Regulator-Ready Talent for Financial and Professional Services Firms

Broadgate are excited to be partnering with a well known Regional Bank in New York to hire for an AVP Third Party Risk.   This is a hands-on role with real influence. You’ll run and strengthen the bank’s vendor risk program across the full vendor lifecycle, and you’ll be expected to challenge weak due diligence rather than just tick boxes.   What you’ll be doing: Owning intake and risk-tiering of new and existing vendor relationships Providing credible challenge on due diligence, risk acceptances and remediation plans, and escalating material exposures Assessing vendor risk across operational, compliance, cyber, data privacy, BC/DR, financial, reputational and fourth-party domains Monitoring vendor performance against contracts and SLAs Administering the vendor management system and keeping records audit-ready Producing reporting for senior management, governance committees, Internal Audit and regulators Helping shape vendor risk policies, procedures, training and regulatory readiness   What they’re looking for: 5+ years in Vendor / Third-Party Risk Management, ideally in banking or financial services Experience supporting audits, regulatory exams or vendor governance Strong attention to detail and documentation discipline Confidence working with business owners up to executive level Strong Excel and PowerPoint skills; Power BI, Visio or AI tools are a plus CTPRP, CTPRA, CRISC, CISA, CISM or similar is a plus Bachelor’s degree required

Risk & Compliance Integration Lead Location: UK-based (Hybrid – 3-days per week in the office) About the Firm Our client is a growing, multi-disciplinary professional services group. It has expanded significantly in recent years, mainly by acquiring established businesses, and has an active pipeline of further deals. It is now strengthening its central Risk & Compliance function so that every business joining the group is integrated effectively. The Opportunity This is a newly created role in the central Risk & Compliance team. You’ll lead the R&C side of each acquisition, from early-stage due diligence through to bringing the acquired business fully onto the group’s policies, controls and reporting. It’s a varied, high-visibility position for someone who enjoys bringing structure to change and working with people at every level. What You’ll Be Doing Coordinating the risk and compliance review of target businesses during the deal process Turning due diligence findings into clear action plans, and tracking them to completion Building and owning R&C integration plans for each newly acquired business Working with the wider integration team to keep deliverables, timelines and dependencies on track Flagging risks, blockers and slippage early, and escalating where needed Managing the regulatory admin that follows a deal, such as notifications, registrations and approvals Bringing new businesses onto group insurance arrangements Rolling out group standards in areas such as AML, sanctions, data protection, information security, complaints and whistleblowing Embedding risk registers, monitoring and reporting within acquired teams Following up on any post-deal remediation or regulatory commitments Supporting wider group risk and compliance projects as capacity allows Supporting and developing junior colleagues where relevant   What We’re Looking For Essential A strong organiser, comfortable running several projects and stakeholder groups at once Solid project management skills, with a disciplined approach to tracking actions Excellent communication skills, written and verbal Sound judgement, discretion and attention to detail Comfortable in a changing environment, and confident to challenge when needed A collaborative relationship builder   Desirable A background in risk, compliance, governance or regulation within a regulated sector (e.g. professional services, financial services, legal) Exposure to M&A, integration or business change programmes Experience managing multiple projects or programmes   Interested? For a confidential discussion, contact William Fitzpatrick at Broadgate Search: william@broadgatesearch.com / +44 20 3772 3959.

TAX ADVISOR | Bolton – Hybrid | Salary up to £36,000 | Excellent Benefits | Career Progression YOUR NEXT CAREER MOVE COULD LOOK A LITTLE DIFFERENT! Are you working in tax and starting to think about what comes next?  Perhaps you're ready to move beyond the day-to-day compliance work, gain more exposure to tax planning, build stronger client relationships and develop your career within a supportive professional services environment. If that sounds like you, I'd love to speak with you! I'm currently recruiting for an established professional services firm looking for a Tax Advisor to join its Business Advisory team. Why should you consider this opportunity? This is an opportunity to broaden your technical experience, work with a diverse client portfolio and develop your career with the support of an experienced team. Here's what you can look forward to: Salary up to £36,000 Hybrid working and flexible hours — enjoy greater flexibility in how you work. Professional development — receive support to help you progress with your ATT, CTA or other relevant professional qualification. Broader tax exposure — develop your experience across corporate tax, personal tax, capital gains tax, succession planning and tax-efficient remuneration. Meaningful client relationships — work directly with clients and contribute to practical tax solutions. Excellent benefits — including private medical insurance, pension, life assurance, enhanced family leave and annual leave options. Career progression — strengthen your technical knowledge, develop your advisory skills and work towards your longer-term career goals. Who am I looking to connect with: Previous experience in UK tax compliance or tax advisory. A solid understanding of UK tax requirements. Experience working with individual, partnership or corporate tax matters. Strong communication skills and the ability to build lasting client relationships. The ability to manage competing priorities and meet deadlines. ATT, CTA, CA or an equivalent qualification, either completed or currently in progress. Experience with CCH tax software would be advantageous. You don't need to know everything already. I'm interested in people with a solid tax foundation, a willingness to learn and the ambition to continue developing their expertise. IMPORTANT — Right to work in the UK Please note that this opportunity is only open to candidates who already have the right to work in the UK. Visa sponsorship is not available for this position.

