Legal, Compliance & Financial Crime

Legal, Compliance & Financial Crime Recruitment: Connecting Top Talent in the UK, Ireland, Switzerland, Germany, Luxembourg, and the US

Broadgate is the preferred choice for legal, compliance and financial crime recruitment by many of the world’s leading firms. Our specialist consultants have the market knowledge, networks, and diversity-focused mindset to deliver sustainable talent solutions in a fast-changing regulatory environment.

From compliance managers and AML (Anti-Money Laundering) specialists to C-Suite roles such as Chief Compliance Officers and Heads of Financial Crime, we’re here to connect best-in-class talent with inclusive, growth-enabled opportunities inside the most exciting organisations in banking, insurance, and investments.

Supported by our consulting division, led by ex-regulator Adrian McCarthy, our delivery teams are equipped to pinpoint culturally aligned, regulatory-approved talent in niche areas.

Through our community-led approach to recruitment, we create access to hard-to-reach candidates, enabling our clients to enrich their businesses with diverse perspectives.

Contact Broadgate to find out more about how our Legal, Compliance and Financial Crime recruitment division can support you.

Roles we support include:

Monitoring & Testing

Generalist

Advisory

Conduct Risk

Horizon Scanning

Regulatory Change

1st Line Compliance

1st Line Oversight

Financial Crime

Legal Counsel

Associate General Counsel

General Counsel

Chief Legal Officer

Head of Regulatory Affairs

CAF (CHARITIES AID FOUNDATION)

100%

Compliance Hires Delivered

Senior Contractors Placed

4/4

Contractors Converted to Permanent Employees

Charities Aid Foundation (CAF) is a leading charity and bank working to accelerate progress in society towards a fair and sustainable future for all. CAF is a group of charitable organisations in the UK and North America, and for the last 100 years, they have led the way in way in developing innovative approaches to giving. Over the past 24 months, Broadgate have partnered with CAF to deliver 100% of its hires within the 2nd line compliance team. As a trusted recruitment partner, Broadgate have placed key interim leaders and supported long-term, strategic hires that have shaped the evolution of the function. This includes: <ul> <li>Interim Head of Compliance (later transferred to a permanent position)</li> <li>Head of Financial Crime Compliance (later transferred to a permanent position)</li> <li>2 Senior Compliance Managers</li> <li>Compliance Projects Analyst (embedded into a wider tech transformation initiative)</li> </ul> By consistently outperforming competing agencies, Broadgate not only delivered every role but also ensured continuity and stability for CAF’s compliance function.

RBS INTERNATIONAL

1.8

CV to Interview Ratio

28 Days

Time to Hire

Permanent Hires Made

RBS International is the UK’s largest independent depository service provider, holding around 30% of the market and rapidly expanding in Luxembourg. With the scale, experience, and breadth of expertise to support a wide variety of fund structures and asset types, their Luxembourg branch plays a key role in ensuring investors’ money is safeguarded with confidence and without conflict. In 2024, the firm onboarded Broadgate alongside other new suppliers to help deliver in light of a significant wave of growth hires. The first release of the seven roles was highly competitive, with multiple agencies on the PSL. Broadgate filled six of them by leveraging our established network in the small but specialised Luxembourg market, underpinned by our confidence in representing RBS International’s unique value proposition. By building strong communication lines, investing in on-site meetings, and developing a comprehensive understanding of the culture, we quickly became a trusted partner. Following this success, Broadgate continued to deliver on additional hiring needs, culminating in an exclusive partnership from August 2024. Roles placed include: Risk Manager, Due Diligence Manager, Depository Manager, and Custody Officer.

