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

London, Greater London, South East, England

Senior Legal Counsel Generalist

PermanentCompetitive

Senior Legal Counsel (Russian-Speaking) – Generalist | Remote | Global Trading FirmA fast-moving trading firm operating across global markets is hiring a Russian-speaking senior lawyer who can advise at pace, and act as a genuine legal partner — not just a reviewer.The roleFull ownership of a broad and varied legal workload — spanning business expansion, transactional law, and a wide range of contract mattersTrusted legal voice across the business, reporting into different stakeholders depending on the project — including directly to the CEO on high-priority mattersMulti-jurisdictional remit with real ownership: you'll identify when external counsel is needed, engage them, and manage those relationships end-to-endAdvice that moves things forward — a genuine seat at the table, not a back-office functionWhat they're looking for5 years, in-house or at an international law firmMulti-jurisdictional exposure across common law and civil law systemsSharp on drafting, sharper on risk — without losing sight of commercial realityProactive, self-directed, and comfortable operating at paceAdvanced English required; Russian is a significant plusWhy this oneFully remote with flexible hours and 40 days paid leaveAccess to global offices on demandCompetitive salary with real room to growA high-autonomy role for a commercially-minded lawyer who wants international scope and the freedom to do their best work.

Annabel Lovell

Posted about 3 hours ago

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London, Greater London, South East, England

Senior Legal Counsel Litigation/Disputes

PermanentCompetitive

Senior Litigation/Disputes Counsel (Russian-Speaking) | Remote | Global Trading FirmA fast-moving trading firm operating across global markets is hiring a Russian-speaking senior contracts lawyer who can advise at pace, draft with precision, and act as a genuine legal partner — not just a reviewer.The roleEnd-to-end ownership of disputes across UAE, UK, EU and Hong Kong — commercial litigation, international arbitration, and financial recovery casesPrimary point of contact for all dispute matters, coordinating local counsel across jurisdictionsFull responsibility for pleadings, motions, discovery, depositions, and trial preparationActive involvement in settlement negotiations and ADR proceedingsWhat they're looking forJD from an accredited law school, admitted to practice7–10 years of litigation or dispute resolution experience, in-house or at a law firmComfortable managing multi-jurisdictional matters independentlyStrong drafter — pleadings, briefs, legal memos and strategy documentsFamiliar with e-discovery platforms and legal research toolsWhy this oneFully remote with flexible hours and 40 days paid leaveAccess to global offices on demandCompetitive salaryA high-autonomy role for an experienced litigator who wants genuine ownership of complex, cross-border disputes without the politics of a large firm

Annabel Lovell

Posted about 6 hours ago

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London, Greater London, South East, England

Head of Compliance Advisory

Permanent£100000 per annum

Head of Compliance Advisory We are seeking an experienced and commercially minded Head of Compliance Advisory to lead our advisory function and act as a strategic partner to the business. This role is central to ensuring that regulatory requirements are clearly understood, embedded, and aligned with business objectives, while enabling sustainable growth. The Role As Head of Compliance Advisory, you will lead the advisory team in providing clear, pragmatic, and forward-looking regulatory guidance across the organisation. You will play a key role in interpreting regulation, supporting business initiatives, and ensuring that compliance is embedded into decision-making at all levels. Key ResponsibilitiesProvide high-quality, timely compliance advisory support to senior stakeholders and business unitsInterpret and communicate regulatory requirements, offering practical guidance on their applicationAct as a trusted advisor to the Board and Executive Committees on regulatory matters and conduct riskSupport strategic business initiatives, product development, and change programmes from a regulatory perspectiveLead horizon-scanning activities, assessing the impact of new and evolving regulations on the businessPartner closely with Risk, Legal, and other control functions to ensure a coordinated approachDevelop and maintain advisory frameworks, policies, and guidance to support consistent decision-makingBuild strong relationships with key stakeholders to promote a culture of compliance and good conductSupport regulatory interactions where required, including queries and thematic reviewsLead, mentor, and develop a high-performing Compliance Advisory teamSkills & ExperienceSignificant experience in a senior compliance advisory role within Wealth & Investment Management or Private BankingStrong working knowledge of UK and EU regulatory frameworks (including FCA Handbook, SYSC, COBS, MiFID II, and SMCR)Proven ability to translate complex regulation into clear, actionable adviceStrong stakeholder engagement skills, with the ability to influence at senior levelsCommercial mindset with the ability to balance regulatory requirements and business objectivesExperience supporting business change, product governance, and strategic initiativesLeadership experience with a track record of building and developing effective teamsPrior SMF experience is advantageous but not essential

Oliver White

Posted about 7 hours ago

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Greater London, South East, England

