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 working to accelerate progress in society towards a fair and sustainable future for all. CAF is a group of charitable organisations in the UK and North America, and for the last 100 years, they have led the way in way in developing innovative approaches to giving. Over the past 24 months, Broadgate have partnered with CAF to deliver 100% of its hires within the 2nd line compliance team. As a trusted recruitment partner, Broadgate have placed key interim leaders and supported long-term, strategic hires that have shaped the evolution of the function. This includes: <ul> <li>Interim Head of Compliance (later transferred to a permanent position)</li> <li>Head of Financial Crime Compliance (later transferred to a permanent position)</li> <li>2 Senior Compliance Managers</li> <li>Compliance Projects Analyst (embedded into a wider tech transformation initiative)</li> </ul> By consistently outperforming competing agencies, Broadgate not only delivered every role but also 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 Daniel

Daniel Tapsell

Associate Director, Contract and Interim

Meet Matt

Matt Carter

Associate Director: Risk, Compliance, Financial Crime

Meet Kevin

Kevin Adam-Hein

Partner

Meet Connor

Connor Nurse

Head of US

Meet Darren

Darren Hogan

Team Leader, Ireland

Meet Anis

Anis Soomaroo

Senior Consultant

Meet Georgia

Georgia Mason

Recruitment Consultant

Meet Adrian

Adrian McCarthy

Senior Advisor

LATEST JOBS

United States

Compliance Contractor

Contract$50 - $75 per hour

Compliance Consultant – Consumer Credit Key ResponsibilitiesLead compliance testing and monitoring activities to evaluate the effectiveness of controls across lending, marketing, and servicing operations.Design, execute, and document compliance testing plans, including risk-based reviews, transaction testing, and validation of corrective actions.Conduct compliance risk assessments, incorporating testing results to refine risk ratings and control priorities.Interpret and apply consumer credit regulations (e.g., TILA, ECOA, FCRA, MLA, UDAAP, FDCPA, GLBA, and state lending/licensing requirements) in the context of testing and monitoring.Identify control gaps, draft findings, and partner with business units to develop and track remediation plans.Support regulatory examinations, internal audits, and independent reviews by preparing testing documentation and evidence of control effectiveness.Maintain compliance testing methodologies, policies, and procedures in alignment with industry best practices.Provide advisory support on new products and initiatives, ensuring compliance requirements are built into processes and tested appropriately.Track regulatory developments and adjust testing programs accordingly.Qualifications5+ years of compliance experience in consumer lending, fintech, or financial services, with a strong focus on compliance testing, monitoring, and control validation.Deep knowledge of federal consumer credit regulations and multi-state lending requirements.Proven ability to design and execute compliance testing programs and communicate results to senior stakeholders.Experience with Compliance Management Systems (CMS), testing frameworks, and regulatory reporting tools preferred.Strong analytical and problem-solving skills; ability to turn regulatory requirements into actionable test plans.Excellent communication and reporting skills, both written and verbal.JD, CRCM, or other compliance certification preferred but not required.

Connor Nurse

Posted 2 minutes ago

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Rusper, West Sussex, South East, England

Pension & Investment Administrator

Permanent

An exciting role has become available for a Pension and Investment administrator within a recognized UK’s financial advice network. Key Responsibilities:Promote and uphold the principle of delivering Client Best Interest outcomes. Comply with regulatory responsibilities, keeping consumer outcomes central to all tasks. Ensure advisers submit compliant files to the admin team before new business processing. Accurately enter all clients into the back-office system. Submit pension/investment applications Track and follow up on submitted business with providers promptly. Update clients regularly on the progress of their cases. Manage workload effectively to meet all deadlines. Scan and store all client documents in INVU or Intelligent Office. Send documents to clients, including post-sale letters and plan schedules. Prepare ongoing service reports and supporting documents for adviser meetings. Ensure clients receiving ongoing service Maintain continuous professional development to stay current in skills and knowledge. What You Bring:Financial Services Experience:Prior administrative experience in the financial services sector is essential.Strong background in investments and pensionsFA1 – Life Office Administration is mandatory.Desirable:FA2 – Pensions AdministrationRO1Industry Knowledge:Up-to-date understanding of financial products and providersPrevious experience in the insurance or financial services industry is essential

Ofentse Mogale

Posted 8 days ago

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County Dublin, Ireland

Assistant Manager

Permanent€58000 per annum

Join a well-established professional services firm with deep local roots and access to international best practices. As an Assistant Manager, you’ll work alongside experienced professionals, contributing to impactful client work while building your own expertise in a forward-thinking and growth-oriented setting.Key Responsibilities:Manage and nurture client relationships, ensuring high-quality service delivery across multiple departmentsLead client assignments while deepening knowledge of regulatory and compliance requirementsCollaborate with senior leadership to support departmental goals and performance targetsMentor and develop junior team members, fostering growth and capability within the teamContribute to business development by preparing proposals, writing thought leadership content, and attending industry eventsRepresent the firm in marketing initiatives and practice development activities across the businessWhat You Bring:Hold a relevant industry qualification (e.g. Compliance Institute, ACA, ACCA)Minimum of 5 years’ experience in risk and compliance consulting within the Financial Services sector or professional services Awareness of current challenges and developments within the banking industryProven experience in managing client relationships and supervising projects or assignmentsProficient in MS Office and other relevant digital tools

