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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.

Credit Risk Manager – Specialist Lending Broadgate Search is proud to be partnered with a bold & ambitious lender that are looking for a Credit Risk Manager who can help balance growth with robust, forward-looking risk management. This is a chance to be part of a growing organisation where your insight will directly shape lending strategies, risk appetite, and the products we develop. If you’re driven, commercially minded, and ready to make an impact, we’d like to speak with you.  What you’ll be doingCarrying out detailed analysis of lending portfolios to spot risks, trends, and concentrations early.Supporting the development and refinement of credit risk models (e.g. affordability, scorecards, ICR/DSCR) and partnering with Finance on PD, LGD, EAD, and ECL.Producing high-quality reporting and dashboards for senior management, regulators, and investors.Helping to refine credit policies, risk appetite, and stress testing frameworks to ensure resilience.Working closely with underwriting, sales, and finance to make sure lending decisions align with strategy and regulatory standards.Contributing to the launch of new mortgage and lending products, including risk-based pricing initiatives.Assisting with internal and external audits on risk processes and controls.What we’re looking forProven background in credit risk within financial services (mortgages or secured lending experience is ideal).Strong analytical skills, with hands-on experience in data analysis and statistical methods.Knowledge of the UK mortgage and buy-to-let markets and regulatory environment.Ability to explain technical insights clearly to a range of stakeholders.A detail-focused, commercially aware mindset with the ability to challenge constructively.Desirable extrasDegree (or equivalent) in Mathematics, Economics, Finance, or a related subject.Exposure to bridging, commercial, or second-charge lending.Hands-on experience with model development or scorecard design.Proficiency in SQL, Python, SAS, R, or advanced Excel.Familiarity with PRA/FCA regulations for specialist lenders.Previous experience in a fast-moving, high-growth lending business.What we value We’re looking for someone who:Builds strong relationships and works collaboratively.Thinks long-term while acting decisively in the short term.Is adaptable, innovative, and proactive.Brings integrity, professionalism, and a willingness to grow.

Broadgate is partnered with a specialized commercial lender to find a talented Credit Risk professional that seeks a broad & varied day to day portfolio.   This is a pivotal role in shaping the banks credit oversight framework. The role sits at the heart of the second line, with responsibility for independent challenge, portfolio insight, and the governance of credit risk models. For someone with ambition, there’s a clear pathway to broader financial risk leadership as the organisation scales. What’s in it for youClear marked out progression to leadership Hybrid working Day to day exposure to senior leadership & a stake in strategic decision making High impact role with real ownership - this is end to end Credit Risk Management.An opportunity to sharpen your skills across multiple Credit Risk facetsBest in class culture & working environment What you’ll be doing Designing and embedding a credit risk appetite tailored to SME and commercial lending.Providing second-line oversight of credit policies, sector exposures, and risk models.Monitoring portfolio performance and market trends to highlight early risks.Leading model governance and independent validation.Presenting risk analysis and recommendations to the Executive team and Board.Helping build the risk infrastructure required for growth and diversification.What we’re looking forA strong track record in credit risk management, ideally within SME, commercial, or specialist lending.Technical ability with tools such as Python, R, or SQL.Familiarity with regulatory frameworks (PRA, Basel, IFRS 9).Experience with model validation and oversight.Confidence in engaging senior leaders with clear, evidence-based insights.An ambitious mindset with the appetite to grow into a broader financial risk role. Nice to haveBackground in challenger banks, alternative lenders, or mid-sized financial institutions.Exposure to structured finance, asset-based lending, or sector-specific SME finance.Experience with portfolio acquisitions or inorganic growth strategies. This is a chance to influence strategy, strengthen resilience, and position yourself as a future head of risk in a people invested entrepreneurial lender.

Head of Compliance Monitoring Location: London (Hybrid)Sector: Wealth & Investment Management OverviewYou will be a key member of the Compliance function working closely with the SMF16, SMF17 and the wider Compliance team.Overseeing and taking responsibility for the Compliance Monitoring, Thematic, and Third-Party Oversight Programs. You will also be responsible for the day-to-day management of the Compliance Monitoring Team. Key Responsibilities:Developing and delivering the risk-based Compliance Monitoring, Thematic, and Third-Party Oversight Program, ensuring alignment with business strategy and responsiveness to internal and external developments.Leading, developing, and inspiring a high-performing Compliance Monitoring team, fostering a culture of continuous improvement and accountability.Championing robust documentation, methodology, and procedures across all compliance monitoring activitiesAttending and contributing to the Compliance Management Committee, Risk Management Committee, Financial Crime Committee, Compliance Team Meetings, and other sub-committees as appropriate. What You’ll BringSignificant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in wealth & Investment managementStrong working knowledge of the UK regulatory framework, including the FCA Handbook and Consumer DutyExperience of managing people managementStrong stakeholder engagement skills

Overview  A File Reviewer opportunity has arisen to join an established team working as part of the wider Compliance Function. Responsibilities Part of a dynamic compliance team reviewing cases submitted by financial advisersAssisting answering enquires from advisers by email and telephoneSkills and ExperienceIdeally Level 4 Diploma qualifiedStrong written and verbal communication skillsExperience with a variety of products, Pensions, Investments & Mortgages.Experience of working in a compliance, file checking, or paraplanning position

