Course description
As a trade association in a heavily regulated sector, our Code of Practice is the benchmark for industry best practice and we work closely with the Financial Conduct Authority and other regulators to ensure that it guarantees the highest compliance standards.
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.
- Writing reports following inspections or audits.
- Liaising with businesses/regulators to resolve any issues of noncompliance.
- Managing relationships with businesses and providing customer service.
- Dealing with complaints from consumers and other businesses and investigating them.
Upcoming start dates
Suitability - Who should attend?
Entry requirements
Our apprenticeship programmes are open to all learners.
The requirements for the apprenticeship are that you need to be in a suitable job role relevant to the standard and you should be able to provide evidence of passes in GCSE (or ‘O’ Level) Maths and English or be willing to undertake L2 Function Skills qualifications in Maths and English as part of the apprenticeship. Funding is provided and CSA tutors will deliver the training.
Please note, some employers may stipulate their own entry criteria.
All learners will be assessed during enrolment to identify specific learning needs if applicable.
Outcome / Qualification etc.
Level 4 Regulatory Compliance Officer Apprenticeship
(Equivalent educational level: Higher National Certificate).
Training Course Content
Module 1: Introduction to regulation
• Introduction to apprenticeships
• Introduction to regulation
• Sources of law
Module 2: Regulations and risk
• Central and Local Government
• Regulators’ Code
• Risk assessment
• Risk-based prioritisation
Module 3: Supporitng businesses
• Supporting business in compliance
• Growth duty
• Primary and Home Authority
Module 4: Inspections
• Checking compliance - before the inspection
• Checking compliance - during the inspection
• Checking compliance - after the inspection
Module 5: Responding to non-compliance
• Responses to non-compliance
• Investigatory powers
• Prosecution
Module 6: Evaluation and feedback
• Logic modelling
• Using information & feedback to improve regulatory performance
• Objectives-based evaluation
• Your performance as a Regulatory Compliance Officer
Module 7: The digital market, information and compliance
• Regulating the online market
• Using digital technologies to support the regulation of online markets
• Managing, storing and sharing information
• Governance, risk and compliance
Module 8: End Point Assessment preparation
• Mock knowledge test
• EPA guidance
• Recap and revision
Course delivery details
CSA blended learning delivery
Flexible combination of planned group workshops,
e-learning, structured workplace learning,
tutorials, and mini projects – can be fully
integrated with wider internal training and
organisational needs.
Every learner benefits from a dedicated coach throughout their apprenticeship
Why choose CSA Learning
93% of apprentices would recommend CSA Learningt
Rated Excellent by both Employers & Apprentices (gov.uk)
Rated "Good" by Ofsted
Expenses
Levy-paying employers can fund 100% of each apprentice’s training through the Government Apprenticeship Levy.
If an employer does not have sufficient Levy funds or is not a Levy-payer (ie has an annual pay bill of less than £3 million) then 5% of the apprenticeship cost is paid to the training provider to contribute towards the apprentice’s training.
Apprenticeships can be also be funded by a levy paying employer transferring up to 25% of their unused levy to a different employer.
Transferred funds are used to pay for 100% of the training and assessment costs of the apprenticeship up to the funding band maximum.
Transferred funds cover the cost of the whole duration of the apprenticeship.
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About Us CSA Learning* is an award-winning learning and development specialist and an Approved Apprenticeship Training Provider. We support employers across England to train, improve and assess their workforces in our specialist areas of credit and collections, governance, compliance, counter-fraud,...