Compliance and Risk Officer Apprentice with Financial Reporting Council

Duration of Apprenticeship:

 15 months

Job Description:

The role involves:

Documenting the design of audit firms’ processes and controls, including benchmarking against their peers to promote continuous improvement and identify good practice.

· Performing compliance testing on the operation of key policies and controls e.g. sample testing. This will include reviewing of confidential information and summarising the fact pattern of ethical scenarios.

· Contributing to the team’s conversation about the significance of the findings and learning to identify key findings.

· Assisting with the reporting of findings, both orally and in writing.

· Helping prepare the assessment of the firm’s self - reported breaches.

· Building constructive relationships with the firms’ Ethics functions and the wider FRC teams, including helping prepare for key meetings.

· Supporting both internal and external Ethics and Independence training events/meetings.

· Working towards qualification in compliance.

Training Provided:

 As a Compliance/ Risk Officer Apprentice you will undertake the Compliance/ Risk Officer Level 3 Advanced Apprenticeship. Completion of the apprenticeship will result in the awarding of the ICA Certificate in Anti-Money Laundering, Compliance, or Financial Crime Prevention.

Qualification Requirements:

 3 A Levels (or equivalent) and/or degree qualification. Grade 5 and above in Maths and English GCSE.

 Personal Qualities & Skills:

• Strong written and oral communication & interpersonal skills.
• Experience of working in teams
• Resilience and ability to adapt to new challenges.
• Excellent attention to detail and diligent
• Effective project and time management skills
• Enthusiasm and commitment to complete tasks allocated.
• Respect for confidential information, including information security.
• Critical thinking skills sufficient to offer conclusions on ethical scenarios which are balanced and fair, with reference to both the exact nature of the scenario and principles-based regulations.
• Desirable: knowledge of ethics in audit, accountancy, law or another sector. Broad understanding of the how large multi-disciplinary audit firms are structured and managed.