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Junior Risk and Compliance Analyst Apprenticeship
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Looking to build a long-term career in Compliance? Look no further! Kick-start your career today with a Level 3 Apprenticeship at Price Value Partners Ltd in partnership with Kaplan. Gain valuable hands-on workplace experience while working towards a recognised qualification.
About the Role
Most of your apprenticeship is spent working. You’ll learn on the job by getting hands-on experience.
The apprentice will report into the heads of risk, compliance, and administration. There are daily, weekly, monthly, and quarterly tasks that the candidate will be solely responsible for. The firm carries out annual compliance and operational audits, and the role of the apprentice is to ensure that any breaches in the risk and compliance framework are responded to immediately and necessary procedures are put into place to ensure the breaches don't reoccur. With any downtime, the candidate will be encouraged to assist the investment committee in their tasks.
Apprenticeships include time away from working for specialist training. You’ll study to gain professional knowledge and skills.
Course Contents
- Implement legal and regulatory framework requirements.
- Deliver risk and compliance services to stakeholders using organisational systems and processes.
- Plan and organise workloads to meet individual and team performance targets.
- Identify ways to reduce and mitigate incidents of non-compliance.
- Escalate compliance and risk issues where appropriate in line with organisational procedures.
- Manage records in order to meet audit requirements of the organisation.
- Produce evidence-based reports and management information for stakeholders considering visualisation techniques when presenting data.
- Select and use communication methods applicable to the audience and circumstances, for example, presentations, phone, face to face, email, virtual meetings.
- Communicate about products with customers, colleagues or stakeholders in different styles, for example visually, verbally, written, using e-comms.
- Build and maintain working relationships.
- Identify own training needs and seek feedback to improve performance and service delivered.
- Apply continuous improvement techniques when delivering improved compliance outcomes and mitigating risks.
- Record information electronically and make use of available technology, for example Management Information Systems (MIS), spreadsheets, presentation software, word processing, email, virtual communication.
- Handle data safely and securely and share information in compliance with data protection legislation and organisational policy.
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Benefits
Risk and compliance is a key department in any business. This apprenticeship is designed to give individuals in your organisation the knowledge they need to fully understand the implications in their team, organisation, and industry. Ideal for those working within a, usually FCA, regulated environment, who are in the early stages of their career for spotting risk and compliance issues. It is particularly beneficial for those individuals who need to understand frameworks, policies, and procedures to ensure your business runs effectively. Apprentices will also achieve a qualification from the International Compliance Association (ICA).
Apprentices will choose from the following Mandatory ICA qualification options:
- International Advanced Certificate in Anti Money Laundering
- Advanced Certificate in Managing Fraud
- International Advanced Certificate in Regulatory Compliance
Also included in the apprenticeship:
- ICA Public Workshops
- Optional Microsoft Specialist Skills
- Application of skills
- Development Sessions
- Portfolio of Evidence
- Professional Discussion
- Interview
For each module, learners benefit from attending small, scheduled online classes taught by a subject matter specialist. Each apprentice will also have access to online materials which they will be directed to use.
Requirements
An apprenticeship has to be relevant to the job you are undertaking and you must dedicate 20% of your time towards it.
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GCSE in:
- English (grade 9/A* - 4/C)
- Maths (grade 9/A* - 4/C)
A Level in:
- Any (grade A-C)
Share if you have other relevant qualifications and industry experience. The apprenticeship can be adjusted to reflect what you already know.
About Us
We are a small, independently minded firm. We expect all employees to be respectful of each other but we expect the environment to be one of open communication. Employees are expected to be comfortable with all manner of discussions and be able to respectfully challenge others' points of view. We do not tolerate any level of dishonesty or disrespect. We are old school in that our clients are to be treated with utmost respect and employees are encouraged to pass along clients to another team member if they believe they are unable, for whatever reason, to maintain a cordial and respectful relationship with clients. With service providers, we expect employees to be cordial but forceful with the requirements of our firm above all other external counterparties. This is especially relevant when representing our clients. We also value camaraderie and a good working environment. All employees are expected to bring positive energy into the office. The firm does not tolerate a negative work environment and the directors have and will ensure that changes are made to return the environment to its optimal setting.
Disability Confident
A fair proportion of interviews for this apprenticeship will be offered to applicants with a disability or long-term health condition. This includes non-visible disabilities and conditions.
You can choose to be considered for an interview under the Disability Confident scheme. You’ll need to meet the essential requirements to be considered for an interview.
Earnings
Your earnings can increase over time with an apprenticeship.
After three years the candidate would then become a member of the investment committee and along with the existing four members.
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