Broadgate
FOLLOW FOR MORE:
Spotify
  1. Home/
  2. Legal, Compliance & Financial Crime

Legal, Compliance & Financial Crime

Legal, Compliance & Financial Crime Recruitment: Connecting Top Talent in the UK, Ireland, Switzerland, Germany, Luxembourg, and the US

A view of a skyscrapers to represent Broadgate's financial services specialisation

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

INSIGHTS
UK Crypto Regulation: Talent Implications Firms Can’t Ignore
Blog

UK Crypto Regulation: Talent Implications Firms Can’t Ignore

Ben AdamsBen Adams
22 days ago
Trinnovo Group Impact Report 2025 | How We Work
News

Trinnovo Group Impact Report 2025 | How We Work

Helena SullivanHelena Sullivan
22 days ago
CAF (CHARITIES AID FOUNDATION)
100%
Compliance Hires Delivered
4
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.

CAF (Charities Aid Foundation)
RBS INTERNATIONAL
1.8
CV to Interview Ratio
28 Days
Time to Hire
13
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.

RBS International
THESIS ASSET MANAGEMENT
8
Permanent Placements
4
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.

Thesis Asset Management
TRIODOS BANK
100%
Completion Rate
8
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.

 

Triodos Bank
WEALTHTIME
100%
Completion Rate
5
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.

Wealthtime
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 Anis

Anis Soomaroo

Senior Consultant

 

