Explore the purpose of compliance and risk management, the responsibilities of the role and its contribution to organisational governance.

Learning focus:

• Understand the responsibilities and expectations of a compliance and risk officer.
• Recognise the importance of ethical behaviour, confidentiality and accountability.
• Explore how compliance and risk functions support wider business objectives.
• Identify the relationships between organisational functions, policies and controls.

Build an understanding of the financial services sector, its regulatory environment and the organisations responsible for oversight.

Learning focus:

• Understand how financial services markets and organisations operate.
• Identify the functions and responsibilities of relevant regulatory bodies.
• Explore key legislation, regulatory expectations and the consequences of non-compliance.
• Recognise the impact of external developments and sustainability considerations on regulated businesses.

Develop the professional skills required to communicate effectively, manage responsibilities and work with colleagues.

Learning focus:

• Adapt written, verbal and digital communication for different audiences.
• Plan, prioritise and organise workloads.
• Collaborate effectively across teams and departments.
• Produce clear information to support workplace decisions.

Understand how financial services products and organisational activities create specific compliance responsibilities.

Learning focus:

• Explore the products and services relevant to the apprentice’s organisation.
• Understand the importance of customer protection and fair outcomes.
• Recognise how customer needs and vulnerabilities influence compliance decisions.
• Apply relevant policies and procedures to customer-related activities.

Examine the policies, frameworks, procedures and controls used to manage compliance within an organisation.

Learning focus:

• Understand organisational governance and accountability structures.
• Apply compliance policies and established control procedures.
• Maintain accurate records and documentation.
• Recognise opportunities to improve compliance processes and operational effectiveness.

Develop an understanding of how organisations identify, monitor and manage compliance and operational risks.

Learning focus:

• Explore the stages of the risk management process.
• Identify potential risks, control weaknesses and incidents of non-compliance.
• Apply methods for assessing and mitigating risk.
• Escalate issues through appropriate organisational channels.
• Support compliance monitoring and assurance activity.

Understand how organisations respond to regulatory requirements and maintain evidence of compliance.

Learning focus:

• Support regulatory correspondence and information requests.
• Understand audit requirements and associated responsibilities.
• Collect, analyse and maintain reliable compliance information.
• Prepare accurate reports and management information for stakeholders.
• Support the identification of corrective actions and process improvements.

Explore the behaviours and communication techniques that strengthen compliance throughout an organisation.

Learning focus:

• Build constructive relationships with internal and external stakeholders.
• Influence colleagues through clear, evidence-based communication.
• Handle challenging conversations and changing circumstances professionally.
• Promote ethical conduct, confidentiality and accountability.
• Support the development of a positive compliance culture.

Develop practical capabilities in delivering compliance activities and using digital tools responsibly.

Learning focus:

• Plan and support compliance and risk management projects.
• Use appropriate systems to research, analyse and present information.
• Apply digital reporting and data visualisation techniques.
• Handle sensitive information securely in accordance with data protection requirements.
• Recognise cybersecurity risks and opportunities for process improvement.

Consolidate learning through practical scenarios and consider how compliance professionals maintain their effectiveness in a changing environment.

Learning focus:

• Monitor relevant changes in legislation, regulation and professional practice.
• Apply compliance and risk knowledge to realistic workplace case studies.
• Reflect on performance and identify further development needs.
• Demonstrate resilience, collaboration and continuous improvement.
• Prepare for future career progression.