GENERAL ENQUIRIES

Broadgate are excited to be partnering with an International Bank who are looking for a VP Credit Risk to join during a period of growth:Key ResponsibilitiesPortfolio ManagementActively manage a designated portfolio of corporate clients.Conduct due diligence and periodic credit reviews to assess risk exposure.Analyze credit risk, determine accurate risk ratings, and provide timely recommendations to management.Prepare detailed credit analyses and applications in line with internal policies and regulatory requirements, evaluating industry, business, legal, and financial risks.Independently coordinate and communicate key account information across various bank divisions, including business lines, product groups, and credit teams.Maintain direct engagement with assigned customers to monitor financial performance and risk profile.Deal Structuring & SupportCollaborate with business lines and product groups to evaluate potential transactions.Identify structural risks and recommend risk mitigants for new deals.Advise account officers on credit risk issues, terms, and conditions to structure optimal transactions that maximize returns while minimizing credit costs.Independently liaise with credit division stakeholders, ensuring all relevant financial and risk analyses are provided with minimal oversight.Policy & ComplianceEnsure adherence to internal credit policies, procedures, and external regulatory requirements.Contribute to ad-hoc policy discussions aimed at enhancing the organization’s credit risk framework.Mentorship & DevelopmentProvide training and guidance to junior analysts, supporting their professional growth and technical skill development.Lead junior analysts through complex credit assessments and underwriting processes.Foster a collaborative environment to enhance analytical capabilities across the team.Qualifications & Experience7–10 years of experience in financial institutions, with a focus on corporate credit risk analysis.3–5 years of industry-specific experience in Technology, Healthcare, or Consumer Retail, particularly with large and mid-sized corporates.Strong expertise in corporate credit analysis, risk management, and financial modeling.At least 2 years of experience analyzing investment banking products, including asset-based lending (securitization, leasing), trade finance, and structured finance risks.Proven experience underwriting M&A transactions, including merger analysis and valuation.Deep understanding of loan documentation, corporate finance structuring, and risk assessment.Experience interacting with regulators and addressing regulatory compliance findings.Strong organizational and time-management skills.

Broadgate are excited to be partnering with a leading International Bank looking for a Credit Officer to join in New YorkRole OverviewWe are seeking an experienced Credit Officer to manage the Energy portfolio (Oil & Gas, Power) with a strong focus on risk assessment, portfolio management, and deal structuring. This role requires close collaboration with business lines, product groups, and credit divisions to ensure prudent risk management while supporting business growth.Key ResponsibilitiesPortfolio ManagementActively manage a designated portfolio of corporate clients within the Energy sector.Assess credit risk, assign accurate ratings, and recommend timely updates to management.Conduct detailed credit analysis and prepare credit applications aligned with internal policies and regulatory requirements.Collaborate with business teams to balance portfolio growth with sound risk management.Independently communicate critical account updates to internal stakeholders.Perform due diligence and regular portfolio reviews to ensure compliance with external regulations and internal policies.Mentor and support junior team members in credit risk analysis.Deal Structuring & SupportWork with business lines to identify and evaluate new transactions.Assess structural risks and recommend mitigants to optimize deal structures and covenants.Advise account officers on credit risk issues and negotiation strategies to maximize profitability while minimizing risk.Independently communicate with credit divisions, providing comprehensive analysis to support decision-making.Preferred Qualifications5+ years of experience in credit and/or portfolio management within the Energy sector at a financial institution.Strong expertise in corporate credit analysis, risk assessment, and underwriting leveraged loans.Advanced financial modeling skills to assess repayment capacity.Deep understanding of loan documentation and structural risks in corporate finance.Familiarity with regulatory requirements in Japan (FSA, BOJ) and the U.S. (FRB, FDIC).

Broadgate is partnered with a well-known Bank recruiting for a Senior Auditor to join their Commodity and Treasury trading team.Responsibilities include:Support the engagement team with the planning, execution and completion of audit tasks within group and local auditsTreasury and commodity trading activities for clients in different industries　Involvement in consulting projects, covering operating model, business processes and choice and use of treasury and trading technologyRequirements: Bachelor, master's degree or diploma in economics, and you are in the process or planning to accomplish an audit degree (like Swiss CPA)5 to 7 years auditing experience and practice in using IFRS and or US GAAPFluent in English, any other language (specifically German) is beneficialIf your expertise are aligned with this role and you believe you would add value, please submit your application today!

