Regulatory Compliance Officer

Well designed and enforced regulation plays a vital role in improving the way markets work for the benefit of business, employees, and citizens, supporting sustainable growth, trade and investment and improved social and environmental outcomes. Regulatory compliance can be both complex and costly. To help to mitigate this, we draw on our industry expertise in a heavily regulated, compliance-driven sector to offer the Apprenticeship Levy funded Level 4 Regulatory Compliance Officer Apprenticeship Standard to employers across a range of sectors from financial services firms to Local Authorities, looking for a cost effective way to up-skill or re-skill new or existing employees on a successful career pathway in this business-critical area.

The programme is designed to take learners from a standing start to a highly skilled professional who will add real value to your organisation/team and help to demonstrate compliance competence. It develops the knowledge, skills, and behaviours needed to perform, monitor, and support key regulatory compliance activities within public and private sector organisations including:

• Assessing the extent to which a business meets the requirements of the law and/or relevant audit standards.

• Working with businesses to help them comply with relevant legislation in their sector and/or meet the requirements of private standards e.g. International Organisation for Standardisations (ISO).

• Providing information, guidance and advice to businesses on how to comply with legislation or meet audit requirements in their sectors.

• Collecting and analysing business data to build a picture of business compliance.

• Conducting risk assessments and highlighting hazards which may result in non-compliance by the business.

• Auditing and monitoring business compliance in relation to the regulations which apply to a specific sector.

• Liaising with businesses/regulators to resolve any issues of noncompliance.

• Dealing with complaints from consumers and other businesses and investigating them.

Module 1: Understanding Business, Government and Regulations

Module 2: Regulations and Risk

Module 3: Supporting Businesses and the External Environment

Module 4: Non-Compliance and Project Management

Module 5: Compliance Control & Complaint Handling

Module 6: Technology, Data, Compliance and Sharing Information

Module 7: Governance, Evaluation & Feedback EPA Process

Module 8: Preparing for End Point Assessment

This apprenticeship is suitable for staff working in regulatory services, public protection, enforcement support, compliance inspection and audit-style monitoring roles. It is also relevant to private-sector roles with significant regulatory compliance responsibilities, where legislation must be interpreted, applied and enforced through proportionate, evidence-based decision making.

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.