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Broadgate is partnered with a global legal service firm looking for an Administrator to join their dynamic team. This candidate will support a senior team member in providing comprehensive corporate administration services to a diverse portfolio of clients and their related entities. This role involves managing day-to-day responsibilities while ensuring timely, accurate, and high-quality service delivery. Responsibilities include: Manage a portfolio of corporate clients, ensuring all administrative duties are completed accurately and on timeDraft and process minutes, resolutions, correspondence, and statutory filingsLiaise with clients and third parties such as lawyers, auditors, and bankersProcess bank payments and maintain accurate payment recordsIssue invoices, manage fee collection, and follow up on outstanding paymentsPrepare and submit Register of Overseas Entity filings, including beneficial owner verificationHandle Companies House filings and manage the Authorised Corporate Services Provider portalProvide support on internal and client projects as requiredMentor and support junior team members, including feedback and trainingMaintain high standards of data integrity and use systems efficientlyActively contribute to process improvements and promote best practices across the teamEnsure full compliance with AML regulations and internal procedures Requirements and skills: 1–3 years of experience in a finance, legal, or corporate services environmentStrong academic background, ideally working towards or holding a relevant professional qualification (e.g. CGIUKI)Excellent communication and organisational skillsProficient in MS Office; experience with Viewpoint is a plusKnowledge of UK company law, regulatory requirements, and AML regulationsExperience with UK corporate structures and filingsClient focused with the ability to manage tasks independently and effectively If this opportunity is what you are looking for, then apply today!

Broadgate and an investment company based in the UK are partnered looking to employ an Investor and Distributor Services Manager to join and be Responsible for TA Oversight management as well as defining and providing continuous focus on Investor service excellence.  Responsibilities include: Act as a subject matter expert for investor queries, onboarding, AML, and regulatory complianceOversee TPA performance and ensure service standards (KPIs/SLAs) are metManage fund setup, changes, and investor communications in collaboration with internal teams and TPAsLead service review meetings, monitor incidents, and coordinate root cause analysis and remediationReview investor materials and correspondence to ensure accuracy, clarity, and complianceChampion Consumer Duty outcomes and contribute to customer experience enhancementsSupport regulatory submissions including CASS, FATCA/CRS, and ISA reportingProvide technical support, MI oversight, and maintain key risk and breach logsCollaborate on platform automation, onboarding new business, and change initiatives Requirements: Minimum 3 years of experience in a transfer agent registrations or customer service role within the securities industryDirect experience and understanding of FCA Consumer Duty regulationIn-depth industry knowledge with awareness of current trends and developmentsStrong understanding and hands-on experience with:Anti-Money Laundering (AML)Customer Due Diligence (CDD)Transactional pipeline trigger managementProven experience managing a small team, with effective leadership and delegation skillsExcellent communication, problem-solving, planning, and budgeting abilitiesIdeally holds one of the following certifications:Customer CareTA OperationsInvestment Operations Certificate (IOC)Strong knowledge of relevant regulations and customer service best practicesPrior experience working in a transfer agency or investor services centreRobust understanding of investment platforms and their operational processes If this role is something you would be interested in, then apply with us today!

Senior Compliance Manager (Investments) Location: London (Hybrid – 2 to 3 days in the office) We are hiring on behalf of a fast-growing fintech that is transforming how people save, invest, and plan for their financial future. As the business continues to expand its investment offering, they are seeking a Senior Compliance Manager (Investments) to play a key role in ensuring strong, customer-focused compliance across their products.This is an excellent opportunity to step into a senior position within a progressive and collaborative Risk & Compliance function. You will help shape investment oversight frameworks, provide expert regulatory guidance, and contribute to building a best-in-class compliance culture. What you’ll be doingLead the development of a proportionate investment oversight framework and provide regulatory advice to support the delivery of compliant, customer-focused investment productsOversee investment services from a second line perspective and manage key relationships with internal teams and external partners, such as asset managersDrive regulatory change initiatives, maintain compliance policies, and advise on high-risk promotions and complex customer scenariosContribute to broader compliance and governance projects while staying on top of relevant regulatory developmentsWhat we’re looking forIn-depth knowledge of UK investment product regulations, including MiFID and CASSExperience overseeing retail investment products, including periodic reviews and governance frameworksProven ability to provide compliance advice within a retail investment environmentIdeally, experience in setting up or maintaining fund oversight and governance structuresAbility to work independently, with sound judgement and a methodical, analytical approach

We are seeking a Head of Compliance, Tax and VAT to join a B2B SaaS business in the tax and accounting space. This is a pivotal role in a fintech company focused on creating a long-lasting impact in the taxation and accounting domain. Responsibilities include:Recruit, develop, and support a top-tier compliance solutions team through leadership and mentorshipShape and implement the team’s overall compliance vision and strategic directionCreate and roll out compliance policies, procedures, and programs that address both current regulations and future challengesConduct comprehensive compliance risk assessments and deliver strategic risk management solutions, offering expert guidance proactivelyPartner closely with the Product team to streamline processes and drive automation in compliance operationsEmbed regulatory compliance features into both new and existing products to ensure compliance and improve product valueServe as the central point of contact for compliance matters across internal teams and external partnersDevelop and oversee monitoring and reporting systems that evaluate compliance program performance and support regulatory alignmentRequirements:A bachelor’s degree in accounting, law, finance, or a comparable professional qualification5 - 8 years of professional experience, including a minimum of 4 years in a leadership position with team management responsibilities—ideally within TaxTech, FinTech, B2B, VAT, or European tax domains, with deep insight into EU compliance and regulatory frameworksIn-depth knowledge of regulatory systems, risk mitigation strategies, and industry standardsDemonstrated success in managing major compliance initiatives and driving impactful organizational transformationHands-on experience with compliance technologies and utilizing data-driven insights for strategic decisionsEnglish is essential and German is highly beneficial If this role is the role for you, then apply with us today!

