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:

Explore Careers

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

Athens, Attica, Greece

Senior Governance, Risk and Compliance Analyst

PermanentCompetitive

Senior GRC AnalystLocation: GreeceWe are seeking a Senior GRC Analyst to join the Information Security team as an individual contributor. The successful candidate will manage security risk assessments of both third parties and internal technologies, and support the day-to-day operations of the Governance, Risk and Compliance (GRC) function. The role also covers compliance activities related to technology assurance areas such as access management, vulnerability management, and configuration management, alongside governance activities including administrative management of risk and control registers, policies, and standards. ResponsibilitiesExecute security risk assessments supporting the Risk Manager, including reporting, monitoring, and issue management, primarily but not limited to third parties and applications.Manage the quarterly/annual review of risk acceptances and exceptions.Create metrics and reporting for GRC initiatives.Support development of the governance framework, including annual reviews.Support security compliance activities such as assessments and audit support.Support monitoring and reporting for regional activities.Support key areas under CISO accountability, including data security and business continuity.Requirements2-4 years of experience in the Information Security field.Experience with GRC tools (e.g., AuditBoard, Archer, or similar) considered an asset.Knowledge of security concepts and methodologies such as risk assessments, risk & controls, policies & standards, enterprise security strategies, network, and cloud security.Knowledge of security frameworks such as CIS and NIST.Excellent written and verbal communication skills, including presentation skills, with the ability to clearly communicate issues to management and other key stakeholders.

Georgia Mason

Posted about 1 hour ago

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Athens, Attica, Greece

Senior Information Security GRC Analyst

PermanentCompetitive

Senior Information Security GRC AnalystLocation: GreeceWe are seeking an experienced Information Security and Compliance specialist to join the Information Security team. The successful candidate will assess information security risks in line with internal policy and external best practice, and support the security of information and IT assets by testing security systems and applying security standards, policies, and procedures. Working under the guidance of the global information security lead, the candidate will help implement cybersecurity technology and provide day-to-day business support. ResponsibilitiesAssess information security risks in line with internal policy and external best practice.Support the security of information and IT assets by testing security systems and applying security standards, policies, and procedures.Implement cybersecurity technology under the guidance of the global information security lead and provide day-to-day business support.Manage third-party providers, where relevant, to ensure internal and third-party adherence to standards.Deliver information security training to appropriate teams.RequirementsExperience and knowledge in information security, compliance, and risk management.Understanding of security solutions and their applicability to the organization.Experience with security strategies, awareness campaigns, policies/standards, and governance.Ability to communicate effectively with technical specialists, leaders, and peers.

Georgia Mason

Posted about 1 hour ago

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Greater London, South East, England

Interim Chief Compliance Officer

ContractCompetitive

Interim Chief Compliance Officer (SMF16) | Wealth & Investment PlatformReporting to: Chief Risk Officer | Function: Risk & Compliance (Regional Senior Leadership Team)The roleWe're partnering with our client to appoint a Chief Compliance Officer (SMF16 – Compliance Oversight) for its UK entity. This is an FCA-approved Senior Manager Function with independent responsibility for the adequacy and effectiveness of the firm's compliance governance, systems and controls, reporting directly and without restriction to the UK Board and Board Risk & Compliance Committee.Sitting within the independent second line and reporting to the Chief Risk Officer, you'll be the firm's primary compliance contact with the FCA — leading supervisory engagement, embedding the global risk and compliance framework across the region, and ensuring the Board receives clear, candid insight into regulatory risk. You'll be involved in all material decisions affecting compliance risk, from new product and client transitions through to platform transformation, outsourcing and operational change.Key responsibilitiesOwn the design and effectiveness of the UK regulatory compliance framework, ensuring it meets FCA requirements and local regulatory expectations across the end-to-end delivery model.Provide independent reporting and escalation to the UK Board and Board Risk & Compliance Committee on all regulatory compliance risks, breaches and areas of concern, delivering high-quality MI within a "no surprises" culture.Act as the firm's primary point of contact with the FCA, leading transparent, proactive supervisory engagement and overseeing all regulatory responses and communications.Ensure compliance with core regulatory obligations including SYSC, COCON, SM&CR, Operational Resilience, Consumer Duty, CASS (where applicable) and relevant prudential requirements.Oversee the compliance monitoring programme, the regional risk and control framework, and the effective implementation of global policies and standards, ensuring issues are remediated on time.Provide compliance oversight into deal teams, strategic initiatives, technology change and operational transformation through risk assessment and review.Oversee regulatory breach assessments, investigations, remediation and reporting, and conduct second-line assurance over first-line regulatory processes.Lead the regional compliance function, promoting a strong culture of risk awareness, regulatory adherence and ethical conduct.What we're looking forDeep, demonstrable knowledge of UK financial services regulation and regulatory frameworks.Extensive senior-level experience within a regulated financial services environment, with a strong grasp of risk management, compliance frameworks, control design and monitoring.Proven experience interacting with the FCA and attending Board or Board-level risk committees.Strong people leadership, excellent written and verbal communication, and the ability to challenge senior leaders constructively.Ideally currently or previously approved as SMF16 (or equivalent).

Daniel Tapsell

Posted about 6 hours ago

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Zug, Switzerland

Head of Financial Crime

PermanentCompetitive

Head of Financial CrimeWe are partnering with an innovative financial institution operating at the intersection of traditional banking and digital assets to appoint a Head of Financial Crime.This is a senior leadership opportunity for an experienced Financial Crime professional to shape and oversee a comprehensive compliance framework across AML, sanctions, fraud prevention, customer due diligence, and transaction monitoring. You will work closely with executive leadership, regulators, and product teams to ensure a strong and scalable control environment within a rapidly evolving sector.Key ResponsibilitiesLead and enhance the organisation’s Financial Crime framework across AML, CTF, sanctions, fraud, and anti-bribery controls.Ensure compliance with Swiss regulatory requirements and relevant international financial crime standards.Oversee Financial Crime operations including transaction monitoring, sanctions screening, investigations, and KYC/CDD/EDD processes.Manage complex investigations involving both traditional financial products and digital assets, including regulatory reporting obligations.Drive the development and optimisation of monitoring, screening, and blockchain analytics capabilities.Conduct risk assessments and strengthen policies, procedures, and controls to address emerging financial crime risks.Provide regular reporting and strategic guidance to senior management and board-level stakeholders.Build, mentor, and lead a high-performing Financial Crime team while promoting a strong culture of compliance across the business.Requirements10+ years' experience in Financial Crime Compliance, AML/CTF, Fraud, or Regulatory Compliance within banking, fintech, or digital asset environments.Proven leadership experience managing Financial Crime programmes and teams.Bachelor's degree in a relevant discipline and a recognised professional qualification such as CAMS, ICA, or CFCS.Fluent English and strong German language skills.Strong knowledge of Swiss regulatory requirements, international AML standards, and financial crime risk management.Experience with transaction monitoring, sanctions screening, blockchain analytics, and crypto-related risk controls.Demonstrated ability to engage with regulators, manage audits, and present to senior executive stakeholders.Excellent leadership, communication, analytical, and decision-making skills.DesirableMaster's degree and/or additional compliance certifications.Experience within digital banking, cryptocurrency, blockchain, or emerging digital asset ecosystems.

Callum Dudrenec

Posted about 7 hours ago

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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 4 days 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 4 days 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 4 days 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 5 days ago

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