GENERAL ENQUIRIES

Senior Compliance Monitoring AssociateBathThis UK wealth manager is seeking a Senior Compliance Monitoring Officer to support the delivery of a risk-based Compliance Monitoring Plan across its financial services operations. The role covers multiple business areas, including platform services, discretionary fund management and financial advice. Working closely with the Compliance function, you will assess adherence to regulatory requirements, internal policies and industry best practice.Key ResponsibilitiesConduct scheduled and ad-hoc compliance monitoring reviews across the business.Identify, assess and document regulatory, operational and reputational risks.Design and deliver risk-based monitoring activities aligned to regulatory expectations.Liaise with business stakeholders to support understanding of compliance requirements.Review regulatory developments and assess their impact on monitoring activities.Produce clear, high-quality monitoring reports with findings and recommendations for senior management and committees.Track and follow up on remedial actions arising from monitoring reviews and regulatory visits.Contribute to compliance MI and assurance reporting, including input into Board-level reports.Promote a strong culture of compliance and ethical conduct across the organisation.Key ExperienceProven experience in a compliance monitoring role within UK financial services (preferably wealth management)Hands-on experience delivering risk-based compliance monitoring reviews.Experience within adviser platforms and/or monitoring financial advisers, including file reviews.Strong working knowledge of key regulations (e.g. AML, KYC, MiFID, GDPR).Experience producing clear, senior-level compliance reports and management information.

Broadgate are partnering with a global reinsurance business who are looking for an experienced Head Of Compliance to join the business in the US as the result of a period of growth. This role can be remote for the right individual but would require travel to both New York and Florida.Specific ResponsibilitiesResponsible for the US Compliance Universe (e.g., applicable federal and state laws and regulations) and ensuring that they are appropriately reflected within the Group Governance Risk and Compliance (GRC) tool with appropriate policies and procedures in place.Actively promote and instill awareness of all Group and US regulatory requirements, including conduct, within the business.Support the US business-wide Horizon Scanning process including proactive monitoring of regulatory and legal developments in close coordination with the US Legal team.Where new and changing regulations and laws are identified, lead the provision of impact assessments, gap analyses, and guidance notes on any consultation papers through to final implemented guidelines.Ensure that where there are changes identified which are implemented at a Group level, support the communication with US stakeholders, overall roll-out, and US implementation. Work closely with the Group Change Management team as required.Responsible for management and oversight of all US regulatory filings within the Group GRC tool, reporting, managing, and ensuring that all are identified and submitted on a timely basis. This involves close collaboration with the US Legal team.Support an annual business-wide Compliance Risk Assessment (CRA) process for all US entities. The purpose of the CRA is to have a clearly articulated Company Risk Profile (for all regulated and non-regulated entities), which identifies and measures the associated compliance risk. The CRA supports development and implementation strategies for mitigating material compliance risks (supports Group Supervision Rules 2011). The CRA includes a risk profile outlining the purpose, financial condition, and performance of each entity to understand the compliance risk profile. Work alongside the other jurisdictional Heads of Compliance to ensure these risk assessments are conducted in a consistent manner.Provide advice to the business on corporate policies, procedures, codes, and frameworks which support the compliance risk management framework. Identify where training needs are relevant and work in conjunction with Compliance Operations to deliver a robust compliance training program.Responsible for regular communications to the US Executive and Boards, Risk Committee, or other governance bodies on all compliance matters.What You Will Bring7 years of legal and compliance experience working in the insurance and/or reinsurance industry, with a combination of in-house and law firm experience strongly preferred.Law degree (JD) from a law school accredited by the American Bar Association and current good standing with the bar in at least one U.S. state preferred but not essential.Excellent oral and written communication skills, including demonstrated ability to prepare presentations and board reports appropriate to various audiences.Proven ability to build strong partnering relationships with a wide range of stakeholders and to challenge, negotiate with, influence, and persuade stakeholders at all levels.Strong analytical, organizational, project management, and problem-solving skills, with demonstrated ability to resolve complex business or regulatory issues.

