Legal, Compliance & Financial Crime

Vice-President, Corporate Compliance Advisory 📍 Location: Toronto, ON (Hybrid) 🕒 Full-Time | Permanent | Executive Level 💼 Industry: Financial Services / Banking Are you a compliance leader ready to take your impact to the next level? A leading global financial institution is seeking a Vice-President, Corporate Compliance Advisory to join their Toronto office. This highly visible role plays a critical part in shaping compliance operations, driving regulatory strategy, and advising senior leadership across a dynamic and fast-paced environment. You’ll be at the forefront of regulatory governance in Canada, steering strategic initiatives and influencing business decisions with deep compliance insights. If you’re passionate about risk management, policy development, and regulatory transformation — and thrive in an advisory role — this is your opportunity to lead. 🌟 Your Impact As a trusted advisor and key member of the Compliance team, you will:Lead day-to-day Corporate Compliance operations — from annual planning to change management, regulatory filings, and compliance committee activities.Oversee execution of the Compliance Risk Management (CRM) Program, including policy development, risk assessments, control libraries, issue management, and program reporting.Serve as a subject matter expert on Canadian banking regulations (e.g., Bank Act, OSFI Guidelines, Privacy Act), interpreting and applying regulatory changes across the organization.Drive complex compliance projects related to regulatory change, second-line controls, and CRM Program enhancements.Provide compliance advisory and challenge to new business initiatives, ensuring alignment with evolving regulatory expectations.Manage compliance data governance, including metadata, end-user tools, and reporting infrastructure.Collaborate with senior leaders, legal teams, regulators, and other key stakeholders to shape and deliver strategic compliance initiatives.🎓 What You BringBachelor's degree required; LLB/JD and membership with the Ontario Bar (in good standing) is a strong asset.Minimum 3 years of experience in financial services compliance — ideally within a federally regulated institution, global bank, or major consulting firm.Deep knowledge of Canadian regulatory frameworks, including OSFI, the Bank Act, and privacy laws.Proven ability to design and manage enterprise-level compliance programs, policies, and reporting processes.Experience with regulatory advisory, policy development, and compliance issue remediation.Strong project management and leadership capabilities, with the ability to manage multiple priorities effectively.Excellent communication, legal drafting, and stakeholder engagement skills.🚀 Why Join?Strategic leadership role with high visibility across the organization.Opportunity to influence regulatory governance at a global level.Hybrid work model with flexibility and a collaborative, inclusive team environment.Be part of an organization that values excellence, innovation, and continuous improvement in risk and compliance.

Senior AML Specialist (1st Line)£60,000 - London (Hybrid)This is a critical position to act as the 1st line of defence within AML Operations. The main remit of this role will be to implement changes into AML processes across the business, stepping away from 'BAU' type work with a focus more on bigger-picture strategy implementation.Snapshot of the RoleTransaction Monitoring & Screening: Monitor and clear daily transaction alerts, refine screening parameters to minimize false positives, and support AML screening for offshore account openings.Client Due Diligence & Risk Assessment: Conduct identity verification, Customer and Enhanced Due Diligence (CDD/EDD), and perform periodic risk assessments, liaising with clients to gather and validate required documentation.Risk Management & Reporting: Maintain risk registers, carry out monthly reliance testing, prepare management information reports, and act as the primary contact for internal audit and regulatory enquiries.Policy & Procedure Maintenance: Review and update AML policies, operational procedures, and the department’s Risk and Control Self-Assessment (RCSA), while contributing to technical and system enhancements.Your ProfileAML/Compliance Experience: Extensive background in Anti-Money Laundering (AML) and Compliance roles within the financial services industry (ideally Investments or Wealth), supporting regulatory adherence and risk mitigation initiatives.Regulatory & Procedural Expertise: Strong technical knowledge of AML regulations and deep familiarity with first line of defense responsibilities, including operational procedures and compliance frameworks.Leadership & Organizational Skills: Demonstrated supervisory ability and organizational effectiveness in previous financial services positions; adept at managing multiple tasks and priorities in high-volume environments.Strong Communication Abilities: Skilled in engaging professionally with senior management, Compliance, and Financial Crime teams through both written and verbal communication.Apply here to find out more!

Senior Compliance Officer£80,000 - £90,000We are working with a global financial services firm providing investment processing, management, and operations solutions. With a strong presence in the UK and Europe, the business is known for its innovative technology, client-focused approach, and commitment to regulatory excellence.Compliance Support & Governance: Support the Compliance department to ensure effective governance, internal controls, and regulatory compliance across operations.Regulatory Advice & Monitoring: Provide compliance advice on new regulatory developments and assist with monitoring reviews, reporting, and implementing recommendations.Training & Policy Development: Contribute to the development and delivery of compliance training, and assist with drafting or revising compliance policies and procedures.Regulatory Exams & Due Diligence: Support regulatory exams, queries, reporting, and provide compliance responses for proposals and due diligence reviews.Compliance Reviews & Incident Management: Review and ensure compliance of financial promotions, client communications, and contractual agreements; handle breaches and client complaints per relevant policies.Risk Management & Reporting: Assist with risk management, management reporting, and collaborate with other control functions to ensure coordinated compliance responses.Your ProfileBackground in Asset Management, Wealth Management or similarFull suite of regulatory experience, spanning COBS, SYSC, CASS, MiFID, SMCR & Market AbuseStrong communication & stakeholder engagement skills

