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.

Salary Guides

Explore Broadgate's latest salary benchmarks, compensation insights and hiring trends across Legal, Risk, Compliance and Financial Crime.

Compliance Salary Guide: UK

Compliance Salary Guide: Ireland

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

Leicester, Leicestershire, East Midlands, England

Complaints Officer

Permanent£40000 - £50000 per annum

Complaints OfficerLocation: Leicester — hybrid, one day per week in office We're recruiting for a Complaints Officer to join the compliance team of a mortgage network, handling a high volume of complaints linked to one of its largest intermediary partner firms. You'll independently and impartially investigate, manage and resolve complaints and disputes, delivering fair outcomes in line with FCA requirements while remaining commercially aware. ResponsibilitiesReceive and respond to inbound complaints and queries within FCA timescales, ensuring complainants are treated fairly and consistentlyApply the FCA's Dispute Resolution Rules (DISP) and other relevant guidance throughout the complaints processConduct thorough investigations, researching records, reviewing files, and liaising with relevant staff and the partner firm to build a clear picture of eventsRecommend appropriate redress or remedial action in line with the Complaints Handling PolicyManage a caseload of complaints at varying stages of resolution, communicating clearly and confidentially with all partiesLiaise with external bodies such as the Financial Ombudsman, legal firms, or claims management companies as neededMaintain accurate, complete records of investigations and supporting documentationSupport the production of management information for senior stakeholders, and assist with monitoring legal feesRequirementsMinimum 3 years' hands-on complaints handling experience within financial servicesMortgage and protection industry background essentialStrong knowledge of FCA rules and guidance, including DISP, CONC, ICOBS, Vulnerable Customer, and Consumer DutyConfident communicator, able to present complex information clearly both verbally and in writingComfortable managing a busy caseload and working to tight deadlinesCeMAP or equivalent qualification, or willingness to work towards it

Georgia Mason

Posted about 1 hour ago

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Norfolk, East Anglia, England

File Quality Checker

Permanent£40000 - £50000 per annum

File Quality Checker – Mortgage & ProtectionLocation: Norfolk/ Suffolk (once a week in office, largely remote)We're recruiting for a Business Quality Assessor to join the compliance function of a mortgage network, providing dedicated QA oversight for one of its largest intermediary partner firms. This is a hands-on quality assurance role covering both file and call auditing, ensuring mortgage and protection advice meets FCA standards and that customers consistently receive good outcomes. ResponsibilitiesConduct detailed reviews of mortgage and protection advice files and calls, assessing suitability, documentation quality, and compliance with FCA regulations (including MCOB, ICOBS, and Consumer Duty)Deliver structured, actionable feedback to advisers to improve advice quality and regulatory understandingAct as the primary QA point of contact for a major partner firm, providing oversight and constructive challenge on quality and riskIdentify trends, risks, and systemic issues, escalating high-risk findings in line with governance proceduresProduce clear QA reports and contribute to management information and reportingPrimarily covers first-charge mortgages, with second-charge business expected to followRequirementsSignificant experience in mortgage and protection advice file/call QA, ideally from an intermediary or broker background (small-to-medium firm experience preferred)Strong working knowledge of FCA regulations, including MCOB, ICOBS, and Consumer DutyConfident, diplomatic communicator with a track record of coaching advisers and influencing behaviourStrong analytical skills and attention to detailCeMAP or equivalent qualification desirable (support available to obtain this if not already held)Full UK driving licence required, with willingness to travel occasionally to partner offices

Georgia Mason

Posted about 1 hour ago

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Wiltshire, South West, England

Head of Product Governance

Permanent£90000 - £95000 per annum, Benefits: Car allowance, bonus and Hybrid working - more to discuss

