Apprentice Compliance Consultant COMPLIANCE & TRAINING SOLUTIONS (UK) LTD

This is an exciting opportunity to enter Financial Services to train and qualify to become a Compliance Consultant with an award winning Compliance Provider. The role will include giving basic advice to financial services organisations on the legal and regulatory rules they must follow - such as those about data security or preventing money laundering.

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Closing date: 04 Apr 2023

Apprenticeship summary

  • Annual wage


  • Working week

    Monday to Friday 9am – 5:30pm with an hour for lunch. (Friday will be a study day). Applicant will need to be flexible with these times, as when visiting client’s days may start earlier and finish later.

    Total hours per week: 37.5

  • Expected duration

    18 Months

  • Possible start date

    02 May 2023

  • Date posted

    26 Jan 2023

  • Apprenticeship level

    Level 3 (A level)

  • Reference number


  • Positions

    1 available

What will the apprentice be doing?

An apprentice compliance consultant specialising in providing compliance support to IFA’s.

As a compliance consultant, the position will involve:

  • Checking advice given by IFAs to clients
  • Answering client compliance queries
  • Reviewing and updating in house procedures
  • Reviewing Continuous Professional Development activity
  • Collating management information, annual audits

As an apprentice, you will be trained in all of the above and more, giving you first-hand experience of what a fun and fulfilling career can be.

As part of the apprenticeship, you will complete the Certificate in Fianancial Services and progress beyond this in the future to achieve your Diploma in Financial Advice.

As an apprentice, you will be required to work at various locations including our office in Colchester, at client offices where required and at home. 

What training will the apprentice take and what qualification will the apprentice get at the end?

As part of this apprenticeship, you will achieve:

  • Compliance/Risk Officer Level 3 Apprenticeship standard
  • CII Certificate in Financial Services (R01 Financial Services Regulation and Ethics & LP2 Financial Services Products and Solutions)

Programme overview:

  • Develop the knowledge, skills and behaviours of successful Compliance or Risk Officers
  • Free CII membership for non-members through the CII Aspire Apprenticeship Programme
  • Includes study book and exam entry for each CII exam
  • Includes the cost of the first CII exam sitting and EPA. Resit costs will be covered by the employer
  • Fortnightly workshops for each CII exam from our CII approved trainer
  • All workshops recorded and available on-demand
  • Interactive chat, forums and class note books for real time support and assistance from experienced financial services professionals
  • Additional resources through RM Advance
  • Regular tutorials and assessments from an experienced financial services professional

What is the expected career progression after this apprenticeship?

The aim is to complete the apprenticeship and at the end of this, the apprentice will be a qualified compliance consultant, able to service clients independently. Help will then be given to continue professional development.

Requirements and prospects

Desired skills and personal qualities

Communication skills, IT skills, Attention to detail, Customer care skills, Problem solving skills, Administrative skills, Analytical skills, Logical, Initiative, Time Management


GCSE or equivalent English (Grade C/4) Essential
GCSE or equivalent Maths (Grade C/4) Essential

About the employer

Award winning Compliance company providing support to Independent Financial Advisers (IFAs) and Wealth Planners throughout the UK.








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Training provider



Calvin Goodson

01603 577962

Apprenticeship standard

Compliance and risk officer

Level 3 (A level)

Before you apply

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