Regulator-Ready Talent for Financial and Professional Services Firms

We are looking for a compliance advisory manager to support an Investment & Wealth Management Client based in London🔹 Strong working knowledge of the UK regulatory landscape, with particular exposure to AFM and COLL frameworks 🔹 Confident producing clear, concise regulatory summary reports and presenting findings to key stakeholders 🔹 Experience contributing to compliance initiatives, projects and thematic reviews — including flowcharts, gap analysis and deep-dive work 🔹 Proven ability to manage a shared team inbox, ensuring timely triage and that nothing falls through the cracks 🔹 Diligent approach to maintaining compliance filing systems and ensuring documentation is always audit-ready 🔹 Experience reviewing scheme changes and associated documentation, including prospectuses and Investment Management Agreements 🔹 Hands-on oversight of fund documentation including fact sheets and KIID reviews 🔹 A collaborative team player who can flex to support senior stakeholders as regulatory priorities evolve 🔹 Proactive, accountable and composed under pressure — someone who takes ownership, communicates openly and gets things done

Tax Manager / Senior Tax Advisor | Leeds | Hybrid Working | Advisory-Led OpportunityI’m currently working with a highly respected and fast-growing professional services firm that is continuing to invest heavily in its tax offering across the UK. The business has built an excellent reputation for combining high-quality technical work with a genuinely people-focused culture, offering employees strong career development, flexibility, and exposure to an impressive and diverse client base.They are now looking to appoint an experienced Tax Manager or Senior Tax Advisor into their Leeds team. This is an excellent opportunity for someone who wants to move into a broader, more commercially focused role with significant advisory exposure rather than being purely compliance-led.The role offers a varied portfolio spanning both corporate and personal tax, with involvement across areas including remuneration planning, succession and estate planning, capital gains tax, benefits in kind, and wider strategic tax advisory projects. You’ll work closely with entrepreneurial businesses, owner-managed companies, and high-net-worth individuals, acting as a trusted adviser and building long-term client relationships.Alongside managing your own portfolio, you’ll collaborate with specialists across the wider business on complex client matters, contribute to business development initiatives, support junior team members, and play an active role in shaping client solutions. The environment is collaborative, forward-thinking, and gives individuals real visibility within the wider firm.What makes this opportunity particularly attractive is the balance it offers — high-quality advisory work and genuine progression opportunities, combined with a supportive culture and flexible hybrid working model.Ideal background:✔ CTA / ATT / ACA / CA qualified✔ Strong mixed tax experience across compliance and advisory✔ Comfortable managing client relationships and deadlines✔ Experience managing a portfolio of clients✔ Enjoys a collaborative and client-facing environment✔ Previous mentoring or leadership exposure beneficial✔ Experience using CCH or similar tax software advantageousPlease note that candidates must have the right to work in the UK.If you would be open to a confidential conversation, I’d be happy to share further details.

Interim Financial Crime Project Lead | KYC Platform Implementation | Professional Services | London/Hybrid We're partnering exclusively with a leading global professional services firm on a business-critical interim hire. This is a hands-on project lead role sitting at the heart of a major KYC transformation — spanning platform build, team set-up, and regulatory compliance across multiple jurisdictions. The Role You'll take ownership of the end-to-end implementation of a new KYC platform, including the establishment of an offshore KYC analyst function supporting the firm's global client base. This is a rare opportunity to shape infrastructure from the ground up within a well-regarded, high-growth professional services environment. Key ResponsibilitiesConfigure KYC onboarding journeys, questionnaires, checklists, customer portal questions, and risk ratings within the KYC platform — accounting for jurisdictional differences across global marketsDesign ad hoc batch sanction screening forms and test all configurations ahead of go-liveDesign an internal ticket/request management form for KYC requestsBuild a comprehensive KYC platform training manual for the analyst teamDraft a KYC analyst team Statement of Operating ProcedureUpdate existing AML policy and guidance documentation to reflect new processes and systemsRevise the AML privacy statement in line with updated workflowsCollaborate with an existing project team on CRM integration into the client and engagement take-on journeyWhat We're Looking ForProven experience implementing KYC platforms within global professional services firms — this is non-negotiableStrong working knowledge of AML/financial crime regulation and multi-jurisdictional onboarding requirementsHands-on experience configuring KYC platforms (experience with GBG is a significant advantage)Comfortable operating independently and at pace in an interim, project-led capacityFamiliarity with CRM-integrated KYC workflows (Salesforce experience advantageous)

