Compliance Officer Review

I work within the Monitoring, Surveillance and Controls team in compliance. I spend most of my time working within the Client Related Business Conduct Team that focus on the monitoring of Wealth Management. My day to day job varies all the time as we have a large amount of controls that need to be completed such as Anti- Bribery and Corruption, Suitability, Conflicts of Interests etc.

Yes I have developed a lot of skills. Firstly, I have improve my Excel skills as I use this software everyday and have been on a course to improve my skills. I now feel very comfortable working my way round Excel when I had rarely used it before starting. I have also improve my communication skills by presenting in front of large crowds multiple times.

As I work within a large team I am doing a variety of different controls. This keeps it very interesting and I am working on different projects/ controls most days. My team are very friendly and I have built good working relationships with them. I really enjoy my job and everyone at UBS is very friendly

My programme is very well structured as we have multiple training days to assist us with developing the vital skills for working in the banking industry. They also ensure we have a good work/life balance and are not constantly working and under pressure. However, they keep us busy enough to ensure we are always learning.

I receive a lot of support from my employer by having regular meetings with my line manager and regional head to ensure I am happy with the programme and my day to day work. They also support me with studying for my exams by allowing me time out of work to focus on studying.

We receive a lot of support from our training provider as we have regular catch-up meetings and they provide tutors and online portals to help us study towards passing our exams. The training provided assisted me a lot in passing my first exam so I think it was very useful.

The qualification links in very well with my day to day job and involves a lot of the regulation that I need to know about to complete my controls. It has also aided me as I now have a wider understanding of the whole bank which is useful when I work in different areas as I have a better understanding

Yes there are a lot of extra- curricular activities and we get regular emails discussing some of those activities. You can join networks of your choice and receive information about upcoming events they are running which you can take part in. However, I don't know a lot about if there are sport teams within the bank and that is a massive hobby of mine.

Yes

They are very welcoming and help you settle in to the working environment as most apprentices came straight from sixth form (like me). They also assist you in whatever you need and ensure that you are enjoying the work you are doing. It has been a great experience for me so far so I would definitely recommend.

I would say to read the range of different apprenticeships thoroughly and decide which would be best suited for you. UBS is huge and there are a variety of different roles which people may enjoy. I would also recommend working hard to get an apprenticeship at UBS as there are a lot of applicants and a fewer amount who get a job.