Compliance & Risk Officer Apprentice Review

Market Monitoring of London Stock Exchange FTSE/Premium Listings, AIM, Depository Receipts, Standard Listings. Delayed and Unlawful disclosure of Inside information, Market Abuse and Manipulation. Prospectus and Circular Content and Perimeter, Multilateral Trading Facility, PDMR Notifications, Voteholder and Major Holdings Notifications, Thematic Review Work.

Equity Capital Markets, IPO, Bloomberg Terminal, Trading on London Stock Exchange, Primary Markets.

Team is amazing, My Boss is amazing, Work is amazing, Training opportunities inside the organisation are amazing, the Organisation itself is Amazing, The experience with the Trading Provider is terrible, prepare for useless tasks no one really needs. By and large you and your line manager are left alone to plan and develop your 20% off the job training. I do not believe services provided by the Training provider are of the good quality and provide a reasonable value for money.

You and your line manager are left on your own to plan your 20% off the job training.

FCA Academy is good, Management is good, but nor me nor my manager know whether I would be offered a permanent position in the team after the apprenticeship.

See Above

The qualification is not applicable to our work at all. I work in market oversight and I had to do a compliance qualification, which has absolutely nothing to do with my duties, I work with Capital Markets and do not encounter compliance officers from firms at all. FCA employs the vast majority of apprentices as compliance and risk apprentices, but non of us (except of some functions in supervision) do compliance. Some of us are Intelligence Officers, Policy-Thematic Review writers, forensic investigators, etc. [This section of the comment has been removed by a member of the RateMyApprenticeship Team because it did not meet our site terms and conditions]

FCA offers many social activities, I signed up for Chess Club, Martial Arts, Yacht Club. We also have tennis club, golf tournaments. With my team we went to the escape room, pub quiz and many more.

Yes

In a regulator, every day is different I get the praise & recognition. My team are amazing people. But sometime just like in real life you may encounter unpleasant employees, bureaucracy/paperwork and dysfunctional processes

Understand the macro scope of the functions carried by FCA, its statutory duties, how FCA differs from other regulators or from other companies in the financial sector, conflict of interest. And remember there will be always another regulator, try Bank of England, HM Treasury, FRC, PRA and etc, never put all the eggs in one basket