Head of Proposition Governance(Hybrid – 3 days/week in office) | 12-Month FTC (strong intent to go permanent) | £75,000–£95,000 + benefits. A leading, adviser-owned financial advisor — spanning wealth management, protection, mortgages and pensions — is looking for an experienced Head of Proposition Governance to lead and evolve its proposition governance capability. Following a significant recent capital investment and new (internal promotion) senior leadership, the business is in a genuine growth phase — expanding its adviser base and its product range. This is a rare opportunity to join at a pivotal moment and shape governance across a proposition set that's actively evolving. This is a governance and oversight role, not a hands-on product-building one. You'll be the person ensuring the product range is good for customers, commercially sound, and defensible to regulators — owning the framework, chairing the committees, and holding the business to accountWhat You'll Be DoingLead the design, delivery and continuous improvement of the Proposition Governance Framework, ensuring alignment with regulatory requirements, Consumer Duty and group risk appetiteOwn the end-to-end Proposition Development & Management Framework — covering in-house and third-party products, due diligence, target market analysis and periodic review of existing propositionsChair and manage key governance forums, including the Proposition Management Committee and Product Review CommitteeUse market insight, customer data and competitor analysis to identify opportunities and support strong customer outcomesProvide clear governance reporting to senior leadership and boardsManage provider/supplier relationships, including commercial negotiationLead and develop a small, established teamWhat You'll NeedSignificant senior-level experience in financial services and product/proposition governanceA strong track record in proposition development and governance within a regulated environmentExcellent working knowledge of the regulatory landscape, including Consumer Duty and its impact on customer outcomesBroad knowledge across wealth, insurance and mortgages — including provider, competitor, market and adviser dynamicsExperience in supplier selection, commercial negotiation, and influencing senior stakeholders, committees and boardsConfidence chairing committees and presenting to senior leadershipA relevant professional or postgraduate qualification is advantageousThis is a fast moving position - we encourage you to apply now and the team will be in touch shortly. Goodluck!

Declan Stark

Posted about 4 hours ago

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Remote work, England

Senior Compliance Manager

Permanent£80000 - £100000 per annum

Senior Compliance Manager (SMF Designate)UK Remote/ London HybridA high-impact Compliance leadership opportunity within a fast-growing, technology-led financial services business operating across insurance and fintech. Reporting to the Chief Risk Officer, you will lead the UK Compliance function, act as the firm's primary FCA contact, and be put forward for approval under the Senior Managers & Certification Regime (SMCR). This role offers broad exposure across regulatory compliance, financial crime, governance, consumer duty, and risk management, with significant influence on business growth, product development, and regulatory strategy. Key ResponsibilitiesLead the UK Compliance function and assume SMF responsibilities following FCA approval.Act as the primary liaison with the FCA, managing regulatory engagement, submissions, and notifications.Maintain and enhance Compliance and Financial Crime frameworks, ensuring they remain effective and scalable.Oversee compliance monitoring, risk assessments, controls testing, incident management, and regulatory reporting.Lead Consumer Duty and AML/CTF programmes, including governance, monitoring, and reporting obligations.Support new product launches, partnerships, and market expansion initiatives from a regulatory perspective.Provide reporting and insight to senior leadership and the Board on compliance, conduct risk, financial crime, and regulatory developments.Requirements8+ years' experience in Compliance, Financial Crime, Risk, or Legal roles within insurance, insurtech, fintech, banking, payments, or other regulated financial services environments.Experience operating at, or ready to step into, an FCA-approved Senior Manager Function role.Strong knowledge of FCA regulations, Consumer Duty, SMCR, AML/CTF requirements, and wider UK regulatory frameworks.Proven ability to build pragmatic compliance frameworks within high-growth or technology-led businesses.Strong stakeholder management skills with experience engaging regulators, senior leadership, and Boards.This is an excellent opportunity to take ownership of a critical function within an innovative, scaling organisation and play a key role in shaping its regulatory and compliance strategy.

