Compliance and Risk Apprentice

The main duties for the Trainee Compliance Administrator apprentice are to learn and assist the Compliance team with the following:

• Day-to-day compliance monitoring and data input to produce Key Performance Indicators


• Ensure that policies, procedures and standards are implemented within the office; assist in the delivery of training as required


• Develop and maintain strong relationships with all employees and provide appropriate advice on compliance matters; refer issues to line management


• Monitor changes to U.K. legislation and rules affecting the firm's business and advise management and staff of the implications of these changes


• Recommend improvements where appropriate and ensure that compliance manual and policies and procedures are kept up-to-date in light of developing legislation


• Coordinate and participate in any regulatory examinations as needed


• Assist and undertake compliance monitoring, audits and risk assessments


• Assist the Compliance Team in maintaining Compliance policies and procedures


• Assist in Compliance training for new starters, starter packs HR documentation


• Maintain records of all compliance record keeping


• Assist in the preparation of regulatory reporting returns within set timeframes


• Assist in preparation of the risk monitoring reports