Compliance and Risk Officer

Course information

Following course will include:

Knowledge
Risk and ComplianceFramework, industry and company understanding along with systems and processes.

Skills
Delivering services further with Analyzing relatively straightforward risk/compliance problems and teamwork to maintain strong relationship with customers/colleagues/suppliers as appropriate. Leading to personal development and communicating skills.

Behavior

• Honesty and integrity
• Flexibility to priorities and patterns when new tasks need to be done
• Resilience

Who is this course for?

Anyone who advises financial services organisations on meeting the compliance and risk requirements set out in legislation (such as data security) or required by regulators (such as financial crime or operational risk).

Course level

Level 3

Eligibility criteria

Candidates should have Level 2 math's and English. Other relevant or prior experience may also be considered as an alternative.

Risk and compliance framework:

Broad understanding of the financial services legal and regulatory framework, the role of the different regulators (if appropriate), the implications of non-compliance for the organisation.

Duration

15 to 18 months

Delivery method

Work-based Learning

Assessment

The Portfolio contains evidence from real work activity by the apprentice that has been built upprogressively through the apprenticeship and will illustratethe application of the knowledge, skills, and behaviors within the Standard synoptically. It will demonstratethe applicationof knowledge and competence in thework environment. It will also draw on any learning record created by theapprentice.

The Interview will have a well-defined structure and be distinctly different from the format of the Professional Discussion, enabling the Independent Assessor to explore, on a consistent basis, those areas of the standard that are more difficult to evidence in a Portfolio – particularly the skills and behaviors.