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Head Company Secretary – London Real Estate Firm This is a Company Secretary at a London real estate firm, responsible for overseeing a portfolio of c.150 legal entities across multiple jurisdictions. The role requires a self-sufficient, proactive professional who can manage complex corporate and compliance matters independently. It is ideal for someone willing and able to build out the role, make it their own, and take on challenges without hesitation. Key ResponsibilitiesLead all company secretarial matters, including statutory filings, board minutes, resolutions, and record-keeping.Implement and maintain governance frameworks across diverse property holding structures.Oversee compliance obligations, including KYC, AML, anti-bribery, GDPR, FATCA, and CRS filings.Coordinate delegations of authority, powers of attorney, and statutory accounts approvals.Facilitate corporate transactions, serving as a central point for document execution and approvals.Manage corporate banking arrangements, including account mandates and online banking.Provide proactive guidance to directors and teams to ensure governance and regulatory compliance.Essential Skills & Experience Prior experience as a company secretary or goverance lead ICSA Part, Fully QualifiedExperience within property, real estate or investment/asset management

Compliance Officer    Overview   An exciting opportunity has arisen to join a well-established Financial Services company in a Compliance Officer position Some Key Responsibilities:Provide risk based 2LoD compliance monitoring in accordance with the Compliance PlanUse knowledge and experience of the regulatory landscape and consumer duty expectations and requirements to provide appropriate challenge and support to the business.Develop and maintain effective working relationships with first line operational management and key stakeholdersWork with the rest of the Risk & Compliance team to effectively manage and deliver FCA regulatory visits, requests and thematic reviews to a high standard, enhancing our relationship with the regulator.Experience & Qualifications:Level 4 DipFA Qualified or working towardsPrevious experience of working in a Compliance role, ideally within Wealth & InvestmentsUp to date knowledge of relevant FCA Handbooks e.g. COBS, T&C, SYSC, ICOB, MCOBup to date knowledge of the regulatory landscape and emerging industry risks

Overview  A File Reviewer opportunity has arisen to join an established team working as part of the wider Compliance Function. Responsibilities Part of a dynamic compliance team reviewing cases submitted by financial advisersAssisting answering enquires from advisers by email and telephoneSkills and ExperienceIdeally Level 4 Diploma qualifiedStrong written and verbal communication skillsExperience with a variety of products, Pensions, Investments & Mortgages.Experience of working in a compliance, file checking, or paraplanning position

Overview  A File Reviewer opportunity has arisen to join an established team working as part of the wider Compliance Function. Responsibilities Part of a dynamic compliance team reviewing cases submitted by financial advisersAssisting answering enquires from advisers by email and telephoneSkills and ExperienceIdeally Level 4 Diploma qualifiedStrong written and verbal communication skillsExperience with a variety of products, Pensions, Investments & Mortgages.Experience of working in a compliance, file checking, or paraplanning position

Head of Legal & Compliance (SMF16/17)An established international bank is seeking an experienced Head of Legal & Compliance to lead its UK operations. This is a Senior Management Function position, reporting directly to the CEO and playing a critical role in ensuring the firm’s adherence to UK regulatory requirements. The role offers the opportunity to shape compliance culture, oversee legal matters, and provide strategic input at executive and board level. Key Responsibilities: Compliance & Financial CrimeOversee regulatory compliance, AML, sanctions, ABC, fraud and financial crime frameworks.Deliver the Compliance Monitoring Plan and report key risk indicators to senior management and the Board.Manage interactions with regulators (FCA, PRA) and internal/external stakeholders.Oversee the preparation of MLRO reports and enterprise-wide risk assessments.Lead compliance training and competency programmes across departments.Legal OversightProvide legal advice and oversight on contracts, litigation, and governance matters.Manage relationships with external legal counsel and ensure effective resolution of legal matters.Requirements:Significant experience in senior legal and compliance roles within retail banking experience.Strong knowledge of UK regulatory frameworks (FCA/PRA) and expectations under SMF16/17.Proven leadership skills with experience managing multi-disciplinary compliance and legal teams.

