Legal, Compliance & Financial Crime

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

Head of Legal & Compliance Location: San Francisco, CA (Onsite) Employment Type: Full-Time OverviewA fast-growing, venture-backed financial technology company is seeking an experienced Head of Legal & Compliance to lead all legal, regulatory, and compliance functions as the business scales. Operating in a highly regulated financial services environment, the company is building critical infrastructure supporting modern payment flows and next-generation financial products. This is a senior, hands-on leadership role for a legal executive who can balance regulatory rigor with commercial velocity. The position is fully onsite and reports directly to the executive leadership team. Key ResponsibilitiesServe as the company’s primary legal and compliance leader, advising senior leadership on regulatory, commercial, and governance matters.Design, implement, and oversee compliance programs covering payments, AML/KYC/KYB, sanctions screening, fraud, and financial crime obligations.Lead compliance efforts related to bank partnerships, money transmission requirements, and related regulatory frameworks.Act as the primary point of contact for regulators, banking partners, auditors, and external advisors.Draft, review, and negotiate a wide range of commercial agreements, including technology, vendor, and strategic partnership contracts.Partner closely with Product, Engineering, and Operations teams to provide risk-based legal guidance on new products and features.Oversee data privacy, information security, and cybersecurity legal considerations.Build and scale internal legal and compliance processes, policies, training, and controls.Manage and coordinate outside counsel efficiently.Qualifications10 years of legal and/or compliance experience in fintech, payments, banking, or other regulated financial services environments.Strong working knowledge of U.S. financial services regulation, including AML/KYC, payments compliance, and regulatory examinations.Prior experience engaging directly with regulators and financial institution partners.Proven ability to build legal and compliance infrastructure in high-growth or startup environments.Excellent judgment, communication skills, and ability to operate effectively in ambiguity.J.D. from an accredited law school and active bar membership (or eligibility for in-house registration).Ideal Candidate ProfilePragmatic, business-oriented legal leader with a builder’s mindsetComfortable working onsite in a fast-paced, entrepreneurial environmentCollaborative partner to technical and non-technical teamsHigh integrity, ownership mentality, and strong attention to detailCompensationCompetitive base salaryMeaningful equity participationComprehensive benefits package

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.

Broadgate are partnering with a global reinsurance business who are looking for an experienced Head Of Compliance to join the business in the US as the result of a period of growth. This role can be remote for the right individual but would require travel to both New York and Florida.Specific ResponsibilitiesResponsible for the US Compliance Universe (e.g., applicable federal and state laws and regulations) and ensuring that they are appropriately reflected within the Group Governance Risk and Compliance (GRC) tool with appropriate policies and procedures in place.Actively promote and instill awareness of all Group and US regulatory requirements, including conduct, within the business.Support the US business-wide Horizon Scanning process including proactive monitoring of regulatory and legal developments in close coordination with the US Legal team.Where new and changing regulations and laws are identified, lead the provision of impact assessments, gap analyses, and guidance notes on any consultation papers through to final implemented guidelines.Ensure that where there are changes identified which are implemented at a Group level, support the communication with US stakeholders, overall roll-out, and US implementation. Work closely with the Group Change Management team as required.Responsible for management and oversight of all US regulatory filings within the Group GRC tool, reporting, managing, and ensuring that all are identified and submitted on a timely basis. This involves close collaboration with the US Legal team.Support an annual business-wide Compliance Risk Assessment (CRA) process for all US entities. The purpose of the CRA is to have a clearly articulated Company Risk Profile (for all regulated and non-regulated entities), which identifies and measures the associated compliance risk. The CRA supports development and implementation strategies for mitigating material compliance risks (supports Group Supervision Rules 2011). The CRA includes a risk profile outlining the purpose, financial condition, and performance of each entity to understand the compliance risk profile. Work alongside the other jurisdictional Heads of Compliance to ensure these risk assessments are conducted in a consistent manner.Provide advice to the business on corporate policies, procedures, codes, and frameworks which support the compliance risk management framework. Identify where training needs are relevant and work in conjunction with Compliance Operations to deliver a robust compliance training program.Responsible for regular communications to the US Executive and Boards, Risk Committee, or other governance bodies on all compliance matters.What You Will Bring7 years of legal and compliance experience working in the insurance and/or reinsurance industry, with a combination of in-house and law firm experience strongly preferred.Law degree (JD) from a law school accredited by the American Bar Association and current good standing with the bar in at least one U.S. state preferred but not essential.Excellent oral and written communication skills, including demonstrated ability to prepare presentations and board reports appropriate to various audiences.Proven ability to build strong partnering relationships with a wide range of stakeholders and to challenge, negotiate with, influence, and persuade stakeholders at all levels.Strong analytical, organizational, project management, and problem-solving skills, with demonstrated ability to resolve complex business or regulatory issues.

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.

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!

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.

Senior Manager – Risk & Compliance, Investment Management & WealthLondon  Join a fast-growing Risk & Compliance Advisory team at a Big 4 global consultancy. As a Senior Manager, you will lead client engagements within the Investment Management & Wealth sector, providing strategic risk and regulatory advice while overseeing delivery teams and contributing to practice growth.This role offers the opportunity to combine deep technical expertise with strategic thinking, people leadership, and market-facing influence in a collaborative and flexible environment. Key Responsibilities:Lead and advise major Investment Management and Wealth clients on complex risk, regulatory, and compliance matters.Interpret and critically assess UK and EU regulatory developments, providing strategic, forward-looking advice to senior client stakeholders.Design, implement, and oversee enterprise-wide risk, compliance, and control frameworks aligned to clients’ business models and strategic objectives.Provide leadership and oversight of project teams, including coaching, mentoring, and performance management of junior and mid-level colleagues.Act as a trusted advisor to client executives, demonstrating strong judgement, analytical rigour, and commercial awareness.Drive thought leadership, contribute to market-leading propositions, and represent the firm at industry forums and client events.Play a key role in business development, including identifying opportunities, shaping proposals, and supporting practice growth.Collaborate with partners and other service lines to deliver integrated, high-quality client solutions.Requirements:Typically 8–10 years’ experience in risk, compliance, or regulatory advisory within Investment Management or Wealth/Platform (consulting, in-house, or regulatory).Strong knowledge of relevant UK and/or EU financial services regulation.Proven experience designing and implementing risk frameworks.Demonstrated leadership, strong analytical capability, and critical thinking.Excellent stakeholder management and communication skills, with a commercial mindset.