Risk/Compliance Officer Apprenticeship Standard

The Risk/Compliance Officer Standard was developed to provider a robust and recognised apprenticeship pathway for those risk and compliance professionals working across the breadth of the Financial Services sector.

At Intqual-pro we fully evaluate all apprentices prior to induction to programme and develop a pathway that is bespoke to each individual, being relevant to both sector and their organisation. With a huge breadth of risk experience on our staff, covering Regulatory Compliance, Financial Services, Financial Crime and Cyber Security, Intqual-pro are able to offer a bespoke and relevant compliance/risk pathway that are very specific to individual apprentices role.

The typical training period for the learners on our Risk/Compliance Officer Apprenticeship is 15  months and consists of classroom based delivery sessions on either our premises or client sites as desired.

Specific modules and risk/compliance pathways for study are defined within employer scoping and learner skill scan.

Sessions Breakdown:

  • Session 1 – Risk Management Purpose, Overview, Principles and Terminology
  • Session 2/3 – Compliance Frameworks, Policy and Processes, Sanctions and Penalties
  • Session 4 – Organisational Objectives, Values and Purpose within a Compliance Environment
  • Session 5 – Effective Communication
  • Session 6/7 – Risk Analysis – Structured Analytical Techniques
  • Session 8 – Assumption, Bias and Critical Thinking within Risk and Compliance
  • Session 9 – Live Exercise Session (scoped with employer to develop an actor led exercise with focus on implementation of learning within a realistically simulated environment).
  • Session 10/11 – Professional Qualification (preparation and exam).
  • Session 12 – Mock EPA

Additional Modules Available:

  • Understanding the Disclosure of Information
  • Cyber Security Awareness
  • Mental Health First Aid

Professional Certification

Prior to reaching End Point Assessment Gateway, all Apprentices must achieve one of the below professional certifications that are most relevant to their role and pathway, to be determined by the employer prior to programme start.

International Compliance Association:

Certificate in Financial Crime Prevention, Certificate in Compliance, Certificate in Anti-money Laundering

Chartered Institute for Security & Investment:

Combating Financial Crime, Global Financial Compliance, Risk in Financial Services, Managing Cyber Security

Learner Commitment

Between teaching sessions learners are provided with a range of knowledge and skills development based tasks to ensure competence and progression to End Point Assessment gateway. Intqual-pro fully maps and record Off The Job requirements. All apprentices have access to our elearning platform for the duration of programme, providing constant communication with the training and assessment team and access to their live Individual Learning Record, providing clear and consistent visibility of targets and progression.

For the full IFA Risk/Compliance Officer Standard, please view the Knowledge, Skills and Behaviours here.

Supporting Documentation