THANK YOU FOR REGISTERING

Broadgate has been retained to lead the executive search for a Chief Risk Officer with a leading UK wealth management group. This pivotal appointment will play a key role in shaping the firm’s risk and compliance strategy at an executive level, supporting continued growth and ensuring best-in-class governance across the organisation. Chief Risk Officer (SMF4) Location: London Sector: Wealth & Asset Management Reports to: Chief Executive Officer Function: Executive Committee Type: Permanent, Full-time Our client is a fast-growing UK wealth management group, backed by institutional investors and recognised for its exceptional client service, regional presence, and acquisition-led growth strategy. As the business continues to scale, it seeks to appoint a Chief Risk Officer (SMF4) to join the Executive Committee and lead the Group’s Risk and Compliance functions. This newly defined leadership role will be central to shaping the firm’s governance, regulatory, and risk culture—ensuring that growth is underpinned by best-in-class risk management and robust compliance oversight. Role Purpose The Chief Risk Officer will lead the design and delivery of the Group’s enterprise risk management framework, ensuring that risk, compliance, and financial crime controls are effectively embedded across the organisation. Acting as a key strategic advisor to the CEO and Board, the CRO will provide proactive insight and challenge, enabling the business to pursue its commercial ambitions within a disciplined and well-managed risk environment. The role will also play a critical part in supporting the integration of newly acquired businesses, embedding a consistent risk framework across the Group. Key Responsibilities Leadership & StrategyServe as a member of the Executive Committee, providing strategic counsel to the CEO and Board.Define and implement the Group’s risk strategy, ensuring alignment with commercial priorities and risk appetite.Lead, develop, and mentor a high-performing Risk and Compliance team, including the Head of Compliance and Senior Risk Manager.Promote a culture of transparency, accountability, and risk awareness throughout the organisation.Partner with senior executives to develop and deliver regular risk and compliance board reporting.Risk ManagementEstablish and maintain a comprehensive risk management framework encompassing operational, regulatory, conduct, and financial risks.Oversee the Group’s risk appetite framework, policies, and control self-assessment processes.Act as the primary liaison with regulatory bodies on risk-related matters.Develop and maintain risk registers and management information for Boards and Committees.Support the ICARA process, ensuring risk identification and quantification are robust and effective.Embed risk management into business decision-making and ensure timely escalation of material risks.Compliance & Financial CrimeProvide oversight of the compliance function, ensuring adherence to all FCA regulatory requirements.Oversee the development of compliance and financial crime policies, ensuring they are well understood and consistently applied across the business.Monitor regulatory developments and lead the implementation of relevant changes.Oversee the incident and breach management process, ensuring appropriate reporting and remediation.Governance & SMCRHold Senior Management Function 4 (SMF4) responsibility under the FCA’s SM&CR regime.Ensure effective systems and controls are in place across all areas of responsibility.Promote a culture of individual accountability and ethical conduct aligned with the firm’s values and regulatory obligations.Candidate ProfileExtensive experience in a senior risk and/or compliance leadership role within a regulated wealth or asset management business.Strong understanding of the FCA Handbook, including CASS, ICARA, AML/KYC, and Consumer Duty requirements.Demonstrated ability to design and implement enterprise risk frameworks.Experience engaging with Boards, Committees, and regulatory bodies.Strategic thinker with excellent communication and influencing skills.Proven leader who can inspire teams and embed a risk-aware, collaborative culture.If you are interested in discussing this role, then please forward your profile across and we can arrange a conversation.

Financial Controller Roles & Responsibilties Lead and oversee the Finance team, ensuring robust accounting operations, cash management, and financial reporting.Drive accountability through regular budget holder meetings and transparent financial planning.Enforce strict budget discipline, preventing unauthorised expenditure and ensuring departments remain within allocation.Oversee timely billing, collections, payments, and overall cash flow management.Present financial performance to the Board and management committees, maintaining sound financial policies, controls, and reporting schedulesEssential Skills & Experience Must be a qualified accountant Must have experience within an internal finance teamMust have experience working with Jersey/Channel Island structures

Senior Financial Crime & Compliance ManagerLondon/ ReadingA leading financial services organisation is seeking a Senior Financial Crime & Compliance Manager to ensure adherence to regulatory requirements and internal policies. Acting as deputy to the Head of Compliance/MLRO, this role manages financial crime risks, regulatory change, and promotes a strong compliance culture across the business. Responsibilities:Provide expert advice and guidance on financial crime and regulatory compliance matters.Develop and maintain policies, controls, and training to prevent money laundering, fraud, and bribery.Monitor and implement regulatory changes, ensuring business-wide compliance.Lead risk assessments and identify opportunities to strengthen compliance practices.Deputise for the Head of Compliance/MLRO, ensuring oversight and continuity.Requirements:Proven experience in compliance and financial crime prevention within a regulated environment.Strong knowledge of UK regulations, including AML, POCA, Bribery Act, and sanctions regimes.Excellent communication, analytical, and decision-making skills.