LATEST JOBS

Greater London, South East, England
In-House Lawyer
Permanent£130000 per annum
Lawyer – 15-Month Fixed-Term ContractLocation: LondonA Leading UK-authorised financial services firm is seeking a lawyer to join its London-based legal team, supporting international asset management and private banking businesses. The role combines transactional and advisory work and plays a key role in supporting business operations, regulatory compliance, and risk management across multiple business lines. Key ResponsibilitiesProvide transactional and advisory legal support, primarily to the asset management business, including drafting and negotiating client agreements and advising on regulatory and structural aspects of products and services.Advise on UK financial services regulation and respond to general regulatory queries impacting products and services.Work closely with Compliance on regulatory horizon scanning, impact assessments, business guidance, and implementation of regulatory change initiatives.Support senior legal leadership on a wide range of matters, including litigation, mergers and acquisitions, and global projects, liaising with external counsel where required.Assist with corporate governance matters, including drafting board and committee documentation.Maintain accurate legal records and documentation systems.Escalate material legal and regulatory issues appropriately.Mentor and support junior legal team members.Maintain up-to-date awareness of market developments, fintech innovation, and relevant legal and regulatory changes.Key RequirementsStrong post-qualification experience in financial services, preferably in-house.Proven experience negotiating and drafting financial services agreements.Strong knowledge of UK financial services regulation, including FCA Handbook requirements (e.g. MiFID, COBS, CASS, PROD, SYSC, Consumer Duty, sustainability-related initiatives).Excellent drafting, analytical, and attention-to-detail skills with the ability to apply legal advice commercially.Strong communication skills, able to explain complex legal matters to both legal and non-legal stakeholders, including senior management.Experience delivering legal or regulatory training.
Georgia MasonGeorgia Mason
Posted 3 minutes ago
VIEW ROLE
Leeds, West Yorkshire, Yorkshire, England
Head of Financial Crime - SMF17
Permanent£100000 per annum
Head of Financial Crime- SMF17Sector: Investment ManagementOverviewAs the Head of Financial Crime you will be responsible for ensuring that the firm complies with its obligations under UK anti-money laundering (AML), counter-terrorist financing (CTF), and broader financial crime legislation and regulation. Acting as the firm’s FCA-approved SMF17, the MLRO will oversee financial crime systems and controls, manage suspicious activity reporting, and provide strategic guidance to the business on mitigating financial crime risks.Key Responsibilities:Lead the implementation, and maintenance of AML/CTF and financial crime prevention frameworks.Provide regular management information and reports to your reporting line, the Board and senior stakeholders.Keep up to date with regulatory developments and industry best practices, advising the business on changes.Receive, review, and investigate internal suspicious activity reports (SARs), escalating to the National Crime Agency (NCA) as appropriate.Provide leadership, guidance, and mentorship to the compliance/financial crime team.Deliver AML/CTF training to staff and promote a strong compliance culture across the organisation.Act as the primary liaison with regulators, law enforcement, and auditors on financial crime matters.What You’ll BringSignificant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in wealth & Investment managementPreviously held the SMF17 is essential.Excellent written and verbal communication skills, with confidence to engage with regulators and senior stakeholders.Expert knowledge of UK AML/CTF legislation and FCA regulatory requirements.Strong leadership skills with the ability to influence at all levels of the business.
Matt CarterMatt Carter
Posted about 23 hours ago
VIEW ROLE
London, Greater London, South East, England
Lead Quality & Regulatory Specialist
Permanent£75000 - £110000 per annum
Lead Quality & Regulatory Specialist Location: London A leading innovative digital health company is seeking a Lead Quality & Regulatory Specialist to support the VP of Regulatory in developing and executing quality and regulatory strategies for Software as a Medical Device. This hands-on role will be instrumental in building and maintaining regulatory compliance frameworks across the US, UK, and EU, helping prepare products for certification and market clearance.Role Responsibilities:Support the development and execution of global regulatory and quality strategies.Prepare and review documentation for FDA, EU MDR, and UK MHRA submissions.Define device intended use, risk classification, and regulatory pathways for SaMD.Assist in the implementation and maintenance of the Quality Management System aligned with ISO 13485, 21 CFR Part 820, and EU MDR.Draft and maintain SOPs, work instructions, and templates.Contribute to the creation and management of technical documentation and medical device files.Support internal and external audit readiness, including training and CAPA management.Partner with cross-functional teams to ensure regulatory requirements are integrated into product development.Requirements:6 years’ experience in Regulatory Affairs and Quality Assurance within medical devices, digital health, or SaMD.Proven experience with FDA and/or EU MDR submissions (Class II or higher).Strong understanding of regulatory frameworks and standards, including ISO 13485, ISO 14971, IEC 62304, and 21 CFR Part 820.Hands-on experience supporting QMS implementation and audit preparation.Desirable: Experience setting up QMS from scratch, using regulatory tools (e.g., MasterControl, Greenlight Guru), or acting as PRRC/Deputy PRRC.
