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.
All financial services organisations have to meet a wide range of compliance and risk requirements set out in legislation. To meet these requirements many organisations 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 our industry expertise to offer the Apprenticeship Levy funded Level 6 Senior Compliance & Risk Specialist Apprenticeship Standard to employers looking for a cost-effective way to up-skill 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 at a senior level including:
- Drawing on technical expertise to provide high-quality, ethical input and advice to the business.
- Identifying and dealing with complex compliance and/or risk related issues.
- Implementing new policies and procedures to meet legal and regulatory requirements.
- Influencing senior management and other key stakeholders
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:
- International Diploma in Anti-Money Laundering.
- International Diploma in Governance, Risk and Compliance.
- Advanced Certificate in Business Compliance.
- International Diploma in Financial Crime Prevention.
- International Advanced Certificate in Anti-Money Laundering.
- International Advanced Certificate in Practical Customer Due Diligence.
- International Advanced Certificate in Managing Fraud.
- International Advanced Certificate in Regulatory Compliance.
- International Advanced Certificate in Managing Sanctions Risk.
The apprentice can apply for the appropriate level of professional ICA membership aligned with this level of qualification.
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 6 Senior Compliance & Risk Specialist Apprenticeship
(Equivalent educational level: Bachelor’s degree)
plus chosen International Compliance Association qualification.
Training Course Content
Module 1: Introduction
• Introduction to apprenticeships
• Skills at Level 6
• Communication skills
• Presentation skills
• Essay writing skills
• Analysis
• Behaviours required at Level 6
Module 2: Understanding the financial services Industry
• History of financial Services
• Sector breakdown
• The external environment
• Integrity
Module 3: Legal and regulatory framework
• Introduction to regulation
• Sources of law
• Law in a broader context
• Regulatory framework presentation
• Regulators in action
Module 4: The GRC framework
• Introducing the GRC framework and function
• Governance, risk and compliance
• Values and delivering fair customer outcomes
• Continuous improvement
Module 5: The senior compliance professional
• Attributes for the role
• Dealing with problems
• Developing self and others
• Influencing
• Resilience
• SMCR
• Strategy and planning
Module 6: GDPR expert
• Basis for processing data and vulnerable customer’s data
• Data subject rights
• Privacy by design
• Breaches
• Teamwork
Module 7: FCA Handbook specialism
• FCA Handbook
• High level standards
• Sector Sourcebooks
• Analysis and problem solving
Module 8: PRA Rulebook specialism
• PRA Rulebook
• Types of firms
• Tolerance
Module 9: Project management
• End Point Assessment preparation
• Wider context for the sector
• Forming own project
Module 10: Your firm and role
• Firms
• Segmentation
• Systems, tools, processes
• Leadership
• Delivering services
Module 11: Specialism
• Learner-led study for specialism selected
Module 12: End Point Assessement preparation
• Professional discussion
• Portfolio and project
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,...