Graduate Opportunity - Compliance/ Assurance Officer

Brewster Pratap
£22k - £24k pa + Benefits
31 Oct 2017
16 Nov 2017
Contract Type
Full Time


The Brewster Pratap Recruitment Group are currently working alongside a prestigious Financial Services company to recruit a Graduate Compliance Officer.

Reporting to the Controls Assurance Manager you will provide hands on support for management to aid the development and verification of key controls. You will carry out effectiveness reviews of key controls across branch, central operations and key third parties and aid the development of exception reporting to ensure reviews are targeted and effective. You will work with management to help remediate any issues and follow up to ensure actions are completed.

Ideally located, my client are well located for candidates living in Doncaster, Sheffield, Rotherham, Wakefield, Pontefract and surrounding areas.


As Graduate Compliance/ Assurance Officer, duties will include:

  • Delivering a series of operational compliance and process reviews and provide remedial plans to management
  • Perform visits to branches to review adherence to key operational controls and provide training where required
  • Perform visits to key third parties to support the third party oversight programme
  • Following up of Business Assurance reviews with first line management to ensure necessary procedural and training changes are made as required
  • Tracking of audit actions from GIA, Risk, Compliance and Business Assurance reports
  • Working with management to help remediate any issues and follow up to ensure actions are completed


  • Recent graduate in a business/ management degree
  • Previous internal/compliance audit experience - preferably in a regulated environment
  • Good appreciation of operations with the ability to influence at all levels
  • Ability to challenge behaviours whilst influencing a positive outcome. Ability to engender trust and respect
  • Ability to identify trends within business areas as well as where appropriate identify and escalate related risks
  • Knowledge of the FCA principles, CONC and TCF preferable


  • Salary of £22,000 - £24,000 dependant on experience
  • Discretionary Annual Bonus
  • Generous Pension scheme
  • Life Insurance
  • Private Medical Insurance
  • 25 days annual leave + stats
  • Opportunity to buy up to five days annual leave

Brewster Pratap Recruitment Group focuses on the recruitment of talent in South Yorkshire, West Yorkshire, North Yorkshire, East Yorkshire, Lincolnshire and Nottinghamshire. If you are interested in discussing this job in more detail or any other aspect of recruitment and talent identification we would really like to hear from you. Please visit our website at ************************ for more information on Jobs or Recruitment.

This job was originally posted as