Georgia MasonGeorgia Mason
Posted 1 day ago
VIEW ROLE
Aberdeen, Aberdeen City, Scotland
Aberdeen - HR Consultant
PermanentCompetitive
HR Advisor – AberdeenshireAre you an experienced HR professional who enjoys advising, problem-solving, and building strong relationships? This is an excellent opportunity for someone who wants variety in their work, genuine autonomy, and the chance to make a direct impact across multiple organisations — without the red tape of a large corporate environment.You’ll support a diverse portfolio of clients across Aberdeenshire, providing practical, clear, and commercially focused HR advice on everything from day-to-day queries to more complex people challenges. If you enjoy meaningful work, fast-paced environments, and becoming a trusted go-to advisor, this role will suit you well.The RoleThis position offers a mix of independence and support. You’ll manage your own client portfolio, planning your workload and shaping your day while working closely with a highly experienced HR Manager based in the region for guidance when needed.You’ll work mainly remotely and through Teams, with some on-site visits depending on client needs. You’ll also have access to a wider HR network of around 50 professionals across Scotland and Ireland, giving you a strong sense of community and shared expertise.This role is ideal for someone currently in an internal HR generalist role looking for broader exposure, or for an HR Advisor ready to step into a role with more responsibility, ownership, and variety.What You’ll Be DoingIn this advisory-focused role, you will:Provide day-to-day HR advice and guidance to your clients across a wide range of queries.Lead and support on complex employee relations matters, including disciplinary, grievance, performance management, and absence issues.Manage redundancy processes, restructures, and sensitive employee investigations.Prepare clear, high-quality letters, templates, and HR documents to support client needs.Keep up to date with employment law changes and ensure clients understand their obligations and best practices.Build strong, long-lasting client relationships through responsive, practical, and supportive service.Contribute to the development of HR processes and toolkits that help clients strengthen their internal HR capabilities.What You’ll Step IntoFrom the outset, you’ll be involved in high-impact advisory work. You’ll support a significant number of redundancy and ER projects while also helping clients manage the busy January period, taking ownership of your portfolio quickly. Your ability to provide calm, confident guidance will be essential in supporting both your clients and the local HR Manager, ensuring consistent and high-quality service delivery across Aberdeenshire.About YouYou’ll thrive in this role if you:Have solid HR generalist experience, particularly in employee relations and redundancies.Feel confident advising managers at all levels and handling sensitive or complex cases.Can manage multiple clients and priorities while maintaining a responsive, organised approach.Communicate clearly and professionally across Teams, phone, and email.Build trust and rapport easily with a wide range of people.Work well independently but still value being part of a supportive HR team.Are CIPD-qualified or working toward it (desirable, not essential).Bring a warm, approachable, and professional style that helps clients feel supported and understood.
Amanda DolanAmanda Dolan
Posted 18 days ago
VIEW ROLE
London, Greater London, South East, England
Lead Quality & Regulatory Specialist
Permanent£75000 - £110000 per annum
Lead Quality & Regulatory Specialist Location: London A leading innovative digital health company is seeking a Lead Quality & Regulatory Specialist to support the VP of Regulatory in developing and executing quality and regulatory strategies for Software as a Medical Device. This hands-on role will be instrumental in building and maintaining regulatory compliance frameworks across the US, UK, and EU, helping prepare products for certification and market clearance.Role Responsibilities:Support the development and execution of global regulatory and quality strategies.Prepare and review documentation for FDA, EU MDR, and UK MHRA submissions.Define device intended use, risk classification, and regulatory pathways for SaMD.Assist in the implementation and maintenance of the Quality Management System aligned with ISO 13485, 21 CFR Part 820, and EU MDR.Draft and maintain SOPs, work instructions, and templates.Contribute to the creation and management of technical documentation and medical device files.Support internal and external audit readiness, including training and CAPA management.Partner with cross-functional teams to ensure regulatory requirements are integrated into product development.Requirements:6 years’ experience in Regulatory Affairs and Quality Assurance within medical devices, digital health, or SaMD.Proven experience with FDA and/or EU MDR submissions (Class II or higher).Strong understanding of regulatory frameworks and standards, including ISO 13485, ISO 14971, IEC 62304, and 21 CFR Part 820.Hands-on experience supporting QMS implementation and audit preparation.Desirable: Experience setting up QMS from scratch, using regulatory tools (e.g., MasterControl, Greenlight Guru), or acting as PRRC/Deputy PRRC.
Georgia MasonGeorgia Mason
Posted 22 days ago
VIEW ROLE
Kent, South East, England
Compliance Officer
Permanent£37500 per annum