Client Lifecycle ManagerWealth ManagementDublin - Hybrid - 3 days on-site70-80kThis is an opportunity to work with a well-renowned and respected international business in their Dublin office. It's an exciting role where you will hold a blended "1.5 line of defence" position. You'll lead a small team who are responsible for the client onboarding and periodic reviews. You'll act as a liaison between the 1st and 2nd line teams and ensure smooth and effective processes are in place and knowledge gaps are filled. Your Role:Perform quality assurance reviews of account opening and periodic review reportsProvide coaching and training to the team to help enhance knowledge of compliance requirements in the 1st lineManage relationships across the 1st and 2nd lines of the business, ensuring good communication and understanding across both teamsLead a small teamAbout You:Experience in AML/Financial Crime roles - Understanding of AML, KYC, CDD/EDD, Onboarding requirementsExperience working within a regulated financial services business - wealth management would be beneficial Experience leading teams and/or projects. Someone who wants to manage people and support their growth and developmentStrong stakeholder and relationship management skillsIf you like the sound of this and would like to discuss it further, apply here or reach out to me directly for more information -  darren.hogan@broadgatesearch.com

Accounting Manager  Our client, an innovative digital gaming company, are seeking an experienced and ambitious individual to lead their local accounting function. Roles & Responsibilities Lead all accounting operations and manage a team of accountants.Prepare monthly, quarterly, and annual financial reports in line with IFRS and US-GAAP.Evaluate complex accounting issues and implement changes to ensure accurate financial reporting.Oversee internal controls and ensure compliance with SOX requirements.Collaborate with external partners (auditors, tax advisers, banks) and report directly to the Finance Director.Essential Skills & ExperienceExperienced accounting professional with team management experience Working knowledge in US GAAP or IFRS Fluent in English Right to work in Germany

Compliance Manager – Financial ServicesA financial services firm is looking for a Compliance Manager to support and strengthen its second line of defence. The role focuses on driving effective Compliance controls, ensuring regulatory alignment, and working closely with global teams to support business-wide governance. Reporting into the Global Head of Risk & Compliance, this position offers the opportunity to play a key role in the company’s Compliance framework.Key ResponsibilitiesLead and execute the Compliance Monitoring Plan, including testing of key controlsStay up to date with regulatory developments and assess their impact on the businessOwn and maintain the AML/CTF framework, including oversight of KYC processesDraft and update internal policies and procedures to ensure ongoing regulatory compliancePrepare Compliance and AML reporting, and support audits and regulatory reviewsRequirements5–7 years' experience in Compliance within Luxembourg’s financial sectorStrong understanding of Luxembourg AML/CTF regulations, CSSF circulars, and EU directivesBackground in a regulated financial institution (e.g. bank, asset manager, consultancy, or law firm)Solid knowledge of governance principles, risk frameworks, and financial operationsUniversity degree in Law, Finance, Business Administration, or a related field This is a strong opportunity for an experienced Compliance professional to step into a key role within a growing, globally connected financial services business.

First Line Risk and Resilience AnalystLocation: London (Hybrid)Sector: Financial Services / Wealth ManagementEmployment Type: PermanentOverviewOur client, a leading financial services provider, is seeking a First Line Risk and Resilience Analyst to join their UK Private Banking unit. This is a high-impact, cross-functional role focused on strengthening operational risk management and enhancing the business’s resilience capabilities.You’ll work closely with business leaders and risk teams to support key control processes, develop risk assessments, and help embed a robust operational resilience framework aligned with UK regulatory expectations.Key ResponsibilitiesOperational Risk & ControlPrepare, maintain, and monitor Risk and Control Self-Assessments (RCSA)Develop and analyse risk registers, key risk indicators (KRIs), and perform key control testingTrack and report on operational risk events, perform root cause analysis, and drive action remediation plansIdentify risk trends and escalate emerging risks to relevant stakeholdersOperational ResilienceContribute to the development and enhancement of the firm’s Operational Resilience frameworkSupport mapping of critical business services to systems, people, processes, and third partiesAssist with impact tolerance validation and scenario testingMaintain and improve business continuity and disaster recovery plans, including scheduling and testingCoordinate training and awareness initiatives on resilience practicesCross-Team CollaborationLiaise with operations, IT, compliance, and other departments to align on risk and resilience standardsSupport regulatory compliance efforts, including interpreting guidance from UK regulators (FCA, PRA, BoE)Participate in ad hoc risk and resilience projects as requiredProduce management reporting for senior stakeholdersCandidate RequirementsEssential Skills & ExperienceSolid experience in operational risk management within a financial services environmentWorking knowledge of RCSA processes and control testingFamiliarity with UK regulatory requirements on Operational ResilienceStrong data analysis and reporting skills (especially Excel)Excellent written and verbal communication skillsHighly organised with attention to detail and the ability to manage multiple priorities independentlyDesirableExposure to incident management, business continuity, disaster recovery, or third-party riskExperience working in a matrixed or global organisationAwareness of relevant regulatory frameworks in the UK financial sectorWhat’s on OfferHybrid working model - 3 days in the officeStrong focus on work-life balance and wellbeingExcellent benefits including private medical, pension, and learning supportA collaborative, values-driven culture in a modern central London office