Compliance Analyst Review

I work in the Monitoring, Surveillance & Controls team as a Compliance Analyst, a role which I started in December 2021 after working in Data Analytics since April 2018. My role involves executing various controls assessing the compliance to regulations and internal policies of the Wealth Management and Asset Management UK businesses.

Since starting the Degree Apprenticeship I have developed my skills in time management and communication as these play a large part in completing assignments on time and collaborating on group projects with the rest of my cohort. Additionally, I have started to proactively reflect on my career development and plan for the future due to the training provider's encouragement.

I have had a mostly positive experience with the program so far, the content is delivered in a way that is easy to understand and there is encouragement to provide feedback on the training provider regularly. This has enabled me to express concerns at times when we had had multiple deadlines close together in the first year, and there has been some evidence so far that this has been taken onboard.

The programme is relatively well-structured - we focus on one module at a time which helps to balance studying with work as it makes the content less overwhelming, particularly when it is a completely new topic to us. We have regular meetings set up with both UBS and Exeter to express any concerns, which has been particularly useful when working from home.

I would say the support from UBS has been very good so far. We have dedicated sessions with HR to discuss the programme and know who the key contacts are if we have any issues. I have received prompt and helpful responses when raising issues directly with these contacts outside of the scheduled calls, who also let me know that my concerns were fed back to Exeter.

We have 'tripartite' meetings with out training providers in addition to weekly webinars to go through the content of the programme. The tripartite meetings allow us to raise any concerns directly without going through HR and discuss our progress on the course itself. Our line managers are also invited to these calls to raise any concerns themselves.

My qualification has expanded my knowledge of financial services and risk, which has provided industry context when completing controls in my role, helping me to better identify risks. In addition to the core finance content, we have also had some sessions on other skills such as communication, which I have been able to apply day-to-day.

There are plenty of extra-curricular activities at UBS, including employee 'networks' of employees with shared interests who host events during work hours, for example, the mental health network and the cultural awareness network. There is also an apprenticeship committee who organise social and charity events specifically directed at UBS apprentices.

Yes

UBS has a big focus on junior talent, making it a great company to start your career with without necessarily needing a degree when you apply. I have been able to learn whilst working with enthusiasm from senior colleagues about my progress and was provided opportunities to take responsibility for interesting projects very early on in my time here.

If you are starting as an apprentice, do not worry if you have no previous experience. From my experience, you are not expected to already know everything but mostly to have a willingness to learn and if you decide that your first role is not the career path you would like to take, there are plenty of internal mobility events and opportunities to help you find the right one.