THESIS ASSET MANAGEMENT

Permanent Placements

CVs Per Role

2:1

CV to Interview Ratio

For over 40 years, Thesis Asset Management has been providing investment management services for private clients, charities, pension funds and trusts. Facing a mix of hiring needs across both permenent and contract recruitment, the firm was seeking senior talent in Compliance, MLRO, Fund Accounting, Reporting, and Oversight. One of the most significant milestones was its very first contract hire; a senior appointment reporting directly to the CEO. Having never hired a contractor before, the firm needed guidance through the process, from understanding regulatory requirements to ensuring full compliance. Broadgate’s consultants provided the education piece, building confidence and delivering a smooth process that resulted in a successful SMF placement. The candidate made such an impact that she was later transferred into a permanent role.

TRIODOS BANK

100%

Completion Rate

Risk & Compliance Contractors Placed

Triodos Bank is a leading expert in sustainable banking. With over 700,000 customers across Europe, Triodos is on a mission to make money work for positive change. Broadgate’s partnership with Triodos began with a strong value alignment and a shared commitment to responsible business as B Corp accredited organisations. Broadgate was initially engaged to deliver a business-wide gap analysis of all policies and procedures in reference to local regulators and authorities, including the FCA, HMRC, ICA, and PRA. We were then given the mandate to make 8 Compliance & Risk placements for interim positions as part of a broader transformation project. Despite operating in a highly competitive market, Broadgate tapped into an expansive network and strong domain-specific knowledge to deliver the roles with precision and speed, securing all hires within the allotted timeframe.

WEALTHTIME

100%

Completion Rate

CVs Per Role in 24 Hours

1.5

CV to Interview Ratio

Wealthtime are a next-generation investment platform group that combines market-leading technology with best-in-class customer service. With £11bn AUM, 1500 advisory firms, and and 77,000 investors across its platform, it offers a comprehensive investment wrap service. Facing an urgent need to make hires across Risk, Compliance, and Financial Crime, Wealthtime required specialist interim and permanent recruitment support to srtrengthen its second line of defence and support BAU operations. The hiring project was run on a non-exclusive basis, with 6 other agencies engaged simultaneously. Despite competing against 5 other agencies, Broadgate leveraged their deep market knowledge and strong compliance and risk networks to source and secure the right talent for 100% of the roles, delivering a Risk specialist, a Compliance Contractor, and a Senior Financial Crime Contractor to cover critical second line functions. Alongside this Broadgate also made five permanent placements across Compliance and Risk to strengthen long-term capability.

VIEW OUR CASE STUDIES

MEET THE TEAM

Meet Ben

Ben Adams

Co-Founder and Managing Director

Meet Daniel

Daniel Tapsell

Associate Director, Contract and Interim

Meet Matt

Matt Carter

Associate Director: Risk, Compliance, Financial Crime

Meet Kevin

Kevin Adam-Hein

Partner

Meet Connor

Connor Nurse

Head of US

Meet Darren

Darren Hogan

Team Leader, Ireland

Meet Anis

Anis Soomaroo

Senior Consultant

Meet Georgia

Georgia Mason

Recruitment Consultant

Meet Adrian

Adrian McCarthy

Senior Advisor

LATEST JOBS

Greater London, South East, England

Risk & Compliance Manager

Permanent

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.

Georgia Mason

Posted 1 day ago

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Dublin, County Dublin, Ireland

Senior Compliance Officer

Permanent€65000 - €80000 per annum

Senior Compliance OfficerInsuranceDublin - 3 days on-site75-90kGreat opportunity for someone with some leadership experience who is looking to join a strong team. You will play a key role in the continued development of the compliance framework within the business. You will mentor the junior team members while also having more senior members of the team who you can learn from to continue your own development.Your Role:Provide support to junior team membersSupport in the planning and execution of the annual compliance planProvide compliance reports to senior managementProvide compliance advice across the businessAbout You:5+ years compliance experienceExperience of working in the insurance industry in IrelandExperience managing/leading a small teamIdeally hold a professional qualification in complianceIf you would be interested to learn more, you can apply here or reach out to me directly!