Associate Director - Fund Operations

Permanent£90000 - £120000 per annum

Fund Operations Associate DirectorWe are exclusively working with a London-based client in the fund services and investment platform space who has recently established a regulated AIFM. They are now looking to appoint an AD to lead the build-out and ongoing development of the AIFM function, taking ownership of its operating model, governance framework, and oversight processes as the platform scales. This is a key role sitting at the centre of a growing regulated platform, with responsibility across fund oversight, risk, valuation governance, and client delivery within alternative investment fund structures. Roles & ResponsibilitiesLead the design and implementation of the AIFM operating model, including governance, control framework, and oversight structures across the platform.Take ownership of fund oversight activities, including delegation arrangements, portfolio monitoring, and ongoing assessment of third-party service providers.Oversee risk management and valuation governance frameworks, ensuring alignment with AIFMD, IPEV guidelines, and internal policies.Ensure robust regulatory compliance, including oversight of Annex IV reporting, FCA requirements, and ongoing regulatory engagement.Act as a key client and intermediary contact, supporting client relationship management and business development across fund and corporate structures.Contribute to the development of scalable fund platform solutions, including onboarding processes for new managers and structuring support.Support operational resilience and oversight of key outsourced providers including administrators, depositaries, and investment managers.Work closely with senior leadership to drive the growth and commercial performance of the AIFM and wider platform.Essential Skills & ExperienceStrong experience working within AIFM, AIFMD, or alternative investment fund structures, ideally within fund administration, ManCo, or platform environments.Demonstrable experience in fund oversight, risk management, valuation governance, and delegation oversight within alternative investment funds.Exposure to client-facing roles and/or business development, with experience supporting fund launches or emerging manager platforms preferred.

Scarlett Worthington

Posted 2 days 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.

Tyla Ritchie

Posted 3 days ago

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Greater London, South East, England

Associate Director - AIFM

Permanent£90000 - £120000 per annum

AIFM Associate DirectorWe are exclusively working with a London-based client in the fund services and investment platform space who has recently established a regulated AIFM. They are now looking to appoint an AIFM AD to lead the build-out and ongoing development of the AIFM function, taking ownership of its operating model, governance framework, and oversight processes as the platform scales. This is a key role sitting at the centre of a growing regulated platform, with responsibility across fund oversight, risk, valuation governance, and client delivery within alternative investment fund structures. Roles & ResponsibilitiesLead the design and implementation of the AIFM operating model, including governance, control framework, and oversight structures across the platform.Take ownership of fund oversight activities, including delegation arrangements, portfolio monitoring, and ongoing assessment of third-party service providers.Oversee risk management and valuation governance frameworks, ensuring alignment with AIFMD, IPEV guidelines, and internal policies.Ensure robust regulatory compliance, including oversight of Annex IV reporting, FCA requirements, and ongoing regulatory engagement.Act as a key client and intermediary contact, supporting client relationship management and business development across fund and corporate structures.Contribute to the development of scalable fund platform solutions, including onboarding processes for new managers and structuring support.Support operational resilience and oversight of key outsourced providers including administrators, depositaries, and investment managers.Work closely with senior leadership to drive the growth and commercial performance of the AIFM and wider platform.Essential Skills & ExperienceStrong experience working within AIFM, AIFMD, or alternative investment fund structures, ideally within fund administration, ManCo, or platform environments.Demonstrable experience in fund oversight, risk management, valuation governance, and delegation oversight within alternative investment funds.Exposure to client-facing roles and/or business development, with experience supporting fund launches or emerging manager platforms preferred.

Scarlett Worthington

Posted 6 days ago

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Greater London, South East, England

Senior Manager - AIFM

Permanent£90000 - £120000 per annum

AIFM Senior ManagerWe are exclusively working with a London-based client in the fund services and investment platform space who has recently established a regulated AIFM. They are now looking to appoint an AIFM Senior Manager to lead the build-out and ongoing development of the AIFM function, taking ownership of its operating model, governance framework, and oversight processes as the platform scales. This is a key role sitting at the centre of a growing regulated platform, with responsibility across fund oversight, risk, valuation governance, and client delivery within alternative investment fund structures. Roles & ResponsibilitiesLead the design and implementation of the AIFM operating model, including governance, control framework, and oversight structures across the platform.Take ownership of fund oversight activities, including delegation arrangements, portfolio monitoring, and ongoing assessment of third-party service providers.Oversee risk management and valuation governance frameworks, ensuring alignment with AIFMD, IPEV guidelines, and internal policies.Ensure robust regulatory compliance, including oversight of Annex IV reporting, FCA requirements, and ongoing regulatory engagement.Act as a key client and intermediary contact, supporting client relationship management and business development across fund and corporate structures.Contribute to the development of scalable fund platform solutions, including onboarding processes for new managers and structuring support.Support operational resilience and oversight of key outsourced providers including administrators, depositaries, and investment managers.Work closely with senior leadership to drive the growth and commercial performance of the AIFM and wider platform.Essential Skills & ExperienceStrong experience working within AIFM, AIFMD, or alternative investment fund structures, ideally within fund administration, ManCo, or platform environments.Demonstrable experience in fund oversight, risk management, valuation governance, and delegation oversight within alternative investment funds.Exposure to client-facing roles and/or business development, with experience supporting fund launches or emerging manager platforms preferred.

Scarlett Worthington

Posted 6 days ago

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Remote work, England

Compliance and Risk Officer

Permanent£70000 - £80000 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 7 days ago

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