Financial Services Compliance Apprentice

Expiring today

Brown Shipley
Spinningfields, Manchester City Centre
29 May 2019
16 Jun 2019
Start Date

Want to start your career in a professional financial services company? We’re looking for an enthusiastic individual who’s keen to build a career within Compliance. You don’t need any experience however you should have some core skills of good communication, a strong eye for detail and effective time management.

What do our Compliance team do?

The Compliance Team support the business by making sure it is compliant with financial services regulation. Regulation evolves so the Team are key to supporting the Bank in identifying, understanding and implementing new regulation changes. We work with key areas of the business each year to give assurance that each area of the bank is working effectively to provide our clients with services and advice tailored to their individual needs and circumstances.

What you’ll get from us?

As well as a great benefits package, we’re looking to pay someone above average for the apprenticeship with a minimum starting salary of £9.90 per hour. You’ll start your journey towards gaining a nationally recognised professional qualification and gain an apprenticeship. There’s a few different routes you can take from a level 3 to a level 5, and we’re happy to discuss the options to help you find the right route for you. The apprenticeship will help you develop a solid foundation of regulatory knowledge and experience.

It’s an exciting time to join Brown Shipley as this year we are working towards developing our technology, and streamlining our processes to ensure we continue to provide quality services to our clients.

How to apply:

Please email your CV along with a covering letter that explains:

  • What attracts you to the opportunity to start a career within the Compliance Team?
  • When you are available to start full time work from


Please note any applications received without a covering letter will be declined automatically.

The role:

You will be based in Manchester where the majority of the Compliance team are situated but we also have a smaller presence in London, and you may be asked to travel between these offices to assist our colleagues in the South. Our Compliance team support all of our six offices across the UK and regularly work alongside our parent company, KBL in Luxembourg.

Some of the main activities of the role will be:

  • Assist in the execution of a risk-based Compliance Monitoring Programme
  • Assist with compliance reviews (desk-based) including thematic reviews, as part of the firm’s monitoring programme. Agree remedial actions to address any deficiencies and follow-up as necessary.
  • Assist in developing testing work programmes and recording the results of monitoring work undertaken. Ensure there is sufficient evidence to support compliance risk and control assessments and conclusions on the testing undertaken.
  • Assist in producing Compliance MI Reports, to ensure senior management are made aware of key issues.
  • Assist in the administration of the online Compliance learning module Assist in the recording of conflicts of interests to the Group Conflicts of Interest Tool.
  • Other duties will include including assisting team members in the recording of monitoring data, answering phone calls to the team and taking detailed notes of the call, recording Compliance meeting minutes, and organising meetings and travel for team members.

About you:

We are looking for an individual who displays enthusiasm, and a desire to learn new things but previous Compliance experience is not necessary given that this is an apprenticeship role, and all necessary training will be provided. You must have a professional attitude, and must be methodical in your approach to work, as many of the activities you perform will be reported to senior management. Accuracy is therefore key and you should have great attention to detail, and good time management skills as many of your responsibilities will be time sensitive.

You will:

  • Be comfortable and proficient in using MS office programs such as Excel and Word
  • Be eager to support the team and learn new activities
  • Be professional in your approach to work

Our package:

  • 25 days holiday plus option to purchase additional 5 days (all pro rata)
  • 4x base salary life assurance
  • Discretionary bonus
  • Training towards relevant professional qualifications
  • 6.5% employer contribution pension scheme if you contribute 1.5% (with option to match further)
  • 1 day p/a volunteering day
  • After probation:
    • Private medical insurance
    • Permanent health insurance
    • Healthcare cashplan
    • We also have a flexible benefits package where you can purchase benefits such as season ticket loans, cycle to work and critical illness cover.

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