Information & Technology Risk Oversight Lead - InsuranceLondon / but there can be some flexibility on location across the UK - office working 3 days a week.Broadgate Search have been instructed to find an information and technology risk oversight lead on behalf of our client, a leading insurer.This is a key second line of defence position, reporting to the Head of Operational Risk & Internal Control. The successful candidate will provide strategic oversight and challenge over information and technology risks — ensuring they are appropriately identified, assessed, and mitigated in line with Group and regulatory standards.The role offers an opportunity to influence senior stakeholders, contribute to strategic resilience planning, and play a pivotal role in shaping the organisation’s information risk culture and framework.Key ResponsibilitiesDevelop, implement, and embed an effective information and technology risk framework that aligns with Group and regulatory requirements.Lead the development of the operational and information risk appetite framework, including qualitative statements and quantitative indicators.Provide independent oversight and challenge to first line management on key initiatives relating to information security, technology, and data risks.Deliver second line challenge on major IT and change programmes, ensuring project risk methodologies are robust and effective.Plan and execute a risk-based oversight programme for information risk management, producing high-quality reports and actionable insights.Provide formal second line opinions on information and technology risk management practices and mitigation strategies.Support regulatory change initiatives, including operational resilience and digital operational resilience programmes, ensuring delivery to scope, time, and quality expectations.Review and challenge management information (MI) from the first line to ensure effective monitoring and escalation of technology risks.Represent the second line at key risk and governance forums, providing insight and updates to the Audit, Risk, and Compliance Committees.Contribute to the development and testing of internal controls relating to information risk, data management, and procurement processes.Advise and influence senior management and executives on technology risk and resilience matters.Maintain a strong understanding of emerging risks, regulatory developments, and industry best practice.Build and maintain strong relationships across Risk, Compliance, Internal Audit, and Group functions to ensure a coordinated approach to oversight.Develop and deliver targeted training and awareness on information and technology risk across the organisation.Experience and QualificationsProven experience within Risk or Audit functions in a regulated environment (financial services or insurance preferred).Degree-level education in computer science, information systems, or a related discipline.Experience delivering resilience-based regulatory programmes (e.g. Operational Resilience, DORA).Recognised professional qualification desirable (e.g. CISSP, CISM, CISA).Deep understanding of information and technology risk within financial services, particularly in relation to security and operational resilience.Familiarity with technology risk frameworks such as COBIT, ISF, or ISO 27001.Strong ability to develop and assess risk frameworks, controls, and risk appetite statements.Excellent report writing, analytical, and communication skills, with the ability to influence at senior levels.Confident stakeholder management skills and the ability to work effectively within a matrix structure.Knowledge of the Solvency II environment advantageous but not essential.

We are partnered with a high growth bank looking for a Quality Assurance Senior Analyst. The role requires someone will complete quality assurance reviews to ensure policies and procedures are being followed. Responsibilities include Conduct quality assurance reviews across operational areas, including Customer Service, Payments, and Financial IntelligenceAssess adherence to policies, procedures, and regulatory standards through detailed case file and process reviewsIdentify risks, control gaps, and areas for improvement, providing clear recommendations to enhance quality and efficiencyPrepare management information and quality reporting for senior leadership and committee reviewDeliver feedback and support training initiatives to improve performance and reinforce best practicesContribute to the ongoing development of a robust quality control framework and continuous improvement culture Requirements Proven experience in Operational Quality Assurance within a financial institution or similar regulated environmentStrong understanding of the UK financial services regulatory landscapeSkilled in providing structured feedback and producing management information for senior stakeholdersExcellent attention to detail, analytical mindset, and ability to work independently with minimal supervisionCollaborative approach with strong communication skills and a commitment to continuous improvement Apply with us today!

Compliance Monitoring Manager   Overview   An exciting opportunity has arisen to join a well-established Financial Services company where you will lead, manage and shape the Compliance Monitoring function and team. Some Key Responsibilities:Lead on the development and implementation of a risk-based Compliance and Central monitoring planOversee the execution and timely delivery of thematic reviews and regular testing, including complex thematic reviewsPrepare detailed compliance reports for senior management and the board, highlighting key findings, risks, and remediation actions Experience & Qualifications: CISI or CII level 4 qualificationsPrevious experience of managing people and teamsPrevious experience of working in a similar Compliance Monitoring position for 5+ years