GENERAL ENQUIRIES

Head of Compliance -SMF16 As The Head of Compliance you will lead the compliance function, shape the compliance strategy, maintain strong oversight frameworks, support senior leaders with regulatory guidance.  Some of the responsibilities  Provide insight on regulatory risks, emerging trends, and compliance issuesLead horizon‑scanning to identify and assess the impact of new and upcoming regulationsDesign and maintain the Compliance FrameworkOversee the annual Compliance Monitoring PlanAct as the primary point of contact for regulatorsManage regulatory interactions, such as inspections, thematic reviews, and supervisory queries.Act as a trusted advisor to the Board and Executive Committees on compliance and regulatory riskLead the Compliance team to maintain a highly skilled, high‑performing function. Skills and Experience Experienced compliance leader within Wealth & Investment Management, or Private BankingProven experience of holding the SMF16Strong knowledge of UK/EU regulatory frameworks (FCA Handbook, SYSC, COBS, MiFID II, SMCR)Proven experience engaging with regulatorsStrong stakeholder management skillsCollaborative approach that supports business growth while ensuring strong compliance standards.

Looking to build on your experience in financial services while gaining exposure to regulatory reporting and client-facing work? This opportunity offers a great balance of technical responsibility, collaboration, and career development within a supportive and forward-thinking environment. You’ll play a key role in supporting regulatory operations, working closely with internal teams and clients to ensure financial data is accurate, compliant, and delivered on time. Responsibilities include:Supporting the preparation and review of client financial records for regulatory and statutory reportingAssisting with the completion and submission of Economic Substance filings and related returnsEnsuring all regulatory notifications and records are maintained accurately and kept up to dateManaging and updating key data across internal systems and platformsWorking closely with colleagues to meet client expectations and reporting deadlinesHandling client queries relating to financial and regulatory reportingPerforming data checks and reviews to ensure accuracy and completenessKeeping up to date with regulatory changes and applying these in practiceContributing ideas to improve processes, efficiency, and overall quality of reporting Requirements:Around 3–6 years’ experience within financial services, accounting, or regulatory reportingA degree in Accounting, Finance, Business, or LawA professional qualification (or working towards one) such as ACCA, CPA, CA or similar is highly advantageousStrong attention to detail with a proactive and organised approachConfident communicator with the ability to work collaborativelyComfortable working in a fast-paced environment with deadlines If you’re looking for a role where you can truly develop your expertise while adding real value, we’d love to hear from you.Apply with us today and take the next step in your career.

Third Party Risk Management Operations Officer Insurance Dublin - Hybrid working - 2 days per week in the office 50-60kI've partnered with a large insurance client who are looking to bring in an additional person to their operations team to take the lead on the TPRM framework. You'll be joining a strong team with a good culture. Your Role:Implementation and ongoing review of the TPRM framework Provide ongoing reports to senior management Perform risk assessments of 3rd parties/outsourced providers Carrying out due diligence checks Support the team with wider requirements around business continuity, DORA etc  About You: Min of 3 years work experience within risk and/or operations Experience within financial services - ideally Insurance Ability to multi-task and build strong relationships across the business If you'd like to know more, please apply here or reach out to me if you have any questions - darren.hogan@broadgatesearch.com

AML Manager12 Month Fixed-Term ContractFundsDublin - Hybrid90-100kThis is your opportunity to work with one of the fastest growing businesses in Dublin. They're going from strength to strength as they continue to pick up new clients. It's a dynamic & fast-paced environment where you will be working as part of a great team!Your Role:Responsible for the performance and oversight of AML processes within the teamAct as the main POC for clients and fund MLROs for any AML related queriesSupport the onboardding & implementation of new business and review new fund documentationProvide regular reports to the business outlining any emerging risks & regulatory changes as well as providing updates on key AML metrics and operational mattersProvide training to staffAbout You:7 years AML experienceExperience in a managerial role with 5 direct reportsIdeally have a background in Funds/Asset Management. Must have financial services experienceIf you would like to hear more then reach out to me directly or apply here!Note: Visa sponsorship can not be provided for this role and local market experience is required

Senior Risk and Compliance Advisory Manager – Wealth & Investment ManagementJoin a growing Risk & Compliance Advisory consultancy function. You'll work at the forefront of the Investment Management & Wealth sector, supporting major clients as they navigate regulatory change, operational risk, and compliance challenges. This is a unique opportunity to help shape industry-leading solutions while developing your own career in a flexible, collaborative environment.Key Responsibilities:Advise clients on risk and regulatory matters across the sector.Analyse upcoming regulatory developments and assess impact on clients.Design and implement effective risk and control frameworks.Contribute to thought leadership, market propositions, and industry forums.Support business development and help grow the practice.Requirements:Proven experience in risk, compliance, or regulatory advisory within Investment Management or Wealth/ Platform (consulting, in-house, or regulatory).Strong understanding of UK and/or EU financial regulations relevant to investment firms, fund managers, or wealth managers.Practical experience designing and implementing risk frameworks.Excellent communication and stakeholder management skills.Entrepreneurial mindset with a focus on delivering quality and creating value.