Georgia Mason

Posted about 23 hours ago

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Norfolk, East Anglia, England

Senior Compliance Oversight Manager

Permanent£0 - £65000 per annum

Senior Compliance Manager As the Senior Compliance Manager, you will be responsible to ensure regulatory requirements are met, deliver good customer outcomes, and maintain robust governance frameworks in accordance with Financial Conduct Authority (FCA) expectations, including Consumer Duty. Some Key ResponsibilitiesProvide ongoing oversight and constructive challenge to ensure regulatory standards are maintainedBuild strong, credible relationships with senior management, advisers, and operational teamsProvide proactive, forward-looking compliance support to identify emerging risks and support early interventionProvide guidance on complex regulatory matters relating to mortgage and protection adviceIdentify, assess, and manage regulatory and conduct risks within the businessOversee monitoring activity, including file reviews, call assessments, thematic reviews, and audit outputsProvide clear, risk-based reporting to senior stakeholders, committees, and the Board where requiredExperienceStrong knowledge of UK financial servicesStrong knowledge of FCA regulation including MCOB, ICOBS and Consumer DutyDeep understanding of mortgage and protection advice processesStrong communication and stakeholder management skills.Experience in managing people effectivelyCeMAP Qualified

Matt Carter

Posted about 23 hours ago

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City Of Bristol, Bristol, South West, England

Compliance Manager

Permanent£70000 - £75000 per annum

Compliance Manager Overview To ensure compliant delivery of service excellence and operational effectiveness, ensuring that internal policies and procedures are up to date and adhere to FCA and other regulatory requirements. Monitoring and reporting on corporate standards with regard to compliance with all regulatory requirements.Key Responsibilities:Responsible for the creation, evolution, and implementation of an appropriate monitoring regime across all group entities to ensure compliance standards are maintained and timely remedial actions are taken where necessary.Responsible for the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant group-level regulatory returns.Ensure financial promotions across the group meet regulatory and internal business standards prior to approval, maintaining consistency in interpretation and application.Identify all areas across the group where compliance oversight is required to ensure regulatory requirements and industry best practices are metStay informed of changes in the regulatory landscape and assess potential impacts on the group's operations, working proactively with senior colleagues to develop plans that ensure continued compliance.Ensure all change initiatives are managed within the appropriate risk management framework (including financial and operational risk) and follow the group's authorisation structure for any process amendments.Experience & Qualifications:CII level 4 Diploma in Financial Services and/or relevant compliance qualificationsWorking knowledge of FCA Principles and RulesPrevious experience in a similar role within the Wealth Management and Financial Planning industry

Matt Carter

Posted 2 days ago

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City Of Bristol, Bristol, South West, England

Compliance Manager

Permanent£70000 - £75000 per annum

Matt Carter

Posted 2 days ago

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London, Greater London, South East, England

Head of Compliance

PermanentCompetitive

Head of Risk & Compliance — Founding Leadership Role | AI-Native Fintech | UK EMI Launch Join one of the UK's most ambitious fintech builds: an AI-native business neobank for SMEs. This company combines agentic AI, persistent memory and human oversight with a fully regulated banking core — redefining what a regulated financial institution can look like. This is a rare founding opportunity to build the entire risk and compliance function from zero, not inherit one, while leading the business through FCA EMI authorisation. Why this role:Own the FCA EMI application end-to-end — strategy, evidence pack, regulator engagement, approval.Design the risk, compliance, financial crime and safeguarding framework from scratch.Sit at the heart of the executive team, embedding compliance into a genuinely novel AI-native operating model — architecture, not afterthought.Build and lead the function as the company scales post-authorisation.Partner directly with founders and engineering on AI governance and human-in-the-loop controls — cutting-edge territory for a compliance leader.What you'll need:Direct experience successfully obtaining FCA EMI authorisation at least once — essential.Senior risk, compliance or financial crime leadership experience within an EMI, payment institution, fintech or regulated financial services.Strong command of AML, sanctions, KYC/KYB, safeguarding, operational resilience and Board reporting.A builder's mindset — comfortable without a mature process library around you.Credibility with the FCA and confidence to challenge founders and partners constructively.📩 Get in touch to find out more — happy to share full details confidentially.

Annabel Lovell

Posted 3 days ago

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