Senior CASS Specialist Some Key Responsibilities:Support the business on CASS technical query escalationsPreparation and delivery of CASS adherence reports/opinion to the Executive Team and the BoardWork closely with the 2nd line risk and compliance function in management changes to the CASS regulatory environmentProduce and maintain CASS policies / frameworks as required.Support the design and implementation of a first line CASS oversight function within operationsOwnership and maintenance of CASS Control Matrix, including monthly attestations and sample testing Experience & Qualifications:Strong interpersonal and communication skillsCASS knowledge, in particular CASS 6,7 and 8Experience in a similar CASS oversight roleCASS CISI qualification, Investment Management Certificate (IMC), Operations Certificate (IOC) or equivalent industry recognised qualificationPrevious experience in a similar role within the Wealth & Investment Management/ Platform sector

Senior CASS Specialist Some Key Responsibilities:Support the business on CASS technical query escalationsPreparation and delivery of CASS adherence reports/opinion to the Executive Team and the BoardWork closely with the 2nd line risk and compliance function in management changes to the CASS regulatory environmentProduce and maintain CASS policies / frameworks as required.Support the design and implementation of a first line CASS oversight function within operationsOwnership and maintenance of CASS Control Matrix, including monthly attestations and sample testing Experience & Qualifications:Strong interpersonal and communication skillsCASS knowledge, in particular CASS 6,7 and 8Experience in a similar CASS oversight roleCASS CISI qualification, Investment Management Certificate (IMC), Operations Certificate (IOC) or equivalent industry recognised qualificationPrevious experience in a similar role within the Wealth & Investment Management/ Platform sector

IT Compliance Manager @ Global Trading Firm  Location: Remote Our client, global, technology-driven trading firm operating across major financial markets, is hiring an IT Compliance Manager to oversee technology controls to ensure compliance with financial market regulations and data protection standards within a high-performance trading environment.. This role suits a highly autonomous and proactive professional who identifies compliance risks and operates effectively in a fast-paced, quantitative setting. Roles & Responsibilities: Lead major compliance projects including ICT implementations, regulatory change, and new market or venue accessManage project scope, timelines, resources, deliverables, and stakeholder expectationsOversee compliance review and sign-off of technology changes and system implementationsEmbed regulatory and compliance controls into system architecture and the SDLCMonitor adherence to regulatory technical standards (e.g. MiFID II RTS 6)Act as the primary compliance liaison for technology, trading, and business teamsSupport regulatory examinations, incident management, and stakeholder reporting Essential Skills & Experience:Degree in Computer Science, IT, or related field, with relevant professional certifications (e.g. ITIL, ISO 27001, CISA, CRISC)Strong experience in technology compliance and ICT implementation oversight within electronic or HFT trading environmentsDeep knowledge of ICT governance, system change management, technology audits, and regulatory technical standards for electronic tradingAbility to interpret complex regulations and apply them effectively to high-performance trading operationsProven project management, analytical, and stakeholder management skills, with experience leading cross-functional initiativesExcellent communication skills and ability to manage multiple priorities independently in a fast-paced environment Benefits:Fully remote with access to global offices including London, DubaiFlexible working schedule40 paid days off annuallyCompetitive compensationInternational team and cutting-edge technology If this sounds like your next role then get in touch with me at annabel.lovell@broadgatesearch.com

Senior Compliance Manager @ Global Trading Firm  Location: Remote Our client, global, technology-driven trading firm operating across major financial markets, is hiring a Senior Compliance Manager to lead complex regulatory initiatives in a fast-paced, electronic trading environment. This role is for a highly self-sufficient professional who takes ownership and can translate complex regulation into practical outcomes. Roles & Responsibilities:Lead major compliance projects, including regulatory change, new market access, and remediation initiativesOwn compliance responsibilities across assigned regions, asset classes, or regulatory domainsInterpret and apply complex regulations across US, European, and Asian marketsOversee regulatory reporting, filings, and regulatory examinationsAct as the primary compliance contact for key business stakeholdersCoordinate cross-functional teams to deliver compliant, practical solutions Essential Skills & Experience:7 years’ compliance experience in financial services, including electronic or HFT/algorithmic tradingStrong knowledge of global market regulations (SEC/FINRA, MiFID II/MiFIR, MAR, EMIR, APAC regimes)Proven ability to lead complex, cross-functional compliance initiativesHighly self-sufficient, with strong communication and stakeholder management skills Benefits:Fully remote with access to global offices including London, DubaiFlexible working schedule40 paid days off annuallyCompetitive compensationInternational team and cutting-edge technology If this sounds like your next role then get in touch with me at annabel.lovell@broadgatesearch.com