Operational Risk Manager - £85,000-£90,000Location: Milton Keynes / LondonBroadgate Search are proud to be working on a retained basis with our client, a leading UK regulated financial services organisation, to appoint an Operational Risk Manager. This is an excellent opportunity to join a forward-thinking business and play a key role in strengthening operational risk oversight across technology, data, cyber and transformation.The OpportunityAs an Operational Risk Manager, you will support the Head of Operational Risk in delivering effective oversight, challenge and advice on operational risks. You’ll work closely with senior stakeholders across Technology, Claims, Operations and HR, helping to shape risk appetite, provide meaningful MI, and deliver assurance activity on the organisation’s key risk exposures.This role offers the chance to work at both enterprise and directorate levels, providing oversight across a wide range of operational risks, while contributing to the development of a strong, pragmatic risk culture that balances innovation and sustainability.Key ResponsibilitiesPartner with senior stakeholders to oversee and challenge technology, cyber, data and transformation risks.Support the development of operational risk appetite, profiles, and reporting to Executive committees.Deliver robust assurance activity including governance forums, stakeholder engagement, and deep dives.Monitor enterprise-wide operational risk exposures against appetite, escalating issues as appropriate.Produce high-quality, data-driven MI and reporting for Executive and Board audiences.Promote a strong risk and control culture that enables innovation and flexibility.About YouWe are looking for someone with:At least 5 years’ experience overseeing operational risk (including cyber, technology, data and transformation).Experience in digital/technology transformations and delivering at pace.Strong skills in producing data-driven risk MI and assurance opinions.Experience writing reports for Executive and Board-level stakeholders.If you would like to have a conversation about this then please forward your cv for consideration

Head of Operational Risk - Insurance - £120,000-£140,000Broadgate are delighted to be working on a retained basis with our client, a leading UK regulated financial services organisation, to appoint a Head of Operational Risk. This is a senior leadership opportunity to play a pivotal role in shaping and strengthening the operational risk framework, providing critical insight and assurance to the Chief Risk Officer.Role PurposeAs Head of Operational Risk, you will provide the CRO with insight and assurance on the operational risks faced by the organisation—both current and emerging. This assurance will be delivered in line with the organisation’s risk strategy, appetite, and regulatory obligations.You will lead the Operational Risk team within the Risk function, ensuring effective oversight, advice, challenge, and support across the business. The role requires strong collaboration with functions including Risk, IT, Claims, Operations, and Commercial.This is a Certified Person Material Risk Taker role under the Senior Managers & Certification Regime (SM&CR), regulated by the FCA and PRA.Key ResponsibilitiesProvide oversight, monitoring, advice, and challenge on operational risks.Ensure all operational risks are captured and assessed in the risk register.Maintain an effective risk incident and breach reporting process, with strong MI and analytics.Ensure IT and cyber risks are clearly understood and well-managed.Partner with the Head of Compliance to ensure conduct risk is effectively managed.Lead operational risk analysis and MI reporting for committees and forums.Oversee the RCSA process, ensuring it is fit for purpose and used effectively by the 1st line.Define and maintain risk appetite statements and metrics for operational risks.Own and maintain relevant risk policies and procedures, ensuring effective cascade across the business.Develop and deliver a plan of operational risk reviews, reflective of the emerging risk profile.Support the CRO as part of the senior leadership team, providing risk insight and advice.Build and lead a capable operational risk team with the right expertise and skills.Act as a champion for operational risk, embedding a strong risk culture across the organisation.Person ProfileEssential ExperienceSignificant senior experience in risk management within financial services.Proven track record in delivering operational risk frameworks.Strong written and verbal communication skills, able to convey complex issues clearly.Evidence of leadership and delivering results in risk management functions.Desirable ExperienceExposure to operational risk disciplines (Cyber, IT, RCSA, Operational Resilience).Planning and project management experience.Experience in a regulated business.Experience contributing to committees.Skills & CompetenciesStrong problem-solving ability and sound judgement.Knowledge of business processes, risk management practices, and regulatory requirements.Excellent prioritisation and project management skills.Strong stakeholder management and relationship-building capability.Gravitas and ability to contribute across a wide range of topics.Advanced IT skills (particularly MS Excel and other Office tools).Clear communicator, resilient, proactive, and collaborative.Passion for continuous improvement and developing others.KnowledgeHolistic understanding of general insurance operations.Awareness of financial risk management techniques and practices.Knowledge of market practice, legislation, and insurance industry trends.Broad and rounded risk management knowledge.QualificationsDegree in a relevant subject with strong numeracy/literacy.IRM or IOR qualification/membership (essential).Broader risk management qualifications (desirable).

Head of Compliance Location: London (Hybrid) A fast-growing fintech is looking for an experienced Head of Compliance to lead its second-line function and oversee a range of FCA-regulated products. Reporting to the Risk & Compliance Director (SMF16), you’ll work closely with cross-functional teams to embed a pragmatic, customer-first approach to compliance.What You’ll Do:Lead and develop the Compliance team, fostering a collaborative and inquisitive culture.Oversee compliance monitoring, advisory, regulatory change, training, and reporting.Shape and continuously improve how compliance operates across the business.Provide timely, practical regulatory advice to senior stakeholders and product teams.Own compliance reporting to senior leadership, including ExCo and the Board.Stay on top of regulatory developments and ensure the business is ready for change.What You’ll Bring10+ years’ experience in financial services, ideally within investments or fintech.Deep knowledge of FCA regulations, including regulatory perimeter, threshold conditions, and governance.Proven leadership of compliance teams in fast-paced, cross-functional environments.A pragmatic, clear communicator who can cut through complexity and influence at all levels.