Register Your Interest - Compliance & Risk Apprenticeship - Level 3

Compliance & Risk Apprenticeship - Level 3

This is a fantastic opportunity for an ambitious and motivated individual to gain hands-on experience whilst working towards a professional qualification.

Job Description

Placements for this role are likely to be in teams such as:

• Wholesale Banks
• Enquiries Team
• Payments Team
• Market Surveillance Team
• Whistleblowing Team

Key responsibilities:

• Taking part in meetings with firms' senior executives. Contributing to meeting preparation and accurately recording what was discussed
• Supporting the team and department with case administration, including, setting up cases on the FCA system, completing a check before allocating to a member of the team and saving documents onto the system
• Critically analyse the processes to develop resource saving while maintaining the integrity of the system
• Assisting in the preparation for external communications strategy, including researching regions, trade bodies and particular finance service issues
• Reviewing information provided by firms and other external sources to draw out and present key information
• Challenging existing procedures/ways of working, identifying improvements to increase efficiency and effectiveness of business process
• Completing initial assessments of less complex cases and supporting the case officer for parts of the process throughout their assessment
• Working collaboratively with the team, pro-actively escalating issues and supporting where appropriate

About FCA

Financial markets need to be honest, fair and effective so that consumers get a fair deal.

We aim to make markets work well – for individuals, for business, large and small, and for the economy as a whole.

We do this by regulating the conduct of nearly 60,000 businesses. We are the prudential supervisor for 49,000 firms and we set specific standards for 19,000 firms.

We are responsible for regulating a sector which plays a critical role in the lives of everyone in the UK and without which the modern economy could not function. From children’s ISAs to pensions, direct debits to credit cards, loans to investments – how well financial markets work has a fundamental impact on us all.