Account Opening Specialist Private Banking Hybrid - 3 days in the office 50-55k Great opportunity to join a high performing team with a great culture. You'll be joining the account opening team where you will be responsible for supporting the relationship managers in onboarding new clients. It's a very important role ensuring each client has an excellent onboarding experience. Your Role:Preparing account documentation for execution by the client Perform AML, KYC and Source of Wealth checks Perform enhanced due diligence checks  Manage the end to end  process Support the compliance and relationship management team to ensure smooth processing and onboarding  About You:3  years experience in a similar role - Account Opening/Client Onboarding/Client Lifecycle Management etc  AML, KYC, CDD/EDD experience Experience within financial services - ideally in an area like private banking or fund/wealth management  Strong communicator and collaborator  If you would like to hear more, please apply here or reach out to me directly via DM or via email darren.hogan@broadgatesearch.com *Visa sponsorship is not available for this role, you must have a valid right to work in Ireland to be considered*

Finance Manager – Venture CapitalBroadgate are hiring for a Finance Manager who will be given the opportunity to scale the EU practice of a top 5 Venture Capital firm, starting in Germany.This is a hands-on finance role sitting within the German entity, working closely with the European finance lead in London and the Group CFO as part of a US reporting structure.Key Responsibilities• Own the German finance function locally across multiple entities• Manage monthly close, bookkeeping, and day-to-day financial accounting• Prepare financial statements under US GAAP and German GAAP (HGB)• Lead the German audit process and coordinate statutory reporting• Oversee ManCo reporting and external tax/compliance relationships• Liaise with and manage third-party providers, with a longer-term mandate to bring processes in-house• Work closely with senior stakeholders across Europe and the US finance teamCandidate Profile Must have experience in corporate accounting and knowledge of venture capital, rivate equity or other fund structuresFluent in German and English

Finance Manager – Venture CapitalBroadgate are hiring for a Finance Manager who will be given the opportunity to scale the EU practice of a top 5 Venture Capital firm, starting in Germany.This is a hands-on finance role sitting within the German entity, working closely with the European finance lead in London and the Group CFO as part of a US reporting structure.Key Responsibilities• Own the German finance function locally across multiple entities• Manage monthly close, bookkeeping, and day-to-day financial accounting• Prepare financial statements under US GAAP and German GAAP (HGB)• Lead the German audit process and coordinate statutory reporting• Oversee ManCo reporting and external tax/compliance relationships• Liaise with and manage third-party providers, with a longer-term mandate to bring processes in-house• Work closely with senior stakeholders across Europe and the US finance teamCandidate Profile Must have experience in corporate accounting and knowledge of venture capital, rivate equity or other fund structuresFluent in German and English