Business Analyst – Integration & Transformation | Glasgow (Hybrid - 2 days in office)This is a newly created role, designed for someone who enjoys making sense of complexity and turning it into action. As the business continues to grow through acquisition and transformation, this role sits at the centre of some of the most important change programmes underway.  You’ll play a key role in shaping how integrations actually work in practice. That means getting under the skin of how businesses operate today, understanding where they need to get to, and helping teams bridge the gap in a structured, practical way. This is not a theoretical role — your work will directly influence how integrations are planned, sequenced and delivered. You’ll work closely with senior leaders across operations, finance, technology, people and brand, acting as the analytical backbone of integration and transformation activity. From mapping processes and identifying risks, to building dashboards and supporting decision-making, you’ll help ensure change programmes deliver real, measurable outcomes. What you’ll be doingAnalysing complex inputs, data and processes to shape integration and transformation plansSupporting senior leaders to ensure transition activity is insight-led and well sequencedWorking across multiple workstreams to define current state, future state and gapsCreating dashboards, trackers and tools to monitor progress, dependencies and valueProducing clear documentation such as process maps, requirements and impact assessmentsIdentifying risks and interdependencies early and providing data-driven recommendationsSupporting governance and senior reporting for steering groups and leadership forumsHelping evolve an Integration Playbook, embedding best practice and lessons learnedWhat’s in it for youExposure to high-profile M&A and transformation programmesReal influence — your analysis will shape decisions, not sit on a shelfRegular interaction with senior stakeholders and leadership teamsVariety: no two integrations are the sameA role with autonomy, visibility and room to grow as the business continues to scaleWhat we’re looking forAround 5 years’ experience as a Business Analyst in transformation, integration or complex change environmentsA strong understanding of how technology can enable and accelerate business processes (not a hands-on technical role)Experience working across multiple functions such as operations, finance, technology or brandConfidence working with ambiguity and turning incomplete information into clear insightStrong communication skills and comfort working with senior, visible stakeholdersA proactive, delivery-focused mindset — someone who takes ownership and runs with workUseful experience (but not essential)M&A or post-deal integration programmesProfessional services or financial services environmentsExposure to tools such as Power BI, Excel, Miro, Lucidchart, MS ProjectAI, automation, offshoring or shared services experienceIf you enjoy joining the dots, simplifying complexity and being at the heart of meaningful change, this is a role where you can really make your mark.

Broadgate is partnered with a leading fund administration company looking to hire a Fund Accounting Associate. The role offers strong exposure to fund operations, investor reporting, and portfolio accounting, with structured study support and ongoing professional development. Responsibilities include:Prepare bookkeeping and cash reconciliations using specialist fund accounting systemsCalculate and post accruals and prepaymentsAssist with the recording and reconciliation of investment positionsPrepare management fee and carried interest calculationsProduce investor reporting, quarterly reports, and annual financial statements in line with agreed service levelsRespond to audit, investor, and client queriesEnsure work complies with fund documentation and relevant regulatory requirementsPerform self-review to a high standard and escalate issues to the Fund Controller where appropriateBuild and maintain strong client and internal stakeholder relationshipsParticipate in ongoing in-house training and professional development Requirements:Degree educated (or equivalent)1–2 years’ experience in finance or accountingStrong attention to detail with a high level of accuracyAbility to work independently and as part of a teamInterest in Venture Capital, Private Equity, and alternative asset classesStrong time management skills with the ability to manage multiple deadlinesDesire to pursue a professional accounting qualification (ACCA or CIMA) with study supportProficient in Microsoft Excel, Word, and OutlookStrong communication and numeracy skills Apply with us today!

