Henderson Investment Management Limited

Compliance Apprentice - Advanced (Level 3)

Henderson Investment Management Limited (Employer)

Fitch Learning Ltd (Training Provider)

Annual wage £22,000.00
35.0 hours per week Monday - Friday, 09:00 - 17:00hrs.
18 months (duration)
20 September 2021(start date)
Compliance / risk officer (apprenticeship standard)
2 July 2021 (application closing date)
Register interest

Job Description

The Risk and Compliance function comprises Financial Risk, Operational Risk, Business Continuity and Resilience and Compliance. It forms the second line of defence in the firm’s global risk management framework and aims to champion a culture of risk and compliance throughout the organisation.


Duties and responsibilities:

You will:

  • Perform compliance testing – verifying processes are completed in the manner stated in policies, checking that non-complex regulations are adhered to – under the supervision of the Assistant Manager/ Manager
  • Track and validate the completion of agreed upon management actions
  • Escalate issues to the Manager and Head of Regulatory Risk Assessment and Review
  • Collaborate with individuals within the wider Risk and Compliance department and other control functions
  • Gain a CISI Level 3 Risk and Compliance professional qualification
  • Carry out additional duties as assigned

Future Prospects

Ongoing competence in the role to be assessed, in line with applicable regulatory requirements, by:

  • Annual performance appraisal

Skills Required

  • Good IT skills, including PowerPoint, Excel and Word
  • Good planning and organisational skills
  • Ability to communicate effectively

Qualities Required

  • Intellectual curiosity and aspiration to learn and develop
  • Ability to work cohesively in a team

Qualifications Required

At least 5 GCSEs at Grade C (4) or above (or equivalent) including English and maths.

Training Provided

Level 3 Compliance/Risk Officer Apprenticeship Standard, which includes:

  • CISI Technical unit (RFS or GFO)
  • Level 2 Functional Skills maths (if required)
  • Level 2 Functional Skills English (if required)
Register interest


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