Talent  Acquisition Specialist Recruiters — ready to take your career in-house? If you know the accountancy and finance market, enjoy finding great people and can build relationships with hiring managers as well as candidates, this could be the move you've been looking for! I'm recruiting for a Talent Acquisition Specialist to join an established professional services group experiencing an exciting period of growth following an acquisition. They're looking for someone who can take ownership of recruitment, build strong internal relationships and help attract the talent needed to support the business as it continues to grow. What will you be doing? You'll work closely with hiring managers and HR teams to manage recruitment from initial briefing through to offer and onboarding. Your focus will include: Recruiting across accountancy, audit, tax, finance and business advisory. Managing multiple vacancies across different office locations. Partnering with hiring managers to understand requirements and agree recruitment strategies. Proactively sourcing candidates and building talent pipelines. Using LinkedIn Recruiter and other recruitment tools to engage relevant talent. Providing market insight and advising on candidate availability and attraction strategies. Ensuring a positive candidate experience throughout the recruitment process. Who am I looking for? Experience in accountancy, finance or professional services recruitment. Strong end-to-end recruitment and sourcing skills. Confidence working with hiring managers and senior stakeholders. The ability to manage competing priorities without compromising quality. A proactive, relationship-driven approach and a genuine understanding of the candidate market. Agency recruiters are very welcome! If you're ready to move away from the constant pressure of business development and focus on recruitment delivery, stakeholder partnerships and long-term talent planning, this could be an excellent next step. Why consider it? You'll have the opportunity to influence hiring decisions, build lasting relationships across the business and play an important part in supporting recruitment during a period of growth and integration. ? Locations: Sussex, West Sussex and Kent ? Working arrangements: Hybrid   If you're an accountancy and finance recruiter who enjoys what you do but is curious about making the move in-house, I'd love to hear from you.   Send me a direct message for a confidential chat. No lengthy application process to start with — just a conversation to see whether it could be the right fit.   Sometimes the best career move starts with a 10-minute conversation! ?

Senior Engineering Manager Switzerland | Financial Services | Technology & Digital Assets The Opportunity We are partnering with a discreet, technology-led financial services business to appoint a Senior Engineering Manager in Switzerland. This is an opportunity to lead and develop high-performing engineering teams within a complex, highly regulated environment. The successful candidate will combine strong technical leadership with hands-on engineering expertise, driving the delivery of scalable, secure and reliable technology platforms. Key Responsibilities Lead, mentor and develop engineering teams, fostering a high-performance and collaborative culture. Oversee the design, development and delivery of scalable, resilient software systems. Drive engineering standards, architecture, code quality and best practices. Work closely with Product, Security, Infrastructure and business stakeholders to translate requirements into technical solutions. Improve engineering processes, delivery efficiency and platform reliability. Support technical strategy, architectural decisions and the ongoing evolution of core systems. What We're Looking For Proven experience leading software engineering teams in a Senior Engineering Manager or equivalent role. Strong software engineering background, with the ability to engage in technical and architectural discussions. Experience building and operating secure, scalable production systems. A track record of developing engineers, managing delivery and driving technical excellence. Strong stakeholder management and communication skills. Experience in financial services, fintech or another regulated technology environment would be advantageous. Interested? For a confidential discussion, please get in touch to learn more about the opportunity and the technical challenges involved.

