Compliance & Risk Officer

Many organisations have to meet a wide range of compliance and risk requirements set out in legislation. To meet these requirements employers will have dedicated risk and compliance departments that are experts in the relevant legislation and regulatory requirements. They provide proactive support and guidance to the business areas to ensure that the organisation meets this wide range of requirements, balanced against achieving appropriate customer outcomes. We draw on industry expertise to offer the Apprenticeship Levy funded Level 3 Compliance & Risk Officer Apprenticeship Standard to employers looking for a costeffective way to upskill new or existing employees on a career pathway in this business-critical area. The programme covers the knowledge, skills, and behaviours required to carry out the role including:

• Drawing on technical expertise to provide high quality, ethical input and advice to the business. Identifying and managing compliance and risk related problems that emerge.

• Analysing data to identify potential risks and ensure compliance.

• Maintaining records and producing reports. Working on review and audits to check that policies are being correctly applied.

Specific technical knowledge required for different roles are covered by flexible specialist options. We also work in close partnership with the International Compliance Association (ICA) to help employers and apprentices integrate one of the following mandatory qualifications* with the apprenticeship programme:

• Certificate in Compliance

• Certificate in Anti-Money Laundering

The apprentice can apply for the appropriate level of professional ICA membership aligned with this level of qualification.

Module 1: Organisational structures,  the external environment and a culture of compliance

Module 2:  Risk and compliance framework

Module 3: Products, services and ethical considerations - Introduction to Project Management

Module 4: Systems, processes & storing information, Introduction to research.

Module 5: Polices & procedures, best practice & audits (including complaint handling)

Module 6: Personal skills & CPD with EPA preparation

Module 7: Mock Assessment followed by gateway to end point assessment 

This apprenticeship is for early career or developing staff in compliance and risk roles, including compliance officers, financial crime and AML teams, monitoring staff, risk analysts, and operational colleagues with control responsibilities, who support regulatory adherence, internal controls, and risk management within regulated organisations.

An award-winning learning and development specialist and an Approved Apprenticeship Training Provider, CSA Learning supports firms and employers to train, improve and assess their workforces in our specialist areas including credit, debt collection, compliance, counter-fraud, trading standards and governance.

CSA provides employers with training to reskill existing staff, as well as a means of introducing new employees to your company and sector. Our tutors are all specialists in their fields, with learner feedback consistently highlighting the exceptional standard of workshop delivery.