Richard Williams


Richard Williams is a Senior Principal Consultant with over ten years of experience in risk and compliance recruitment, focusing on mid to senior and board-level appointments in both financial and non-financial risk. Since joining the Broadgate team back in 2018, Richard has enjoyed helping a diverse range of companies grow and scale by connecting them with highly skilled, culture-add talent from his community-built network.

From compliance managers to CROs, Richard covers a wide spectrum of appointments across the UK in terms of operational, climate, enterprise, financial, and credit risk. When he's not helping build risk functions, you can find him on the tennis court or spending time with his daughter at one of the three farms and zoos he owns season tickets for.

" The team has gone from strength to strength over the last 9 years, with some exciting plans for international growth in the coming months. It's great to be part of such a collaborative and innovative business that recognises the importance of trust as a foundation for hiring.'

JOBS FROM RICHARD

Bath, Bath Avon, South West, England
Operational Risk Manager
Job Title: Risk Manager Department: Risk & Compliance Location: [Bath-based Office] – Hybrid working model (2 days in office) Reports to: Head of Risk About the Company Our client is a leading player in the wealth management and financial services sector, recognised for their award-winning service and innovative technology platform. With significant investment backing and a clear growth trajectory, they’re transforming the way wealth management services are delivered in the UK. With a team of approximately 300 professionals, they are committed to delivering excellence, supporting professional development, and fostering a collaborative culture. The Opportunity This is a pivotal role within the second line of defence, responsible for supporting the delivery and ongoing enhancement of the group-wide Enterprise Risk Management Framework. The Risk Manager will partner with first line business functions to support effective risk identification, assessment, and assurance, while fostering a strong risk-aware culture across the organisation. Key ResponsibilitiesEnsure the Enterprise Risk Management Framework is embedded and effectively operated across the group.Support the identification, description, and assessment of key business risks.Lead incident management oversight, closure approval, and trend analysis.Provide pragmatic and regulatory-informed risk advice to support business decision-making.Deliver second-line assurance via a structured control assessment programme.Apply the organisation’s risk appetite to assessments and escalate concerns where appropriate.Assist in regulatory risk capital processes and internal capital adequacy assessments (ICARA).Promote risk awareness and accountability at all levels of the business.Develop and maintain clear and impactful risk reporting for executive and board-level audiences.Collaborate with Compliance, Internal Audit, and other teams on risk mitigation strategies.Actively contribute to the delivery of excellent service outcomes for end clients.Key Skills and Experience RequiredStrong operational risk management expertise within a financial services or wealth management environment.Experience in designing and implementing risk frameworks, policies, and risk appetite models.Proven ability to deliver clear, concise Risk MI and reporting.Knowledge of RCSAs, KRIs, incident and control management.Skilled in presenting to senior stakeholders and managing cross-functional relationships.Comfortable interpreting regulatory guidance and complex risk scenarios.Strong analytical, negotiation, and project management skills.DesirableRelevant risk qualifications (e.g. IRM Diploma, IAQ, etc.)Knowledge of SIPP, ISA, GIA, or Bond productsExperience with outsourced service providers and third-party oversightBackground within platform services or discretionary fund managemen
Richard WilliamsRichard Williams
London, Greater London, South East, England
Senior Risk Manager
Job Title: Risk Manager Location: United Kingdom (UK) On Behalf of Our Client – A Leading Financial Services Organisation The Opportunity: We are currently assisting our client, a prestigious financial services organisation, in their search for an experienced and highly skilled Risk Manager to join their growing team. This is a key leadership role that will work closely with the Chief Risk Officer (CRO) to support the design, implementation, and ongoing management of the company's Risk Management Framework. The successful candidate will provide independent oversight and challenge to the business risk profile for the UK-regulated entity. Key Responsibilities: As Risk Manager, your primary duties will include:Risk Management Framework: Design, implement, and maintain a comprehensive risk management framework that encompasses operational risk, credit risk, liquidity risk, market risk, conduct risk, and reputational risk.Risk Mitigation & Reporting: Assess, mitigate, monitor, and report on the risks impacting the business and ensure that effective risk management practices are demonstrated across the organisation.Subject Matter Expertise: Provide expert reviews of key risk metrics and incidents to ensure accurate reporting and management.Promoting Risk Culture: Lead initiatives to educate and train staff on risk identification and mitigation techniques, promoting a robust risk culture within the firm.Stakeholder Engagement: Assist the CRO in reporting risk-related information to the Board and represent the Risk function in internal and external committees, forums, and working groups.Collaboration with US Team: Work closely with the US-based Group Enterprise Risk team to ensure alignment of risk management practices across both regions.Change Management: Participate in change programmes, ensuring that risks are managed effectively throughout organisational changes.Risk Management Duties: In addition to the above responsibilities, you will also:Maintain a strong understanding of the company’s risk policies, procedures, risk appetites, and tolerances.Ensure that risk considerations are incorporated into business decision-making processes.Accurately escalate and record incidents associated with relevant risks.Regularly assess and challenge the company’s risks and controls to ensure effective risk mitigation.The Ideal Candidate: Our client is looking for candidates with the following qualifications and experience:Extensive Experience in Risk Management: Significant experience in managing risks within a regulated financial services environment, with a focus on liquidity, credit, market, and operational risks.Risk Framework Expertise: Proven experience in designing, implementing, and embedding risk management frameworks.Leadership & Influence: Ability to influence senior management teams and committees, with a proven track record in driving risk culture within the organisation.Regulatory Knowledge: In-depth knowledge of both UK and US regulatory frameworks, with experience collaborating with a US-headquartered group.Stakeholder Management: Strong skills in building and maintaining effective relationships with senior stakeholders.Team Leadership: Experience in leading and developing risk teams, with a focus on talent identification, development, and retention.Academic Background: A Bachelor’s degree (or equivalent) in a related field such as risk, finance, or accounting. A Master’s degree is preferred.Technical Skills: Proficiency in IT tools such as VBA and SQL.Communication: Strong verbal and written communication skills, including report writing and presenting to senior stakeholders.Personal Attributes: The successful candidate will possess a mature, credible approach to corporate environments, demonstrate a high level of integrity, and be able to communicate complex risk information in a clear and accessible manner. A collaborative and proactive attitude, combined with sound business judgement, will be essential for success in this role.
Richard WilliamsRichard Williams

INSIGHTS FROM RICHARD