Legal, Compliance & Financial Crime

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.

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.

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 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 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.