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Graduate Compliance Assistant

  • Type Job
  • Degree Bachelor
  • Location Cirencester, United KingdomCirencesterGBGloucestershireGL7
  • Posted
  • Start date
  • Deadline -
  • FULL_TIMEManagementFinance & banking

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St. James’s Place Wealth Management plc – Specialist Graduate Programme

Team/Role: Graduate Compliance Assistant

Location:  Cirencester, Gloucestershire

Salary: £28,000, plus excellent benefits and fully funded qualification

Start Date: 23 September 2019

Selection Process: Application form / CV | Verbal and Logic Test | Telephone Interview | Assessment Centre – July 2019

Are you looking to step into a career with a progressive and highly respected wealth management company? 

At St. James’s Place, we have an exciting opportunity for a number of graduates with ambition and a genuine interest in progressing to management level within a wealth management business.

St. James’s Place Wealth Management plc is a leading, and highly regarded, FTSE 100 UK company.  We distribute a range of investment and retirement products and financial solutions to individuals, businesses and trustees through our dedicated network of advisers – the Partnership. Our client funds under management currently stand at over £90bn.

Your Programme

During your programme, you can expect to have access to a line manager who invests in your development along with a work place coach or mentor. Your mentor will meet with you on a regular basis to help you understand

the wider business and support your career. You will also be invited to workshops and training courses, designed with graduates in mind, that will support your personal development, along with you completing a funded qualification.


South West




Full time 




Graduate Scheme

Closing Date 


Main Purpose of Job:

  • Support the Compliance Assurance Managers and Risk & Compliance Management Team, to complete the Compliance Assurance Plan.
  • Be a advocate for the risk and compliance area, supporting the promotion of a ‘risk and compliance aware’ culture.

Key Responsibilities:

  • Support the Compliance Assurance Managers with the completion of assurance engagements by providing support on scheduling and data gather.
  • Support the Compliance Assurance Managers with the cycle of assurance meetings by producing summaries detailing the key messages and themes from these meetings, and support the escalating any issues where appropriate.
  • Support developments to compliance assurance processes, providing support to the second line oversight of divisional compliance schedules.
  • Collate compliance assurance data as part of producing regular management information, and monitoring of compliance engagement actions.
  • Support the Compliance Assurance Managers in the production of reports.
  • Attend relevant external briefings and events and communicate topics discussed at these groups within SJP.
  • Work towards building and developing relationships with key divisions within the Group to help foster a positive risk and compliance culture.
  • Support secretaries for various governance committee’s by collating papers for issue.

Job Knowledge:

  • A willingness to learn the risk compliance processes, through professional qualifications such as CISI Diploma in Investment Compliance / ICA International Diploma in Governance, Risk and Compliance.
  • The requirements of the role are driven by a number of policies including the Compliance Assurance Policy and Methodology with the job requiring a good understanding of these and their application across the Group.
  • Excellent Excel skills, in order to be able to suitably manipulate data to produce and analyse MI.
  • Ideally a good understanding of Sharepoint, and the ability to learn new technologies quickly.
  • Demonstrable ability to learn quickly and the work practically, using theoretical methodologies.

Problem Solving:

A high level of problem solving skill is required for the Graduate Compliance Assistant role, including analysing information and data from across the business, learning to identify gaps and weaknesses to be able to provide commentary on. The Graduate will work towards being able to analyse specific areas through output of assurance engagement. This requires understanding the  business and using judgement to be able to highlight areas of concern and to make recommendations for improvements in the control environment.

Interpersonal Skills:

The role requires strong interpersonal skills, in particular communication skills to allow effective discussions on risk.  The role will work towards conducting assurance activity autonomously with senior stakeholders, and supporting the Compliance Managers to influence/negotiate with senior managers (typically up to Executive Director level) to agree on key risk exposures and required mitigating control activity which become actions for the business area following risk assessments.  These can often be challenging discussions given the nature of the subject matter, and a calm, professional but firm manner is required in order to represent the second line view effectively.

Although not directly responsible, there will be a requirement to interact with risk departments across our subsidery companies, including those in Ireland.

Special Requirements:

Individuals should be degree qualified, with a minimum (or predicted) 2:1 and there is a preference for a degree within Risk, Management, Law or Finance or a business related subject.

Individuals should have:

  • Genuine passion for analysing data and working with statistical information, with an ability to translate this and identify trends with an attention to detail.
  • Ability to understand complex information from technical audiences, and convert this to plain English.
  • A proven track record of being able to deliver to tight deadlines, with passion and drive.
  • Confidence to speak up, generate quality ideas, embrace change and seek innovative ways of doing things.

Ability to operate a high level of integrity, professionalism and objectivity.

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