Head of CASS As Head of CASS, you’ll have end-to-end responsibility of the CASS framework, providing leadership & oversight. Some responsibilities Designing and operating an effective CASS governance framework, including chairing CASS Committee.Acting as the senior point of contact for regulators, auditors and key external stakeholders on all CASS matters.Advising senior leadership and the Board on CASS risk, regulatory change and strategic implicationsOwning and CASS function, ensuring strong governance, oversight and regulatory complianceAs the Head of CASS, you will hold the CASS operational oversight certification function. Experience You have significant experience leading CASS within an FCA-regulated environmentExperience operating at a senior level, engaging confidently with senior stakeholders and regulatorsIn-depth technical expertise in CASSStrong interpersonal and communication skills

Head of CASS As Head of CASS, you’ll have end-to-end responsibility of the CASS framework, providing leadership & oversight. Some responsibilities Designing and operating an effective CASS governance framework, including chairing CASS Committee.Acting as the senior point of contact for regulators, auditors and key external stakeholders on all CASS matters.Advising senior leadership and the Board on CASS risk, regulatory change and strategic implicationsOwning and CASS function, ensuring strong governance, oversight and regulatory complianceAs the Head of CASS, you will hold the CASS operational oversight certification function. Experience You have significant experience leading CASS within an FCA-regulated environmentExperience operating at a senior level, engaging confidently with senior stakeholders and regulatorsIn-depth technical expertise in CASSStrong interpersonal and communication skills

Paraplanner Location: UK (Remote Working) Salary: Negotiable Start Date: Immediate Our client is a leading, Private Equity backed professional services firm with a strong presence across the UK and Ireland. They are looking to hire a Paraplanner due to growth in the team and this is not a traditional paraplanning role sitting in the background. You will join a highly regarded Financial Planning team where collaboration, technical excellence and client outcomes are genuinely prioritised. You will gain exposure to complex client cases, strategic financial planning, and work closely with experienced Financial Planners who value partnership and input. The firm offers a modern, supportive working culture with remote flexibility, strong professional development pathways and the opportunity to be part of a business that is evolving, growing and investing in its people. If you are looking for a role where you can deepen your technical expertise, contribute meaningfully to client strategy and build a long-term career within a progressive organisation, this could be an excellent next step. Key Duties & ResponsibilitiesSupport the Financial Planners, applying your technical knowledge to provide client solutionsApply a collaborative approach to achieve the best client outcomes, delivering excellent levels of client serviceBuild client relationships, establishing a key point of contact role for clientsCarry out research, analysis and due diligence of client holdingsPrepare technical calculationsIdentify information required to compile a financial planPrepare client cash flow reports, using our cash flow modelling softwarePrepare suitability reports to a high standard, in line with our recommendationsAttend client meetings where appropriateEnsure the planners, and clients, are updated regularly and in a timely manner throughout the client journeyWork to target Key Performance Indicators / Service Level AgreementsWork collaboratively with the client services support team, to ensure recommendations are correctly implementedReview client files upon completion of businessActively promote ideas and suggestions and participate in all business improvements as part of the firm’s commitment to continuous improvementAdhere to regulatory conduct rules and understand professional ethics and the firm’s methods and standards of workingKeep up to date with legislative changes and always adhere to compliance requirementsSkills & QualitiesExcellent organisational skillsStrong communication skills – both written and oralExcellent attention to detailLogical thinking and problem-solving skillsAbility to have the client at the heart of what the teams doGood team player with the ability to build effective relationships at all levelsAbility to work on own initiative and to tight deadlinesSelf-motivated, and able to develop ideas into practiceDedication to continuing professional development (CPD)KnowledgeSound knowledge of financial products and plans and technical calculationsGood working knowledge of relevant legislation and industry best practiceKnowledge of Microsoft Outlook, Word, Excel, PowerPoint and relevant software packagesExperience3–4 years’ relevant work experiencePrevious experience of working in a similar roleWorking to tight deadlinesAnalysing client portfoliosTechnical compliance and advisory workQualificationsCII Diploma in Regulated Financial Planning (DipPFS) (desirable)CII Advanced Diploma in Financial Planning (working towards preferred)