SUBMIT VACANCY

Job Title: Compliance SupervisorLocation: HorshamOverview:An established financial services network is seeking a Compliance Supervisor to support regulatory oversight, promote a strong compliance culture, and help ensure firms deliver good consumer outcomes. The role involves audit work, file reviews, technical support, and regulatory guidance.Responsibilities:Conduct risk-based compliance auditsReview client files for suitability and regulatory adherenceApprove financial promotions and support firms with advertising standardsProvide compliance and technical support to advisersHandle complaints fairly and assist with root cause analysisConduct due diligence on providers and assist with regulatory projectsAct as a key contact for field staff and advisersRequirements:Strong knowledge of FCA rules (COBS, SUP, DISP)Experience in compliance monitoring and adviser supportCompliance qualificationClear communication, strong judgment, and a flexible approachidealCertificate in Financial Planning (CII or equivalent), diploma preferred or in progressFinancial Promotions

Compliance Analyst Location: London A well-established and growing investment management firm is looking for a proactive Compliance Analyst to join its London-based team. This is a great opportunity to wrok closely with teh Head of Compliance and work across a wide range of compliance responsibilities in a supportive and professional environment. Key Responsibilities:Provide day-to-day compliance advice to internal teamsDeliver and maintain the compliance monitoring programmeReview and approve financial promotionsMonitor and interpret regulatory changeMaintain compliance policies and proceduresSupport FCA and regulatory reportingAct as Secretary to the Risk & Compliance CommitteeAssist with due diligence, reviews, and regulator requestsContribute to internal training and compliance awarenessWhat We're Looking For:Experience in a compliance or regulatory role (investment/fund management)Strong knowledge of FCA rules and regulatory frameworksExcellent communication and problem-solving skillsDetail-oriented, collaborative, and eager to learn

Senior Internal Auditor – Reinsurance | LuxembourgA well-established international reinsurance group, with operations across multiple global regions, is expanding its Luxembourg team and seeking a Senior Internal Auditor. This is a key role supporting the Internal Audit function as the business continues its growth journey.Your Profile:Degree in Business Administration, Accounting, Finance, or related fieldProfessional certifications (CIA, CPA, CISA, etc.) are a plusFluent in English; French is a bonusStrong MS Office skills (Excel, Word, PowerPoint, Outlook)Experience with audit software (e.g., TeamMate) is advantageous3+ years of internal or external audit experience in insurance or reinsuranceSolid knowledge of insurance regulatory frameworks relevant to the EUKey Responsibilities:Support development and execution of the annual audit planConduct audits and operational reviews across the businessDraft and review audit reports and recommendationsAssist in resource planning, audit scheduling, and work allocationTrack implementation of audit recommendationsMaintain confidentiality and uphold audit standardsContinuously update knowledge of industry regulations and practicesWhat’s on Offer:Competitive salary and benefitsAccess to training and professional certificationsFlexible working arrangementsA multicultural, innovative, and collaborative environment

Broadgate is partnered with a global alternative investments firm looking for an Internal Auditor. Responsibilities include: Plan and execute internal audits across the company’s global entitiesAssess business processes and internal control systems to ensure adherence to regulatory standards and internal policiesPresent audit findings and recommendations to managementSupport the optimization of operational processes and organizational structures, including participation in relevant projectsTrack and monitor the implementation of audit recommendations to ensure timely and effective resolution Requirements: University degree or equivalent professional qualificationProfessional certifications such as CPA, CIA, CFA, or CAIA are considered advantageousMinimum of 3 years of audit experience within the financial services sector, preferably with exposure to the regulatory environment of asset managementProficiency in both German and English, with strong verbal and written communication skillsExcellent analytical and conceptual thinking, with the ability to work independentlyProactive and collaborative team player with strong interpersonal skills If this role is the role for you, then apply with us today!