Risk and Compliance Senior ManagerConsultancy Dublin - Hybrid Working80-95kAre you a skilled regulatory expert with a passion for compliance and advisory services? I'm working with my client to support them in finding a Senior Manager to help their clients navigate the complexities of regulatory requirements within the evolving Irish financial services market.As part of a leading global firm, you’ll work on a range of exciting projects—from developing compliance frameworks to delivering regulatory training, while managing a high-performing team and driving impactful results for clients. You’ll play a key role in advising clients on critical regulatory challenges, ensuring they meet the latest industry standards and regulations.Your Role:Support clients across financial services in managing their regulatory requirements. Support across a range of projects including implementation of new regs, developing frameworks, supporting with regulatory authorisations, and on key remediation projects.Lead client engagements and manage key stakeholder relationships and a team of consultantsAbout You:Extensive experience in compliance and/or operational risk roles, within Financial Services or professional services Strong knowledge of the Irish regulatory requirements Experience in managing teams/projectsExcellent communication, planning, and leadership skills.If you're ready to take the next step in your career and make a key impact in your next role then apply here or reach out to me @  darren.hogan@broadgatesearch.com

Head of Compliance – SMF 16Location: London, UK – Hybrid WorkingRole OverviewTo lead and manage compliance across this International Retail Bank, ensuring alignment with strategic objectives and full adherence to regulatory and statutory obligations. This includes fulfilling the SMF16 (Compliance Oversight) role and promoting a strong compliance culture throughout the organisation.Key ResponsibilitiesOversee and implement the Bank’s Compliance Framework to meet all regulatory requirements.Ensure adherence to the Banking: Conduct of Business Sourcebook and UK Corporate Governance Code (as applicable).Provide compliance oversight and guidance to senior management, keeping them informed of regulatory developments.Monitor legal and regulatory compliance via a robust, risk-based monitoring plan.Act as a key liaison with regulators and manage regulatory reporting.Fulfil statutory duties of Head of Compliance, including the Data Protection Officer role where required.Lead compliance training, maintain key compliance registers, and support internal staff in understanding regulatory obligations.Ensure the Bank's Complaints Procedures are followed and reported correctly.Manage the Compliance function and support broader business integrity and customer trust.Experience and KnowledgeMinimum 10 years of experience in areas of compliance holding SMF16Strong knowledge of UK regulatory requirements and financial services compliance.Familiar with banking products, services, and procedures.Adheres to the ethical standards of behaviour and code of conduct issued by the FCA under the Senior Managers Regime.

Job Title: Complaints SpecialistLocation: Hybrid in Rochester or remote in united kingdomThis is a great opportunity to join a financial planning firm within the Compliance Department, reporting directly to the Compliance Director. In this role, you will investigate and resolve pension advice and service-related complaints with accuracy and efficiency, while managing all aspects of the organisation’s complaints policies, procedures, and processes.Key ResponsibilitiesComplaint Management: Handle end-to-end complaint processes from initial acknowledgment through resolution, including redress calculations and escalations to the Financial Ombudsman Service (FOS).Root Cause Analysis: Conduct root cause analysis for complaints, escalating issues and providing actionable solutions to improve processes.Professional Communication: Liaise with the FOS, Professional Indemnity insurers, and third-party outsourcers, coordinating as needed for Defined Benefit (DB) redress calculations.Data and Reporting: Prepare data and management information (MI) reports for internal committees and regulatory reporting.Skills RequirementsQualifications: DipFA Level 4 required (AF7 beneficial).Experience: At least 3 years in a similar complaints role in wealth management or financial planning, with pension advice expertise.Complaint Handling Expertise: Experience with redress calculations, FOS escalations, root cause analysis, MI production, and regulatory reporting.

Job Title: Complaints SpecialistLocation: Hybrid in Rochester or remote in united kingdomThis is a great opportunity to join a financial planning firm within the Compliance Department, reporting directly to the Compliance Director. In this role, you will investigate and resolve pension advice and service-related complaints with accuracy and efficiency, while managing all aspects of the organisation’s complaints policies, procedures, and processes.Key ResponsibilitiesComplaint Management: Handle end-to-end complaint processes from initial acknowledgment through resolution, including redress calculations and escalations to the Financial Ombudsman Service (FOS).Root Cause Analysis: Conduct root cause analysis for complaints, escalating issues and providing actionable solutions to improve processes.Professional Communication: Liaise with the FOS, Professional Indemnity insurers, and third-party outsourcers, coordinating as needed for Defined Benefit (DB) redress calculations.Data and Reporting: Prepare data and management information (MI) reports for internal committees and regulatory reporting.Skills RequirementsQualifications: DipFA Level 4 required (AF7 beneficial).Experience: At least 3 years in a similar complaints role in wealth management or financial planning, with pension advice expertise.Complaint Handling Expertise: Experience with redress calculations, FOS escalations, root cause analysis, MI production, and regulatory reporting.

Senior Compliance Associate (wealth or investment management)Location: London – HybridA leading global provider of asset management and investment technology solutions is seeking an experienced Senior Compliance Associate will support the business by providing regulatory advice, reviewing communications, monitoring activities, and helping maintain compliance with FCA and other applicable regulations.Key Responsibilities:Regulatory Advice: Provide day-to-day compliance support and guidance on new regulatory developments.Monitoring: Conduct and document compliance monitoring reviews and support implementation of recommendations.Policy & Training: Assist with drafting compliance policies and delivering training.Marketing Review: Review and approve financial promotions and client communications.Complaints & Breaches: Support complaint handling and breach logging, ensuring records are accurate and complete.Skills & Knowledge:4+ years' regulatory compliance experience in financial services (Ideally worked in wealth or investment management)Strong knowledge of FCA regulations (CASS, SMCR, consumer duty, market abuse, trade surveillance)