Senior Compliance Monitoring ManagerLondon or ReadingAn opportunity to join a growing, people-focused financial services organisation. The Senior Compliance Monitoring Manager will lead compliance monitoring activities, ensuring effective oversight of regulatory risks and promoting a strong compliance culture. Responsibilities:Lead and deliver the compliance monitoring programme and risk assessments.Identify and report on regulatory risks and areas of non-compliance.Provide clear guidance and challenge on compliance matters to senior stakeholders.Support key business initiatives and ensure compliance input on projects.Promote a culture of integrity, accountability, and risk awareness across the business.Requirements:Significant compliance monitoring experience within financial services.Strong knowledge of FCA regulations and conduct risk.Excellent communication and stakeholder management skills.

Compliance SpecialistLeeds (Hybrid/Office-Based)A well-established financial services organisation is seeking a Compliance Specialist to provide risk-based second line of defence (2LoD) monitoring and compliance support. This role ensures that business activities are carried out within the regulatory framework while embedding Consumer Duty principles and maintaining a strong culture of compliance and customer focus. Responsibilities:Support the development and implementation of the Compliance Plan through risk-based monitoring and assurance activities.Conduct compliance audits and risk assessments to evaluate internal controls and identify emerging risks.Provide compliance advice and consultancy to business areas, promoting good conduct and customer outcomes.Support regulatory interactions, including visits, thematic reviews, and information requests.Prepare high-quality reports and present findings to senior management, recommending control improvements. Experience & Qualifications:Level 4 DipFA Qualified or working towardsExperience: Proven experience in a 2LoD compliance monitoring role within the financial services sector.Knowledge: Strong understanding of FCA regulations, conduct risk, and relevant handbooks (e.g., COBS, SYSC, T&C); awareness of data protection and financial crime frameworks.up to date knowledge of the regulatory landscape and emerging industry risks

Compliance File Checker Location: LeedsA leading, award-winning wealth management firm working with a significant proportion of the UK’s Financial Advisers. With a strong focus on innovation, technology, and an inclusive culture, the company is transforming the financial services industry. The Compliance File Checker will play a key role within the compliance team, ensuring all client cases reviewed meet FCA and internal standards. Responsibilities:Review client files to ensure compliance with FCA regulations and internal advice standards.Assess client suitability reports, documentation, and adviser assessments.Identify risks, discrepancies, or breaches and escalate appropriately.Maintain high accuracy in reviewing complex client files.Provide constructive feedback and guidance to advisers.Support compliance training and respond to internal queries.Report trends or potential issues to the Compliance Manager.Requirements:Qualification: Minimum Level 4 (e.g., Diploma in Regulated Financial Planning or equivalent).Experience: Previous compliance or file-checking experience in an FCA-regulated environment.Knowledge: Strong understanding of FCA regulations, advice suitability, and financial products (pensions, investments, insurance).

Senior Financial Planner London | Manchester | Leeds Permanent | Hybrid working | Competitive salary + benefits + bonusAbout the Firm A leading professional services and wealth management firm with a strong UK presence is seeking an experienced Senior Financial Planner to join its expanding Wealth team. The firm is known for its collaborative culture, forward-thinking approach, and genuine commitment to client success and employee development.This is an opportunity to be part of a business that combines professional excellence with a modern, people-first culture — where your expertise, ideas, and ambition will be valued and supported.The Opportunity You’ll provide tailored, holistic financial planning solutions to a diverse portfolio of private clients, business owners, and high-net-worth individuals. Working closely with in-house specialists and paraplanners, you’ll ensure clients receive strategic, long-term advice designed to help them achieve their personal and financial goals.Key ResponsibilitiesDeliver comprehensive financial planning advice across investments, pensions, protection, and estate planning.Build, manage, and grow long-term client relationships based on trust and exceptional service.Collaborate with internal teams to identify opportunities and provide joined-up solutions.Stay current with market developments, legislation, and regulatory changes to ensure best practice.Support business growth through proactive networking, referrals, and relationship building.About YouQualified to Level 6 Diploma or Chartered Financial Planner status (or working towards this).Proven experience delivering holistic financial advice in a professional environment.Strong interpersonal and communication skills with a genuine client-first approach.Commercially astute and able to identify new opportunities for both clients and the firm.Team player with a proactive, growth-oriented mindset.What’s on OfferCompetitive remuneration package with performance-based incentives.Hybrid working model with flexibility across key UK city locations.Supportive and collaborative culture focused on professional development.Opportunity to work with a diverse and growing client base.Clear career progression in a firm that’s investing heavily in its Wealth division.

Financial Controller Roles & Responsibilties Lead and oversee the Finance team, ensuring robust accounting operations, cash management, and financial reporting.Drive accountability through regular budget holder meetings and transparent financial planning.Enforce strict budget discipline, preventing unauthorised expenditure and ensuring departments remain within allocation.Oversee timely billing, collections, payments, and overall cash flow management.Present financial performance to the Board and management committees, maintaining sound financial policies, controls, and reporting schedulesEssential Skills & Experience Must be a qualified accountant Must have experience within an internal finance teamMust have experience working with Jersey/Channel Island structures