Ofentse Mogale

Posted 8 days ago

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Zürich, Switzerland

Senior Consultant - eDiscovery

Permanent

Senior Consultant – Digital Forensics & eDiscoveryJoin a leading consultancy supporting high-profile investigations and international discovery projects. You’ll work with advanced forensic tools and analytics to uncover insights, support cyber incident response, and partner with legal, audit, and regulatory teams on sensitive cases.What you’ll do:Analyse large structured & unstructured datasets using top eDiscovery toolsSupport IT investigations & cyber incident responseCollaborate with investigators, auditors, lawyers & regulatorsInnovate new approaches and mentor junior colleaguesWhat we’re looking for:3+ years’ hands-on experience in eDiscovery/digital forensicsStrong knowledge of Relativity, Nuix, SQL or similar toolsSolid IT infrastructure & security background + scripting/programming knowledgeFluent in English & German (other languages a plus)If you want to work on complex, international projects where no two cases are the same - we’d like to hear from you.

Anis Soomaroo

Posted 9 days ago

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Dublin, County Dublin, Ireland

Senior Compliance Officer

Permanent€65000 - €80000 per annum

Senior Compliance OfficerInsuranceDublin - 3 days on-site65-80kYour Role:Provide support to junior team membersSupport in the planning and execution of the annual compliance planProvide compliance reports to senior managementProvide compliance advice across the businessAbout You:5+ years compliance experienceExperience of working in the insurance industry in IrelandExperience managing/leading a small teamIdeally hold a professional qualification in complianceIf you would be interested to learn more, you can apply here or reach out to me directly!

Darren Hogan

Posted 10 days ago

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Dublin, County Dublin, Ireland

Senior Compliance Officer Data Protection

Permanent€65000 - €80000 per annum

Senior Data Protection SpecialistInsuranceDublin - Hybrid WFH65-80kIf you're passionate about Data Protection and would like the opportunity to work with one of the world's biggest insurance groups then this could be an ideal role for you.You will support the Data Protection Manager in providing support & guidance to the business on all Data Protection matters and acting as the subject matter expert across the group.Your Day-to-Day:Providing Data Protection advice to the business on new products, marketing material etcSupport in managing the regulatory relationshipsReviewing of data protection policies & proceduresProvide data protection training across the groupAbout you:Previous experience in a Data Protection Compliance role within Financial Services - ideally insuranceProfessional Certificate in Compliance or other appropriate Data Protection QualificationAPA/CIP ideally

Darren Hogan

Posted 11 days ago

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Memphis, Tennessee, United States

Financial Crimes Data Analyst

Permanent£110000 - £120000 per annum

Job Title: Financial Crimes Technology Analyst Location: 100% Remote (U.S. based) Salary: Up to $120,000 About the Role We’re working with a U.S. bank that’s looking to bring in a Financial Crimes Technology Analyst to join their Anti-Financial Crime (AFC) team. Right now, much of the technology work is handled by contractors — this role is a chance to help the bank build its own in-house expertise and have a real impact on how they detect and prevent financial crime. The focus is on tuning transaction monitoring models and screening tools so they work effectively and meet regulatory expectations. To succeed, you’ll need hands-on experience with model tuning and a solid understanding of above-the-line and below-the-line testing. This is a role where you’ll be testing, analyzing, and refining rules while working closely with both compliance and technology teams in a fast-paced, evolving environment. What You’ll DoBuild and fine-tune transaction monitoring rules to support AML compliance.Configure and test OFAC screening systems.Run above-the-line and below-the-line testing to validate models and rule sets.Review A/B testing results and provide clear recommendations.Carry out ad hoc analysis for the AFC team.Work closely with stakeholders across compliance and technology.What We’re Looking For3+ years’ experience working with AML systems, transaction monitoring, or financial crimes technology.Strong background in model tuning.Solid knowledge of above-the-line and below-the-line testing.Strong analytical skills (SQL, Python, or similar).Familiarity with AML and OFAC regulatory requirements.Comfortable working in a dynamic environment where priorities can shift.Why This Role?Be part of a growing in-house capability where your expertise will make a difference.100% remote with full flexibility.Competitive pay up to $120,000 plus benefits.

Connor Nurse

Posted 11 days ago

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Greater Manchester, North West, England

Compliance Monitoring Officer

Permanent

Compliance Monitoring Officer (12-Month FTC) Location: Manchester (Hybrid)A leading UK financial services firm is hiring a Compliance Monitoring Officer to support risk control, ethical practices, and FCA compliance, particularly around Consumer Duty. Key Responsibilities:Conduct thematic and routine compliance reviews to assess Consumer Duty alignment, risk control effectiveness, and regulatory adherence.Support the delivery of the Compliance Monitoring Plan, providing actionable insights and feedback to drive business-wide improvements.Investigate breaches, manage compliance registers (e.g. breaches, gifts, conflicts), and ensure timely resolution and accurate reporting.Champion fair customer outcomes and help embed a culture of ethical conduct across the business.Requirements:Experience in a compliance role within an FCA-regulated environment; knowledge of investment platforms or stockbroking is a plus.Strong understanding of compliance monitoring, testing methodologies, and regulatory frameworks.Familiarity with the FCA Handbook (COBS, SYSC, CASS, MAR, etc.) and awareness of AML legislation and financial crime prevention.

Georgia Mason

Posted 14 days ago

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