Financial Crime OfficerLondon - £80,000-85,000Reporting directly to the MLRO, this is an excellent Senior opportunity to take on a demanding and all-encompassing specialist position within the field of Financial Crime. You would be acting as a Subject Matter Expert on financial crime compliance issues of day-to-day activitiesThe business is a household name both in the UK and overseas, sitting within the sectors of Private Banking & Asset Management.This could be a great fit for you, if you possess a versatile suite of specialisms - including but not limited to AML/KYC, CDD, Market Abuse, Fraud Prevention & Transaction Monitoring.The RolePartner with Senior Stakeholders in the business to ensure compliance risks are managed across the businessSupport production and sustainment of Financial Crime Policy & ProcedureAreas of daily responsibility include: Oversight of AML & other 1LOD activities, Review of SARs, Fraud activityWe are looking for2nd Line experience (vital)Previous roles should include working within Private Banking and/or Asset ManagementSME knowledge of Financial Crime on a wide scaleExcellent soft skills

Credit Risk Manager – Industrials PortfolioAre you a skilled credit professional looking for your next opportunity? A leading financial organization is seeking a Credit Risk Manager based in New York to manage a diverse portfolio across multiple industrial sectors, including aerospace, automotive, chemicals, and more. This is your chance to work with key stakeholders to analyze risks, make strategic recommendations, and contribute to the long-term growth and financial health of the portfolio.Key ResponsibilitiesTake ownership of a designated portfolio within the industrial sector, performing detailed credit analysis and providing actionable recommendations based on your risk assessments.Evaluate the financial, legal, and industry-related risks of clients, delivering critical insights to senior management for informed decision-making.Work closely with various business units to ensure best practices in risk management, fostering portfolio growth while maintaining compliance with internal and external regulations.Conduct periodic reviews and ensure the portfolio is in full compliance with both internal policies and regulatory requirements.Identify prospective transactions, assess structural risks, and offer advice on deal terms to enhance profitability and minimize credit costs.Support the development of junior team members, providing guidance in credit risk management processes.Preferred QualificationsAt least 5 years in credit or portfolio management, preferably within industrial subsectors such as aerospace, automotive, chemicals, etc.Strong background in corporate credit analysis, financial modeling, and understanding loan documentation and credit structures.Familiarity with risk management, regulatory requirements, and underwriting practices within corporate finance.Ability to work independently and guide junior analysts in complex credit risk assessments.Compensation & BenefitsSalary range from $150K - $180K, based on experience and location.Eligibility for performance-based bonuses and other incentives.Health and wellness programs, retirement plans, paid leave, and educational support.This is an exciting opportunity to join an innovative financial organization that is committed to creating growth opportunities for its team members. You’ll have the chance to work in a collaborative environment where your contributions truly make an impact. This role involves spending four days a week at the office or client sites in New York, with one remote workday.

Vice President, Business Continuity and Operational Resilience ManagementOur client is seeking an experienced and strategic Vice President of Business Continuity and Operational Resilience Management to lead the development and implementation of enterprise-wide programs that ensure the continuity and resilience of critical operations. This senior leadership role will be responsible for aligning business continuity efforts with regulatory standards, minimizing operational disruptions, and safeguarding both financial and reputational stability.Key Responsibilities:Lead the creation, implementation, and maintenance of business continuity and operational resilience frameworks in alignment with industry best practices and regulatory guidelines. Ensure adherence to governance structures, policies, and compliance requirements.Oversee the development of business continuity plans (BCPs) and disaster recovery plans (DRPs) for critical business operations. Lead business impact analyses (BIA) and work closely with technology teams to ensure IT resilience aligns with business needs.Design and conduct operational resilience testing, including scenario-based exercises. Lead crisis management protocols to ensure rapid, effective response to any business disruption or operational crisis.Implement a comprehensive monitoring and assurance program to assess the effectiveness of business continuity and resilience controls. Ensure compliance with regulatory requirements, including supporting internal audits and regulatory examinations.Cultivate strong relationships with key internal and cross-border stakeholders to ensure resilience principles are embedded within everyday operations. Provide regular updates to senior leadership on resilience capabilities and outcomes.Qualifications & Experience:Bachelor’s or Master’s degree in Business, Risk Management, Finance, or a related field.10+ years of experience in business continuity, operational resilience, or risk management within the financial services sector.Expertise in regulatory frameworks such as OSFI E-21, Basel, FFIEC, NIST, and ISO 22301.Proven leadership experience in managing enterprise-wide resilience programs and cross-functional teams.Strong knowledge of technology resilience, cyber risk management, and third-party risk management.Experience in conducting business impact analyses, testing, and crisis management.Excellent communication skills with a demonstrated ability to engage with senior executives and stakeholders.Competencies & Skills:Strategic thinking with the ability to align resilience strategies with broader business goals and regulatory requirements.Strong analytical skills to assess risks and dependencies across business functions.Leadership and influence in driving organizational change and fostering a culture of operational resilience.In-depth understanding of regulatory compliance and operational resilience best practices.If you are a seasoned leader with expertise in business continuity and operational resilience and are looking for an opportunity to have a significant impact, we encourage you to apply for this exciting role. Join a dynamic organization in Toronto and play a pivotal role in ensuring the stability and resilience of its operations.

