Regulator-Ready Talent for Financial and Professional Services Firms

Broadgate are excited to be partnering with an established Fintech company to appoint a Credit Analyst in the US !   What you’ll bring 1 to 5 years of hands-on analytical experience (what you’ve built and owned matters more than years) Strong SQL, with experience on messy real-world datasets Hands-on Python across more than one context (data wrangling, automation, analysis or API integration) This client does not offer Visa Sponsorship. Experience building or contributing to data pipelines or automated workflows Clear written and verbal communication, able to explain findings to a decision-maker Authorisation to work in the US for any employer, without sponsorship, now and indefinitely Ability to work a hybrid schedule in the Charlotte office   What you’ll own Definite, the analytics platform: including the performance and investor tape refreshes the company depends on Credit and portfolio reporting: recurring reports for the team, lenders and investors, and accountability for getting them right Data pipelines: designing, automating and monitoring Python workflows for credit and loan performance data Credit research and ad hoc analysis: answering questions from Credit, Finance, Underwriting, Capital Markets and Product Data quality and documentation: keeping definitions and standards solid as the portfolio grows Why is this a fit for me ? Real ownership of a platform and reporting that the whole company relies on Close exposure to credit policy, pricing and capital markets decisions A small team where you’ll learn quickly and be visible Modern tools, including Python and LLM APIs

Full Charge Bookkeeper | Wealth Management Firm | Bergen County, NJ (On-site) $70,000 to $75,000 base, more for a CPA or a more experienced candidate I’m working with a well-established CPA and wealth management firm in Bergen County, NJ. They’re growing and want to add a Full Charge Bookkeeper to the wealth management side of the business. You’ll own the firm’s books and work closely with the partners. It’s a stable team, there are no tax season late nights, and there’s room to grow into tax or other areas if that interests you. What you’ll be doing Monthly bookkeeping in QuickBooks, including bank reconciliations Paying bills, writing checks and processing employee expense reimbursements Running and reviewing the quarterly client fee billing through the firm’s billing software Invoicing for financial planning and estate planning work, and tracking accounts receivable Supporting the partners with the quarterly close Helping with regulatory compliance paperwork when needed What they’re looking for Full-cycle bookkeeping experience Strong QuickBooks skills Good attention to detail and discretion with client financial information Experience at a wealth management, RIA or financial services firm is a plus A CPA or accounting degree is welcome, and pay reflects experience The details Full time and fully on-site, Monday to Friday, 8:30am to 5:00pm No extended hours during tax season Medical and dental benefits with a firm contribution Two-stage interview process: an initial video call, then an in-person meeting with the team If this sounds like you, or you know someone who’d fit, send me a message or apply directly.

Company: A fast-growing US credit data and analytics provider (B2B, serving lenders) The Opportunity This is a client-facing data science role in the Data Science team, reporting to its leader. You’ll build credit models with prospective lending clients to show how much our alternative-data risk signals improve their results. The main measures are more approvals and lower losses. What you learn from these engagements will also shape how our data products and roadmap develop. What You’ll Do Work with prospective clients before they sign, building tailored models on their data to measure the lift from our risk scores and features. Show clients the results directly, explaining what the improvements in approval rates and credit losses mean for their business. Run tests and experiments to check how well new features and modeling approaches work. Make sure models and analyses meet US fair lending standards, and build those requirements into how features are designed. Stay current on new developments in machine learning, AI and credit risk tooling. What You’ll Bring A background in US consumer or small-business lending, fintech, or financial services. A track record of taking raw data all the way to production-quality ML models, including feature design and performance measurement. Hands-on skill with Python ML tools, especially scikit-learn and gradient-boosted tree methods (XGBoost or similar). Strong instincts for exploring data, and the ability to find what matters and turn it into clear recommendations. Confidence presenting to both technical and commercial audiences, including external clients. A methodical, detail-focused approach to solving problems.

About the Opportunity Our client, a well-established reinsurance company regulated in Ireland, is looking for a Senior Risk Manager to take ownership of its local risk management framework. The company is part of a larger international insurance group, so this is a rare chance to combine real local ownership with the support and scale of a global organisation. Key Responsibilities Coordinate the identification, assessment, monitoring and reporting of material risks, maintaining a clear view of the overall risk profile and risk concentrations Lead the local Own Risk and Solvency Assessment (ORSA), including risk assessments, scenario and stress testing, forward-looking risk profile analysis and ORSA reporting Oversee local application of the Risk Appetite Framework, reviewing risk budgets, limits and threshold monitoring, and coordinating follow-up or escalation where required Review and challenge risk assessments from the business, and support the assessment of new products, material business changes and significant initiatives Monitor emerging risks in the internal and external environment and assess their relevance to the company Provide risk input into business planning, strategy and capital management Prepare regular and ad-hoc risk reporting for senior management, the Board and committees, turning complex topics into clear, decision-useful information Support regulatory interactions with the Central Bank of Ireland, including risk documentation and submissions Maintain and develop local risk policies, processes and documentation in line with Group and Segment standards Act as the key local contact for risk matters, offering independent, pragmatic and proportionate advice and challenge   About You Essential: Several years of relevant risk management experience in insurance or reinsurance, ideally in a regulated European environment Good understanding of Solvency II, ORSA, risk appetite frameworks and insurance/reinsurance risk management Experience in risk assessment, stress and scenario analysis, and risk reporting, including management or Board-level information Ability to work effectively in a Group environment, balancing local regulatory and business needs with Group and Segment frameworks Strong stakeholder management skills and a collaborative approach across Risk, Underwriting, Actuarial, Finance, Investments and Compliance Ability to own local processes while making good use of centrally and externally provided expertise, and knowing when to challenge or escalate Excellent written and verbal communication, with the ability to present complex risk matters clearly and concisely to senior management and the Board   Desirable: Reinsurance experience Familiarity with the Irish regulatory environment and the Central Bank of Ireland   The Kind of Person We’re Looking For You are happy to take ownership, and equally at home working within a larger international structure. You bring hands-on risk expertise, sound judgement and the confidence to offer constructive challenge.