Compliance Officer / Compliance Manager Financial Planning / Wealth Management Birmingham | Hybrid WorkingAn established and growing independent financial planning firm in the West Midlands is seeking a Compliance Officer to support the business during continued growth. Key ResponsibilitiesMonitor FCA regulatory requirements and advise senior managementCompliance monitoring, risk assessments and reportingOversight of client file reviews (high-risk in-house; low-risk outsourced)FCA reporting and maintenance of the FCA DirectoryAdviser Training & Competency, FIT assessments and CPD oversightPolicy and procedure reviewOversight of PII, cyber insurance and complaints handlingDue diligence on providers and third partiesSkills & Experience:Minimum 2 years’ experience in a Compliance Officer role within an IFA / wealth management environmentStrong working knowledge of FCA regulations applicable to IFA firmsExperience of compliance monitoring, file reviews and regulatory reportingLevel 4 diploma in financial planning qualification (or working towards)

Broadgate is partnered with an international trading company looking for a Compliance Officer to join their team. The position is heavily monitoring-led, with the majority of time dedicated to testing, review activity, and regulatory assurance in line with MiFID obligations and wider regulatory standards. Responsibilities include:Own and deliver the annual compliance monitoring programme, ensuring effective coverage throughout the yearPerform ongoing compliance testing and monitoring activities across the businessAssess adherence to MiFID and other applicable regulatory requirementsIdentify, evaluate, and escalate compliance risks, breaches, or control weaknessesProduce clear and timely compliance reports for senior managementTrack regulatory developments and communicate relevant changes internallySupport internal audits, reviews, and regulatory interactions as requiredProvide practical compliance guidance and training to business stakeholdersWork collaboratively with internal teams to resolve compliance findings and enhance controls Requirements:Professional Qualification (PQ) approval by the MFSADegree qualified in Law, Finance, Business, or a related disciplineProven experience in a compliance, risk, or regulatory role within financial servicesSolid working knowledge of MiFID regulationsStrong analytical skills with the ability to interpret regulatory requirements pragmaticallyHighly organised, with the ability to manage priorities independentlyClear and confident communicator, both written and verbalStrong attention to detail and a structured approach to workProfessional compliance qualifications are advantageous but not essential Apply with us today!

Risk and Compliance Manager – Investment Management & WealthLocation: London (Hybrid working available)Join a fast-growing Risk & Compliance Advisory team at a big 4 global consultancy. 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.

Audit AdvisorSeeking an ambitious and forward-thinking Audit Advisor to join a dynamic audit team based in Greater Manchester. This role is an exciting opportunity to work across a diverse range of clients with a mix of audit and accounting responsibilities.As an Audit Advisor, you will:Support the senior management team in delivering audit and accounting services.Plan, implement, and complete audits across a variety of clients, overseeing complex file areas and supporting junior team members.Visit client sites as required and maintain strong working relationships with both clients and colleagues.Ensure audits are fully documented and conclusions clearly supported.Prepare statutory financial statements from client data.Assist in the development of junior team members and contribute to an even workload distribution.Complete administrative tasks accurately and on time, including timesheets and fees.Maintain compliance with all internal and external regulatory requirements.Skills & Experience:A professional accountancy qualification (ACCA, ICAS, ICAEW, or equivalent).Strong written and verbal communication skills.Excellent attention to detail and the ability to build strong relationships.Experience with Microsoft Office (Word, Excel, Outlook); Xero, Sage, QuickBooks, or CCH is desirable.Not-for-profit experience is an advantage.Why this Role?Hybrid working.Exposure to a varied client base and complex audits.Opportunity to develop professionally in a supportive, forward-thinking environment.