Executive Director – Institutional Sales & Account Management Location: Switzerland The Opportunity We are partnering with a leading Swiss financial institution operating at the intersection of traditional banking and digital assets to appoint an Executive Director within its commercial team. This is a high-impact, revenue-generating role combining strategic account management, new business development and the commercialisation of innovative banking and embedded finance solutions. The successful candidate will take ownership of existing institutional relationships while converting warm opportunities and developing new markets across financial services, fintech and digital assets. With significant scope to grow client wallet share and unlock new revenue streams, this role is suited to an entrepreneurial commercial leader with a genuine hunter mentality. Key Responsibilities Grow existing accounts: Manage a portfolio of institutional clients across Switzerland, Liechtenstein and wider European markets, identifying cross-selling opportunities and maximising revenue potential. Convert opportunities: Take ownership of established relationships and warm leads, developing them into profitable long-term partnerships. Win new business: Originate and close opportunities across banks, wealth managers, fintechs, financial services scale-ups and digital asset businesses. Take solutions to market: Drive adoption of embedded finance and banking infrastructure propositions, including collateral management, stablecoin settlement and crypto-to-fiat payment solutions. Build strategic relationships: Engage with senior stakeholders, founders and decision-makers to understand client needs and develop tailored commercial solutions. Drive growth: Develop targeted prospecting strategies, build a strong pipeline and collaborate with product, compliance and operations teams to convert opportunities. What We're Looking For Proven success in institutional sales, business development or strategic account management within banking, financial services, payments or digital assets. A strong track record of winning new business while growing existing client relationships. An established network across financial institutions, fintechs, wealth management or digital asset markets. Commercial understanding of banking infrastructure, payments, treasury, collateral management or stablecoin solutions. Confidence engaging with C-suite stakeholders, business founders and senior banking decision-makers. An entrepreneurial, results-driven approach with the ability to identify opportunities and take solutions from concept to commercial execution. Must be based in Switzerland and comfortable covering relevant European markets. Why Consider This Role? Senior-level opportunity with direct commercial and revenue responsibility. A balanced remit spanning account growth, warm-lead conversion and new business origination. Exposure to the convergence of traditional financial services and digital assets. Opportunity to develop new client segments and bring innovative financial infrastructure solutions to market. Competitive compensation package with performance-related variable remuneration. Interested? Contact us for a confidential discussion to learn more about the opportunity.

Financial Crime Advisory Manager & Deputy MLRO A UK mutual financial services organisation is hiring a Financial Crime Advisory Manager & Deputy MLRO, reporting to the Head of Compliance & MLRO. You’ll also spend around half your time as the financial crime SME on a three-year digital transformation programme. Responsibilities Act as Deputy MLRO and oversee the Financial Crime Officer Own the Financial Crime Risk Management Framework, policies and Firm-Wide Risk Assessment Horizon scan regulatory change and carry out gap analysis Act as financial crime product owner on the transformation programme Represent the business at industry and regulatory forums Requirements Extensive financial crime/AML experience gained within a bank or building society An AML qualification (Certificate level minimum) Transformation project or online savings fraud experience (desirable) Strong communication skills and confidence with senior stakeholders

Governance & Assurance Manager | Insurance & Financial Services Permanent  A well-established, FCA and PRA regulated financial services organisation is creating a new first-line governance and assurance role within its consumer function. You’ll report to a senior director and shape how good customer outcomes are evidenced and protected across the business. The role This is a hands-on build. You’ll design and embed a consistent first-line governance, assurance and operational risk framework across claims, customer service, product and consumer support teams.   Design and run a risk-based assurance and control testing programme Provide constructive challenge on controls, risk ownership and ways of working Provide first-line oversight of Consumer Duty evidence and regulatory readiness Oversee business continuity (BCM) and operational resilience arrangements Bring governance to transformation and process change Produce clear MI and reporting for senior leaders and governance forums Work closely with Risk, Compliance and Internal Audit across the three lines model What we’re looking for Significant experience in first-line assurance, operational risk, control testing or governance within a regulated environment Experience supporting Consumer Duty or conduct risk Experience designing or improving frameworks across multiple functions Strong stakeholder skills and confidence challenging at senior level Clear written communication and a data-driven approach Insurance experience is highly desirable Experience of standing up or maturing a risk function would be a real advantage A risk, governance, audit or resilience qualification (IRM, ICA, IIA, CBCI) is welcome but not essential Why join You’ll have real influence in a role with direct access to senior leadership, at a time when consumer outcomes are a regulatory priority. This is a chance to build something as you see best practice.  To find out more, get in touch for a confidential conversation