We are partnered with a leading financial planner seeking a proactive Compliance Officer to join the 2nd Line Compliance function, providing regulatory guidance to the business and supporting a strong culture of good client outcomes. Responsibilities include: Support the delivery of thematic reviews and assessments of client outcomes.Review and approve marketing materials, websites and presentations to ensure regulatory compliance.Draft and update internal policies in line with current regulations.Support administration of the Senior Managers & Certification Regime (SMCR).Investigate internal referrals and monitor KYC due diligence.Escalate concerns and ensure appropriate follow-up actions are taken.Compile data and produce MI demonstrating adherence to regulatory requirements and client outcome standards.Monitor regulatory developments and communicate impacts to the business.Assist in collating information for regulatory submissions and responding to regulator requests.Educate employees on regulatory expectations, client outcomes, and compliance best practice. Requirements: Minimum 2 years’ experience in a Compliance function, ideally within wealth management or financial planning.Experience conducting thematic or client outcome reviews.Strong knowledge of FCA regulations, including Consumer Duty.Excellent communication and stakeholder engagement skills.Ability to interpret and translate complex regulations into clear, practical guidance.Strong investigative, analytical and problem-solving skills.High attention to detail, strong organisational skills, and a self-motivated approach.Commitment to delivering positive client outcomes.ICA or similar compliance qualification.Level 4 Diploma in Financial Planning – preferrable but not essentialKnowledge of pensions – preferrable but not essential Apply with us today!
Tyla RitchieTyla Ritchie
Posted 25 days ago
VIEW ROLE
London, Greater London, South East, England
Manager - Governance Services
Permanent£75000 per annum
We are partnered with a professional services company seeking an experienced Governance Services Manager to support the day-to-day running of the office, oversee the take-on and administration of corporate entities, and lead a high-performing Client Services Administrator team. Responsibilities include:Contribute to the ongoing development of the UK Governance Services office, including operational procedures and daily management.Manage the onboarding and administration of new business in line with internal policies, ensuring clients receive efficient, professional service.Oversee a diverse portfolio of corporate clients, maintaining strong relationships and high-quality service delivery.Act as a director for client entities and serve as an authorised signatory on client bank accounts.Lead, support, and mentor team members to ensure high performance, strong technical capability, and alignment with organisational values.Provide technical guidance, training, and oversight to ensure consistent understanding of transactions across the team.Manage client expectations, nurture relationships, and help grow repeat business and referrals.Oversee day-to-day workflow for direct reports, ensuring timely processing of work, transaction deadlines, accurate time recording, WIP management, and debt control.Maintain consistency of service standards across the team and proactively resolve any issues.Ensure full adherence to internal policies, procedures, and governance standards.Support collaboration between the UK office and other jurisdictions to deliver coordinated, seamless corporate governance and legal services.Work closely with Risk & Compliance, staying informed on regulatory changes and industry developments.Ensure your team follows established risk frameworks, identifying process gaps and recommending enhancements to mitigate regulatory, operational, and reputational risk. Requirements:CGI UK Graduate, Affiliated, or Fellow Member.Demonstrable experience as a Company Secretary, with strong exposure to UK corporate structures.Proven experience in a law firm’s company secretarial team or a corporate services provider.Strong knowledge of the UK Companies Act and core company secretarial requirements.Previous people management experience.Proficient in Microsoft Office and SharePoint.Excellent record-keeping, documentation, organisation, and attention to detail.Exceptional communication and interpersonal skills, with the ability to build trusted relationships and work collaboratively as part of a team. Apply with us today!
Elliott SnowballElliott Snowball
Posted about 1 month ago
VIEW ROLE
Leeds, West Yorkshire, Yorkshire, England
Compliance Monitoring Officer
Permanent£40000 - £55000 per annum
Compliance Monitoring Officer Overview  As a Compliance Monitoring Officer, you will be responsible for conducting second-line file reviews and thematic assessments of investment management activities. Key Responsibilities: Producing high-quality monitoring reports summarising findings, trends, and recommendations for remedial actionCollaborating with the Training & Competence (T&C) team to support training and awareness initiatives on suitability and regulatory expectations.Conducting detailed reviews of client files to assess the suitability and appropriateness of investment advice and portfolio recommendationsExperience & Qualifications:At least 3 years’ experience in compliance monitoring, audit, or quality assurance within investment management or wealth management.Level 4 Investment Advice Diploma (IAD) or equivalent (e.g., CISI, CII).Strong working knowledge of FCA rules, particularly around suitability
Matt CarterMatt Carter
Posted about 1 month ago
VIEW ROLE
FIND A JOB
Your browser does not support the video tag.

TALK TO OUR TEAM

Learn more about our services, communities and impact by connecting with our consultants.

Privacy Policy
Terms of Service
Diversity & Inclusion Policy
Modern Slavery Statement

OUR OFFICES

Berlin
Boston
Dublin
London
Luxembourg
Zurich
Our Services
Search Jobs

PART OF TRINNOVO GROUP

Trinnovo Group
Deeprec.ai
SODA
Sorai
Work for us
Contact Us

All Awards

Site by