About the Role An exciting opportunity for an experienced financial services professional to join a growing, fast-paced wealth management environment in a high-impact support role. This is not a traditional administrative position — instead, it offers a hands-on, client-facing role where you’ll work closely with Financial Planners, supporting the end-to-end client journey while building strong relationships internally and externally. You’ll play a key role in delivering a high-quality client experience, operating within a collaborative pod structure and contributing to a dynamic and evolving team. The Opportunity You’ll take ownership of financial planning administration within a busy and fast-moving environment, supporting multiple Financial Planners and working closely with Paraplanners as part of a structured team. This role is ideal for someone who thrives on organisation, attention to detail and client interaction, and who enjoys being an integral part of the planning process rather than purely back-office focused. With multiple hires planned, this is a great time to join a growing team where you can make an immediate impact and help shape the support function. Key ResponsibilitiesProvide full administrative support to Financial PlannersPrepare client packs, valuations and meeting documentationSubmit new business and gather provider informationManage letters of authority and client documentationLiaise with providers and internal stakeholdersMaintain regular, professional client communication (non-advisory)Support planners within a pod-based structureMaintain accurate records across back-office systemsWork to KPIs and service level expectationsAbout YouPrevious experience within financial planning or wealth managementStrong understanding of products such as ISAs, pensions, GIAs and bondsHighly organised with strong attention to detailComfortable working in a fast-paced, deadline-driven environmentStrong communication skills, both written and verbalAble to manage multiple priorities and work both independently and collaborativelyConfident engaging with clients and internal stakeholdersExperience with back-office systems or platforms (transferable experience considered)What’s on OfferCompetitive salary aligned to experienceHybrid working model (office-based initially, then flexibility post-probation)Exposure to a growing and evolving financial planning environmentClear progression pathways within the businessFull support with professional qualifications (CII)Opportunity to take on more responsibility compared to similar roles in the marketSupportive, collaborative team environmentWhy This Role? This is a fantastic opportunity for someone who wants to:Step into a more involved, client-facing financial planning support roleWork closely with Financial Planners and be part of the full client journeyJoin a growing team with multiple hires and strong career progressionDevelop professionally with support towards industry qualificationsBe part of a collaborative, high-performing environment where you can make a real impactAbout the Role An exciting opportunity for an experienced financial services professional to join a growing, fast-paced wealth management environment in a high-impact support role. This is not a traditional administrative position — instead, it offers a hands-on, client-facing role where you’ll work closely with Financial Planners, supporting the end-to-end client journey while building strong relationships internally and externally. You’ll play a key role in delivering a high-quality client experience, operating within a collaborative pod structure and contributing to a dynamic and evolving team. The Opportunity You’ll take ownership of financial planning administration within a busy and fast-moving environment, supporting multiple Financial Planners and working closely with Paraplanners as part of a structured team. This role is ideal for someone who thrives on organisation, attention to detail and client interaction, and who enjoys being an integral part of the planning process rather than purely back-office focused. With multiple hires planned, this is a great time to join a growing team where you can make an immediate impact and help shape the support function. Key ResponsibilitiesProvide full administrative support to Financial PlannersPrepare client packs, valuations and meeting documentationSubmit new business and gather provider informationManage letters of authority and client documentationLiaise with providers and internal stakeholdersMaintain regular, professional client communication (non-advisory)Support planners within a pod-based structureMaintain accurate records across back-office systemsWork to KPIs and service level expectationsAbout YouPrevious experience within financial planning or wealth managementStrong understanding of products such as ISAs, pensions, GIAs and bondsHighly organised with strong attention to detailComfortable working in a fast-paced, deadline-driven environmentStrong communication skills, both written and verbalAble to manage multiple priorities and work both independently and collaborativelyConfident engaging with clients and internal stakeholdersExperience with back-office systems or platforms (transferable experience considered)What’s on OfferCompetitive salary aligned to experienceHybrid working model (office-based initially, then flexibility post-probation)Exposure to a growing and evolving financial planning environmentClear progression pathways within the businessFull support with professional qualifications (CII)Opportunity to take on more responsibility compared to similar roles in the marketSupportive, collaborative team environmentWhy This Role? This is a fantastic opportunity for someone who wants to:Step into a more involved, client-facing financial planning support roleWork closely with Financial Planners and be part of the full client journeyJoin a growing team with multiple hires and strong career progressionDevelop professionally with support towards industry qualificationsBe part of a collaborative, high-performing environment where you can make a real impact

Regulatory Compliance ConsultantClient-facing Regulatory Consultant role within a growing FCA-regulated compliance consultancy. The position focuses on supporting financial advice and investment firms with regulatory compliance, suitability oversight, and ongoing advisory support. The role is highly relationship-driven, combining technical compliance expertise with commercial awareness, stakeholder engagement, and proactive client support across a portfolio of firms.Key ResponsibilitiesAct as the primary relationship manager for allocated client firms, building long-term trusted partnershipsProvide ongoing regulatory compliance advice to FCA-regulated financial advice and investment firmsSupport firms with understanding and meeting FCA regulatory requirements and expectationsManage regulatory issues including reporting requirements (e.g. RegData) and ad hoc compliance queriesConduct compliance monitoring, oversight reviews, and audits (remote and on-site)Deliver clear, practical and commercially focused regulatory guidance to firmsDeliver training, webinars, workshops, seminars, and presentations to client firmsSupport SMCR-related matters, including engagement with senior management function holdersSupport continuous improvement of internal frameworks, tools, and methodologiesEmbrace and utilise technology and AI tools to improve efficiency and consistency of service deliveryRequirementsEssentialMinimum Level 4 qualificationAt least 5 years’ experience in a compliance role within financial servicesStrong experience working with FCA-regulated firmsExcellent understanding of FCA rules, regulatory expectations, and suitability requirementsBackground in pensions, investments, financial advice, or wealth management