Deputy Money Laundering Reporting Officer (DMLRO) This is a great opportunity to work for a UK wealth management firm, supporting the MLRO in maintaining and enhancing the firm’s financial crime framework, systems, and controls, while acting as deputy in the MLRO’s absence.Key ResponsibilitiesSupport the MLRO in maintaining and enhancing the firm’s financial crime framework, systems, and controls, acting as deputy in their absence.Lead and support financial crime risk assessments, governance reporting, and preparation of senior management and regulatory submissions.Provide expert advice to the business on financial crime matters, including AML, sanctions, PEPs, and fraud-related queries.Oversee and support due diligence activity, including EDD reviews and approval of higher-risk client relationships.Assist with financial crime investigations, compliance monitoring, training delivery, and regulatory horizon scanning.Skills & KnowledgeStrong understanding of UK financial crime regulation and legislation, including AML, fraud, sanctions, PEPs, bribery and corruption, JMLSG guidance, and FCA rules (including SYSC).Experience working within a UK wealth management or investment management environment, with a clear understanding of the associated financial crime risks.Working knowledge of UK criminal law as it applies to financial crime and regulatory expectations.Proven ability to assess financial crime risks and maintain effective systems, controls, policies, and procedures.Strong stakeholder management skills with the ability to provide clear, pragmatic advice to senior management and business teams.

Sales Enablement & Operations Manager | United Kingdom Are you passionate about optimising sales processes and helping teams reach their full potential? We’re looking for a Sales Enablement and Operations Manager to join a fast-growing, ambitious team. In this role, you’ll partner closely with the Chief Growth Officer and the Growth Support team to drive sales effectiveness, streamline operations, and ensure accurate data and reporting across the business. You’ll have the opportunity to shape sales strategy, improve processes, manage cross-functional projects, and lead the Sales Operations team. From optimising CRM systems and dashboards to delivering internal sales communications and reporting on KPIs, your work will directly influence business growth and operational efficiency. Why apply?Lead and develop a small team, helping them thrive while making a real impact on company performance.Work closely with senior leadership, gaining visibility and exposure across multiple business functions.Play a pivotal role in shaping processes and systems that drive revenue growth.Take ownership of projects and initiatives where your ideas and solutions are valued and implemented.What we’re looking for:Experience supporting senior leadership and managing projects.Strong collaboration, problem-solving, and communication skills.Ability to manage multiple priorities and work to tight deadlines.A self-starter who can turn ideas into practical solutions and improvements.If you enjoy being the engine behind a high-performing sales team, helping people and processes succeed, and seeing the tangible impact of your work, this could be the perfect next step in your career.

Forensic Accountant – Assistant Manager / Manager | Belfast Are you an experienced Forensic Accountant looking for your next challenge? We’re looking for an Assistant Manager/Manager to join a dynamic team, working closely with Partners and the Senior Forensics Manager on a variety of high-profile cases. In this role, you’ll manage a diverse caseload, from contractual and shareholder disputes to business interruption and fraud investigations. You’ll prepare forensic reports, support business valuations and damage assessments, and contribute to complex assignments while collaborating directly with clients, solicitors, and senior colleagues. This is an opportunity to take ownership of cases, strengthen your technical expertise, and build strong client relationships. You’ll also play a part in growing the practice by spotting and pursuing new business opportunities. Why this role is worth your while:Work on challenging, high-profile forensic cases across multiple sectors.Develop your skills in dispute resolution, business valuations, and damage assessment.Collaborate with experienced Partners and a supportive Senior Manager in a team that values learning and development.Opportunity to influence client outcomes while building your own professional profile.We’re looking for someone who:Is ACA, ACCA, or CA qualified with forensic accounting experience.Has demonstrable expertise in forensic investigations and dispute work.Is confident communicating with clients and stakeholders, both internally and externally.Enjoys mentoring colleagues and helping develop a strong, high-performing team.If you’re ready to take your forensic accounting career to the next level and make a tangible impact on high-stakes cases, we’d love to hear from you.

Risk AnalystLife InsuranceDublin - Hybrid Working35-45kAre you looking for the right opportunity to take the next step forward in your career?Are you looking for a job where there's a clear growth plan for you?Do you want a job where you will have a dedicated leader looking to support you? Do you want a job that will give you broad exposure across all areas of risk and different international markets?If that all sounds like what you are looking for, then this could be the one for you!Your Role:Support the CRO in managing key risks across the businessConduct risk assessments and provide insights into KRIs that have been found that will be added to the board reportsManage the risk register and incident logsSupport the implementation of risk policies and proceduresAbout You:1-2 years risk experienceExperience working in a regulated financial services businessProactive and with a desire to learn and progress with a career in riskApply here or drop me a message if you'd like to learn more!