Financial Crime Analyst Leeds A growing wealth management firm is hiring a Financial Crime Analyst for its second line of defence. This is a new, dedicated AML role. It offers good development and the chance to work with stakeholders across the business. Responsibilities Review and resolve AML exceptions Carry out PEP and sanctions screening reviews and escalate where needed Provide second-line oversight and guidance on financial crime matters Work with Risk & Compliance, Advice Quality, regional managers and financial planners Support continuous improvement of financial crime controls and processes Requirements 3–5 years’ experience in AML / financial crime Strong knowledge of AML, PEPs and sanctions Financial services background ICA Diploma desirable

Compliance Monitoring Analyst Leeds A wealth management firm is looking for a Compliance Monitoring Analyst to help shape the future of its monitoring function. It’s a chance to modernise how monitoring is done: you’ll build new processes, make research more efficient and help explore how AI can support the function. Responsibilities Deliver compliance monitoring reviews and desk-based research Find ways to streamline and automate monitoring processes Design and build new monitoring processes and frameworks Help develop and use AI tools and solutions within monitoring Report findings and recommendations to senior compliance stakeholders Requirements 1–3 years’ experience in compliance monitoring Financial services background. Wealth, financial planning or building society experience is ideal Experience developing or using AI tools Agile, creative and curious, with a drive to improve how things are done

Deputy Head of Compliance Leeds A leading wealth management firm wants a Deputy Head of Compliance to support the Head of Compliance and help lead the compliance function. You’ll also lead the function’s development, including Consumer Duty, vulnerable customers and the firm’s use of AI. Responsibilities Deputise for the Head of Compliance across the compliance function Manage and develop a team of compliance professionals Lead work on Consumer Duty, vulnerable customer outcomes and the client proposition Shape and improve the compliance MI framework Help bring AI into the compliance function Act as a trusted adviser to senior stakeholders across the business Requirements A background in wealth management or financial planning Broad, core compliance experience Experience managing or leading a team Strong knowledge of Consumer Duty and the FCA regulatory framework A forward-thinking approach and interest in using technology and AI in compliance

Our client, a leading global investment services firm, is looking for a proactive, detail-oriented AML Operations Analyst. You will support the delivery of effective first-line financial crime controls across its UK and Channel Islands businesses. You will play a key role in client due diligence, financial crime risk assessment and the investigation of monitoring alerts. You will also make sure AML processes are completed accurately and consistently, in line with regulatory requirements. What you will do: Conduct initial and ongoing Customer Due Diligence (CDD) reviews, ensuring information is accurate, complete and appropriately evidenced. Complete and maintain Client Risk Assessments (CRAs), ensuring risk ratings are accurate, justified and reflect identified financial crime risks. Undertake Enhanced Due Diligence (EDD) reviews for higher-risk clients, including Politically Exposed Persons (PEPs) and complex ownership structures. Review Source of Wealth (SOW), Source of Funds (SOF) and beneficial ownership information, assessing the adequacy of supporting evidence. Conduct risk-based reliance testing of KYC documentation provided by investment firm clients, identifying deficiencies and escalating concerns. Investigate and document transaction monitoring alerts, identifying unusual activity and escalating potential financial crime concerns. Review and investigate sanctions, PEP and adverse media screening alerts, escalating potential matches and identified risks. Conduct periodic and trigger-event reviews, assessing material changes to client circumstances and risk profiles. Maintain accurate AML risk registers, records and management information reports. Review and maintain AML Operations procedures, supporting control enhancements and process improvements. Liaise with internal stakeholders and external clients to obtain outstanding documentation and resolve due diligence deficiencies. Ensure work is completed to a consistently high standard, with clear, evidence-based decisions and appropriate audit trails. Support the AML Supervisor with operational priorities, quality assurance activities and financial crime risk management. What we need from you: Previous experience in AML, KYC, CDD or financial crime operations within financial services. Good understanding of UK AML regulations, financial crime risks and risk-based due diligence. Experience conducting CDD/EDD reviews, including PEPs, beneficial ownership and higher-risk relationships. Strong analytical skills, attention to detail and the ability to make sound, evidence-based decisions. Excellent organisational skills, with the ability to manage competing priorities and take ownership of assigned work. Strong communication skills and confidence engaging with internal stakeholders and external clients. Ability to work independently and collaboratively within a team. Good working knowledge of Microsoft Excel and Word. What we would like from you: ICA or ACAMS qualification, or working towards one. Experience within investment management, wealth management or financial services administration. Experience in reliance testing, transaction monitoring or financial crime screening. A proactive mindset with a focus on continuous improvement, accountability and delivering high-quality work.