2021 Compliance Apprenticeship

An exciting opportunity has arisen for an Apprentice to join the Central Compliance division of one of the world’s largest independent financial advisory groups, here in the City of London.

The successful candidate is likely to be a recent school or college leaver who has an interest in beginning a career in Compliance, while studying for an approved compliance qualification with the International Compliance Association. Candidates will be trained on the job as well as being given periodic study leave in order to obtain the relevant qualification. The role requires someone who is engaged and adaptable, and can work in a fast-paced environment.

You will be supported by a mentor and formally report into the Head of Central Compliance and UK GA Compliance.

Role and Responsibilities

• Assisting with periodic monitoring and testing tasks.
• Updating internal policies and procedures.
• Assisting with reviewing and recording Outside Business Interests and Staff Dealing requests.
• Assisting with investigations and responding to regulatory requests.
• Investigating and logging breaches of internal policy.
• Co-ordinating training sessions to the Business.
• Helping to ensure Compliance registers and logs are kept up to date, for example, the Information Box log.
• Assisting front office staff with queries about policies, forms, or compliance documents.
• Assisting with compliance management information collation across the group.

Personal Characteristics

• Positive attitude with a passion to learn
• Excellent interpersonal skills and confidence to interact with all levels of seniority
• Ability to take the initiative on assigned tasks
• Attention to detail
• Good team player
• Excellent organisational and time-management skills with the ability to prioritise and work under some pressure to meet deadlines
• Discretion and respect for confidentiality

Experience, Skills and Competencies Required

The role requires you to demonstrate alignment to the Firm’s motto of harmony, integrity and industry, and will require you to show the following skills:

Planning and process management skills: 

• Ability to work to fixed deadlines with accuracy and attention to detail.
• Ability to prioritise and identify critical tasks across varied responsibilities.
• Ability to communicate with internal business and external clients.

Written and verbal skills: 

• Effective written and verbal communication skills conveying messages accurately, concisely and with integrity to both the business and external clients.
• Ability to understand complex issues, find solutions, and then communicate these effectively to inform business decision making and relationship management.

Numerical and analytical skills: 

• Ability to gather, monitor and analyse data and figures and report key information that will help inform business decisions.

IT skills: 

• Ability to work with computers and systems and to problem solve using technology. Some familiarity with Excel and PowerPoint would be a desirable but not essential