Compliance Apprenticd Review

My role is a Compliance Apprentice. This involves carrying out work within Compliance Monitoring and within Compliance Advisory. Compliance Monitoring consists of carrying out fieldwork and producing reviews based off the finding on the firms adherence to the regulations and highlighting any failing to the Business. Compliance Advisory consists of acting as a regulatory touch-point for the Business and providing advice and guidance on regulatory topics within projects of BAU work. I have number of daily interactions for example managers in the business, team leaders, project leads and other staff members as well as my own team. My responsibilities consist of managing my own calendar, attending a variety of meetings, providing Compliance sign-off on certain pieces of work, liaising with the Business etc.

I have gained by NVQ in providing financial services, my industry exam called the Investment Operations Certificate and been on numerous Business courses. I have developed my regulatory knowledge and also my personal skills for example people skills, professional skills, management skills etc. I have also leant what areas of the business I enjoy, particular oversight functions but also my knowledge of the industry has significantly increased.

I really enjoy my programme because everyday there is something new to learn and I have developed so many new skills. my area has opened a lot of doors up for my career and have had some great opportunities presented to me. There is also a wide variety of exams available to me in my function. My team are extremely helpful and supportive, I have been very lucky with my colleagues. Both my mentors have gone above and beyond to help develop me which I appreciate. The company culture is outstanding. everyone wants to help and do what they can to assist.

I feel very valued by FIL - here you are a person not a number. My manager is very appreciative of me and treats me well respecting that I am an apprentice and need extra support from time to time. I am also supported and recognised by other n the business for example HR. people that I have worked in projects support me and have feedback about my work which shows that people are very thankful for your input.

my induction was well structured and we were given a day to learn about the industry to give us some grounding before going into our teams. I have been on training courses for my exam which were very beneficial. they gave me a good support and basis for my revision for me exams. I have been supported all the way throughout my time at FIL. my team have been a huge support for me rom day to day help, to support in meetings. I believe my programme has been very well organised, although I think secondments should be planned further in advance to save a last minute rush.

my training provider has been okay but could be far more supportive. I was not given much support with my NVQ work and this was really hard for me as the course syllabus did not fi to my job role therefore it took lots of planning and thought to get me to pass the units. my training provider was not very hands on and left me to my own devices only checking in when he came to meet me. he did give much away in terms of setting expectation therefore I was left to figure out my work myself. I was not supported with my exams either.

I am supported and recognised by others in the business for example HR and people that I have worked in projects support me and have feedback about my work which shows that people are very thankful for your input. My manager is very supportive and always recognises that I need extra support. they have been very flexible with my learning and always supported my exams.

I have low living costs however I do spend a lot on petrol and other daily costs therefore my salary meets my costs but each month I am tight for money and find myself worrying most months with bills etc.

yes - I have been involved in a wide variety of projects. Its key to put yourself out there and network to develop yourself and your career. There is a good social atmosphere here at FIL with plenty to get involved in. everyone enjoys having lunch together and getting out the office at lunches. its very social.

Yes

FIL is a very reputable company that aims to look after its staff. They help you develop and grow in line with your desired career goals. the company culture and ethic is second to none. there are plenty of great opportunities here and everyone wants to help you succeed. the people are very supportive and it makes for a great place to work.

I would say make sure it hat you wan to do. you need to be prepared and ready for the interview so you make yourself stand out but it is key to be yourself and be honest... if you don't know something then be honest because no one is expecting you to know everything. I would also suggest that you put yourself out there and try hard but do not become arrogant. Your starting at the bottom and have to work your way up which will take a lot of hard work but it is worth it.