Darren Hogan

Posted 2 days ago

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Greater London, South East, England

Head of Compliance Monitoring

Permanent£80000 - £100000 per annum

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

Matt Carter

Posted 3 days ago

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Newcastle upon Tyne, Tyne and Wear, North East, England

File Checker - Investments

Permanent

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

Matt Carter

Posted 3 days ago

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Central London, Greater London, South East, England

Head of Compliance

Permanent£110000 - £120000 per annum

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.

Georgia Mason

Posted 4 days ago

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United States

Compliance Contractor

Contract$50 - $75 per hour

Compliance Consultant – Consumer Credit Key ResponsibilitiesLead compliance testing and monitoring activities to evaluate the effectiveness of controls across lending, marketing, and servicing operations.Design, execute, and document compliance testing plans, including risk-based reviews, transaction testing, and validation of corrective actions.Conduct compliance risk assessments, incorporating testing results to refine risk ratings and control priorities.Interpret and apply consumer credit regulations (e.g., TILA, ECOA, FCRA, MLA, UDAAP, FDCPA, GLBA, and state lending/licensing requirements) in the context of testing and monitoring.Identify control gaps, draft findings, and partner with business units to develop and track remediation plans.Support regulatory examinations, internal audits, and independent reviews by preparing testing documentation and evidence of control effectiveness.Maintain compliance testing methodologies, policies, and procedures in alignment with industry best practices.Provide advisory support on new products and initiatives, ensuring compliance requirements are built into processes and tested appropriately.Track regulatory developments and adjust testing programs accordingly.Qualifications5+ years of compliance experience in consumer lending, fintech, or financial services, with a strong focus on compliance testing, monitoring, and control validation.Deep knowledge of federal consumer credit regulations and multi-state lending requirements.Proven ability to design and execute compliance testing programs and communicate results to senior stakeholders.Experience with Compliance Management Systems (CMS), testing frameworks, and regulatory reporting tools preferred.Strong analytical and problem-solving skills; ability to turn regulatory requirements into actionable test plans.Excellent communication and reporting skills, both written and verbal.JD, CRCM, or other compliance certification preferred but not required.

Connor Nurse

Posted 7 days ago

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Zürich, Switzerland

Senior Consultant - eDiscovery

Permanent

Senior Consultant – Digital Forensics & eDiscoveryJoin a leading consultancy supporting high-profile investigations and international discovery projects. You’ll work with advanced forensic tools and analytics to uncover insights, support cyber incident response, and partner with legal, audit, and regulatory teams on sensitive cases.What you’ll do:Analyse large structured & unstructured datasets using top eDiscovery toolsSupport IT investigations & cyber incident responseCollaborate with investigators, auditors, lawyers & regulatorsInnovate new approaches and mentor junior colleaguesWhat we’re looking for:3+ years’ hands-on experience in eDiscovery/digital forensicsStrong knowledge of Relativity, Nuix, SQL or similar toolsSolid IT infrastructure & security background + scripting/programming knowledgeFluent in English & German (other languages a plus)If you want to work on complex, international projects where no two cases are the same - we’d like to hear from you.

Anis Soomaroo

Posted 16 days ago

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Dublin, County Dublin, Ireland

Senior Compliance Officer Data Protection

Permanent€65000 - €80000 per annum

Senior Data Protection SpecialistInsuranceDublin - Hybrid WFH65-80kIf you're passionate about Data Protection and would like the opportunity to work with one of the world's biggest insurance groups then this could be an ideal role for you.You will support the Data Protection Manager in providing support & guidance to the business on all Data Protection matters and acting as the subject matter expert across the group.Your Day-to-Day:Providing Data Protection advice to the business on new products, marketing material etcSupport in managing the regulatory relationshipsReviewing of data protection policies & proceduresProvide data protection training across the groupAbout you:Previous experience in a Data Protection Compliance role within Financial Services - ideally insuranceProfessional Certificate in Compliance or other appropriate Data Protection QualificationAPA/CIP ideally

Darren Hogan

Posted 18 days ago

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