys advising, problem-solving, and building strong relationships, while having genuine autonomy and variety in their work.If you’re looking for a role where your expertise makes a real difference, without the bureaucracy of a large corporate environment, this is a great opportunity. You’ll manage your own client portfolio, provide practical HR advice, and step into high-impact projects from day one—all with the flexibility to work mainly remotely while visiting clients in Aberdeen as needed. Why apply?Take ownership of your client portfolio and enjoy a role that combines advisory work, ER projects, and proactive HR support.Work mainly remotely with some on-site visits, balancing productivity and work–life flexibility.Support a wide range of HR matters including employee relations, redundancies, performance management, and restructures.Access a strong network of around 50 HR professionals across Scotland and Ireland, providing guidance, support, and shared expertise.Provide clear, practical advice to managers at all levels and become a trusted go-to advisor for multiple organisations.alongside an experienced HR Manager, benefiting from guidance while maintaining independence and responsibility. What you’ll be doingProviding day-to-day HR advice and guidance across a diverse client portfolio.Leading and supporting complex employee relations matters, including disciplinary, grievance, performance, and absence management.Managing redundancy processes, restructures, and sensitive investigations.Preparing high-quality HR documentation, letters, and templates.Keeping clients informed of employment law updates and best practice guidance.Building strong, trusted relationships with managers and teams.Contributing to the development of HR processes, toolkits, and initiatives to strengthen clients’ internal HR capabilities. What you’ll bringSolid HR generalist experience, particularly in employee relations, redundancies, and ER projects.Confidence advising managers at all levels on sensitive or complex matters.Strong organisational skills to manage multiple clients and priorities.Clear and professional communication across Teams, phone, and email.Ability to build trust and rapport quickly.Independent working style while valuing collaborative team support.CIPD qualification or working towards it is desirable.Warm, approachable, and professional style that reassures clients and colleagues alike. Suitable backgroundThis role is ideal for an HR Advisor or HR generalist looking for broader exposure, more responsibility, and the chance to own a varied, high-impact portfolio of clients in Aberdeen. It’s perfect for professionals who want to combine autonomy, flexibility, and development in a supportive, hybrid working environment.WHY TOP TALENT CHOOSES THIS FIRM This is more than a professional services firm. It is a place where ambitious professionals build careers with momentum, purpose, and longevity. If you want to do work that genuinely matters, be trusted with responsibility early, and grow alongside people who are both highly capable and genuinely approachable, this firm stands out. → Accelerated careers without corporate drag Progression is based on impact, not tenure. Individuals are trusted to lead, influence client outcomes, and shape strategy far earlier than in traditional firms. There is real autonomy here, supported by senior leaders who actively invest in development and long-term success. → Work that stretches you – with clients who value expertise You’ll work with ambitious, growth-focused clients who see the firm as a strategic partner, not a commodity. This means exposure to complex challenges, senior-level engagement, and opportunities to develop strong commercial judgment alongside technical capability. → A culture built on trust, not hierarchy High standards sit alongside a refreshingly down-to-earth culture. People collaborate, share knowledge openly, and support one another. Leadership is visible, accessible, and genuinely invested. Individuals are recognised, listened to, and valued. → A modern, future-focused firm From flexible working and technology investment to launching new service lines and supporting innovation, this firm is growing with purpose. People are encouraged to contribute ideas and help shape the business’s future. → Values you can feel every day The firm’s values are evident in how people treat one another, how success is celebrated, and how wellbeing, inclusion, and performance are balanced in practice. In short, if you are looking for: • Faster progression with meaningful responsibility • Smart, supportive colleagues who care about quality and outcomes • Challenging, impactful work with clients who value your expertise • A workplace where your voice truly matters  …this is a place to build a career you can be proud of – professionally and personally.
Amanda DolanAmanda Dolan
Posted 20 days ago
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