Are you an experienced Risk Manager with a passion for strategic decision-making and tackling complex challenges? We are looking for a Senior Enterprise Risk Manager to join our dynamic team and support the Chief Risk Officer (CRO) in managing and optimizing risks across the organization. This is a key leadership role that combines analytics, strategy, and cross-functional collaboration to ensure robust risk management processes and alignment with global regulatory standards.Key Responsibilities:Lead the development, implementation, and monitoring of the Enterprise Risk Management Framework to manage enterprise risks effectively.Identify, assess, and report on key risks across the organization, providing senior management with actionable insights and recommendations.Contribute to corporate strategy, including risk appetite, stress testing, and scenario analysis programs.Ensure compliance with relevant regulations and the adoption of global risk management policies, frameworks, and standards.Develop and maintain key risk indicators, limits, and reporting tools to ensure the organization remains within its risk appetite.Liaise with local regulators and industry groups, including OSFI and CBA, and assist in the execution of regulatory and internal initiatives.What We’re Looking For:7-10 years of experience in risk management or commercial banking, preferably within financial services or professional services.Strong knowledge of credit, market, liquidity, operational, and other key risks in financial institutions.Experience in risk governance, strategy formulation, and regulatory compliance.Excellent analytical skills and the ability to interpret complex data and communicate findings effectively.Ability to lead cross-functional teams and collaborate across departments to achieve common goals.Strong proficiency in Microsoft Office (especially Excel), with additional experience in Power BI, Tableau, or Visio being an asset.Professional designations (FRM, CPA, CIA, CFA) are preferred.Why This Role?This is a hybrid position with the opportunity to work in a global environment while maintaining a strong local presence. The role offers a competitive salary, bonus potential, and comprehensive benefits. You will have the chance to collaborate with a talented team and play a pivotal role in shaping the organization’s risk management strategy.

Compliance Officer Location: Rochester, Kent – Hybrid (3 days in office after probation)Reporting into - Compliance Manager Role Overview:Working with both the Compliance Manager and Complaints Specialist, the Compliance Officer will provide regulatory support and guidance to the business to ensure regulatory obligations are met. The role focuses on fostering a compliant culture, client outcome focus, and compliance with regulatory requirements, including data protection, breach management, financial crime investigation, and regulatory reporting. Key Responsibilities:Data Protection: Process Data Subject Access Requests (DSARs).Breach Management: Log, investigate, and analyse breaches.Horizon Scanning: Monitor and report on regulatory changes.Financial Promotions: Review marketing materials for compliance.Regulatory Reporting: Assist with regulatory requests.Policies: Create and review internal policies.Management Information: Gather data to demonstrate regulatory adherence.Thematic Reviews: Support thematic reviews as needed.Complaints Support: Log complaints and prepare files for the Ombudsman.Skills & Knowledge:Must Have:2+ years' compliance experience Preferably worked in wealth management/financial planningStrong knowledge of FCA regulations and handbook (eg. COBS, SMCR, code of conduct etc)Understanding of consumer dutyDesirable:Experience in pensions or thematic reviews.ICA or similar compliance qualifications.Level 4 Diploma in Financial Planning.