Job Title: Assistant Manager - Transfer AgencyLocation: LuxembourgCompany Overview: A global alternative investment manager headquartered in Luxembourg, specialising in private equity, private credit, and fund of funds strategies. The firm manages over EUR 30 billion in assets and supports a diverse international client base. The Luxembourg office is home to a close-knit team of professionals with a strong focus on investor services and transfer agency operations. You’ll be part of a collaborative and international team environment with tailored onboarding and ongoing professional development opportunities.Role OverviewWe are seeking a motivated Assistant Manager to support the Transfer Agency function. This role offers exposure to a broad range of responsibilities and the opportunity to take ownership of projects and lead within a growing team.Key ResponsibilitiesAs Assistant Manager of the Transfer Agency Department, you will:Support the management of a team of four professionalsHelp monitor key deadlines and ensure timely delivery of outputsLead and contribute to various departmental projectsGiven the lean structure of the company, the role will also involve hands-on responsibilities including:Reviewing and issuing acceptance, capital call, and distribution noticesConducting AML and tax due diligence for new investors, as well as ongoing AML compliance reviewsMaintaining CRM records, fund registers, and managing investor transfers and conversionsUpdating internal procedures manuals related to transfer agency and AML processesYour ProfileTo be successful in this role, you should have:A bachelor’s degree in business, law, or a related fieldA minimum of 4 years of relevant experience in the financial sectorStrong understanding of AML/CFT regulationsExcellent communication skills in English; German is a strong advantagePrior team leadership or supervisory experience is a significant assetStrong organisational skills with the ability to prioritise and manage time effectivelyFlexibility and a proactive approach to changing prioritiesAttention to detail, analytical thinking, and a critical mindset

Job Title: Senior Compliance Monitoring Officer Location: London, UK (Hybrid)The Opportunity A leading global financial services firm is looking for a Senior Compliance Monitoring Officer to join its growing compliance function in London. This is a great opportunity to take ownership of high-impact compliance reviews and contribute to a strong culture of regulatory excellence. Key ResponsibilitiesDeliver thematic and periodic compliance monitoring reviewsDocument findings clearly and communicate results to senior stakeholdersTrack remediation and support continuous improvement effortsContribute to compliance risk assessments and monitoring plansAssist in developing compliance policies and frameworksCollaborate with global compliance teams on best practicesWhat You Bring5+ years in compliance monitoring, or financial services complianceStrong knowledge of FCA rules, MiFID, SMCR, Consumer Duty, UCITS, and market abuse regulationsExcellent communication, analytical, and stakeholder management skills

Head of Operations & Claims - PCF 43Life InsuranceDublin - Hybrid WFH90-105kI've partnered with an international life insurance business who are currently hiring for a Head of Operations & Claims. In this role you will play a key role in supporting different functions across the business as a key stakeholder internally. You will be running a newly established unit within the business and have the support of a strong team already in place. You will collaborate with senior stakeholders in Ireland and across the wider EU operations. This role is very much focused on facilitating and enabling the growth of the business.Your Role:Leading a growing team in Ireland and have oversight over claims staff across the EUPresenting reports and insights to the boardStrategic planning for the operations team and leading a customer centric approach across the businessOverseeing all aspects of the claims process and representing the claims function at senior management levelsAbout You:Experience of working in the life insurance industry in Ireland7+ years experience working in Operations rolesExperience of managing claims and a strong understanding of the end-to-end claims processStrong commercial awareness and ability identify areas for improvementIdeally have experience managing people or experience leading projectsIf this sounds like the type of role you're looking for to take your career to the next level then apply here or reach out to me directly @ darren.hogan@broadgatesearch.com

Compliance and Fund Reporting AnalystInvestment ManagementDublin - Hybrid working45-55kAn investment management company in Dublin is looking to make a key new addition to the team to help support the growth of the business. This is a really exciting role for someone who is looking to take the next step in their career in financial services. You will work closely with both the DP for Reg Compliance and DP for Investment Management providing support to both. This will enable you to get a really good understanding of how the ManCo operates and give you great exposure to multiple areas of the business. Your Role:Support with implementing new regulations and changes to existing requirements Updating ManCo and Fund policies and support in developing compliance proceduresSupport with compliance monitoring and risk assessmentsDepositary reporting and attending meetingsInvestment Management reporting - portfolio analysis, investment strategy, performance reporting etcPrepare CBI filingsAbout You:2 years experience working in the investments/funds industry - ideally in a compliance or investment management role. Background in consultancy/legal would also be applicable.Strong interest in financial services and looking to pursue a career in this fieldStrong interpersonal and relationship skillsAbility to multitaskDriven and ProactiveIf you think this could be the right role for you then please apply here or reach out to me for more info -  darren.hogan@broadgatesearch.com