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Trainee Compliance Officer

Closing 15th October 2021
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£18,500 per annum
Contract type

Job Description

The Role

This role is most definitely suited to someone who has a forensic eye for detail, happy to break the mould, and above all else willing to get stuck in! You will undertake on the job training as well as studying for your CII Level 4 Diploma in Regulated Financial Planning over a two year period so you must be someone who's committed to investing yourself.

By the time you complete your probation, you'll be (well on your way to becoming!) an expert in financial regulation and the rules and guidance that advisers need to follow to ensure their business, and its practices, are meeting industry guidelines. You will get involved with carrying out client file reviews, providing constructive feedback and ensuring that these responses are accurately recorded and tracked accordingly on the Apricity system.

As your role develops over the two years, you will have a good understanding of your role, and ideally will be getting involved in assisting clients with technical queries, helping provide content / resources for the system and providing our clients with a comprehensive compliance service. We will expect you to keep up to date with changes to regulation and help implement ways to keep our clients up to date with changes and provide them with relevant training resources.

The Qualifications

Your initial qualifications will be under the CII (Chartered Insurance Institute)

We’d expect you at the end of the two years to achieve the Diploma in Regulated Financial Planning (6 exams)

RO1 - Financial services regulation and ethics RO2 - Investment principles and Risk RO3 - Personal Taxation RO4 - Pensions and retirement planning RO5 - Financial Protection RO6 - Financial Planning Practice

Once you’ve got these, you can then explore a whole host of different qualifications with the CII or other examining bodies - even going as far as becoming a fully qualified Chartered Financial Planner of which we will happily pick up the bill for, in addition to your salary, meaning the costs aren’t a barrier to unleashing your full potential.

The Perks

We won’t lie, we’re firm advocates of the phrase 'work hard, play hard’ and that we do. Yes, there will definitely be times of hard work (so it’s not for the faint-hearted), but we do reward such hard work for those who truly live and breathe the company values. So when the week’s done, we clock off early every Friday and kick back with a cheeky beer or wine.

A personal tiered salary structure - based on your own role, qualifications and experience. 21 days holiday as standard - plus additional Bank Holidays, Christmas close down and your birthday off each year (because no one should ever have to work on their birthday!). Personal Development budget - to cover all your training, learning and development costs so you won’t be forking out for your own exam fees. Access to the company Pension Scheme - because we practise what we preach. Death in Service Cover - a bit morbid we know, but a nice bit of security nonetheless.

And if that’s not enough…

Access to our Health & Wellbeing programme - office yoga, step challenges and outdoor assault courses (Tough Mudder style) being amongst the most popular past-times. Constant flow of office snacks - because it’s important to keep the energy levels up. Company nights out - and a fair few of them, we’re a social bunch! Casual dress code - like we’ve said, no stuffy suits. We much prefer our Superhero capes. Staff bar 'The Tunstall Arms’ with an early finish on a Friday - we’re usually thirsty by the end of the week so the wine / beer fridge is always well stocked and chilled.

What they are looking for

Preferred education

Ok, so first things first, your degree subject isn’t the most important thing to us because we believe pretty much all skills are transferable – industry knowledge can be taught but the right attitude can’t. Yes, an industry related degree would be advantageous, but all we ask is that you have a real interest in financial services and that you have achieved at least a 2:2.

However, our graduate scheme is currently open to non-graduates too (the name suggests otherwise I know!). We know that Covid-19 has played havoc with many career plans and so, we don't want to exclude those who didn't take the uni-route after they left education.

Additional details



Contract type


Job type

Graduate job

About The Grad Scheme

You can find out more about The Grad Scheme here

How to apply

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