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Apprenticeship Programme Guide

Compliance/Risk Officer ICA Pathway Level 3

Overview of Programme

The Compliance/Risk Officer Apprenticeship is a comprehensive programme lasting approximately 18 months.

You will complete a professional qualification as well as learn a range of Skills and Behaviours essential to be successful in a Compliance Risk Officer role including: communicating and influencing, teamwork, and analysis and problem solving.

At the end of your Apprenticeship you’ll take an End Point Assessment in which you’ll demonstrate everything you have learned over the course of your programme.

This guide is designed to tell you everything you need to know about your Apprenticeship.

On Programme Learning

The on-programme element will enable you to develop the Knowledge, Skills and Behaviours set out in the Apprenticeship standard and prepare you for End Point Assessment.

Professional Qualification

You will complete either aCertificate or Advanced Certificate level qualification from the International Compliance Association (ICA). These are highly recognised, industry-leading, entry-level qualifications with great progression opportunities. The qualification that you will complete will be decided in conjunction with your employer and will be most relevant to your job role.

These qualification options include but are not limited to:

Certificate in Compliance
Advanced Certificate in Anti Money Laundering
Advanced Certificate in Financial Crime Prevention
Advanced Certificate in Regulatory Compliance

Certificate exams will be online, multiple choice and last 1 hour. Kaplan works in close partnership with the ICA and they will provide you with a blended learning offer for this qualification. You’ll have access to a full online course offering, meaning you can study anywhere, any time. You’ll also be invited to attend a one day workshop which typically run in Manchester, Birmingham and London but may also be delivered online.

Please note that once you have registered with ICA, you only have 6 months to complete your exam, so it’s important you’re clear when you will commence studying. As a guide, if you are committed and diligent, it should take you no longer than 3 months (including your workshop) to complete your learning and be ready to take your ICA exam.

Professional Membership

For the duration of your studies you will become a Student Member of the ICA. The ICA promotes quality and professional development within their field and offers members a range of activities and services to support this. Membership is a great addition to your professional career, adding value to your resume and is an indication of your commitment to the profession. We highly recommend that you take advantage of your student membership benefits and for further details visit the ICA’s Member Benefits page.

Interactive Development Session

As part of your programme, you will be invited to attend a range of optional Interactive Development sessions. These interactive sessions whether online or face to face provide focus on key Skills and Behaviours that will benefit you in developing yourself.

Each session is broken down into bite size learning involving group work, practical activities and explaining theory. Due to group sizes being limited, personal feedback is also provided to enable you to identify strengths and areas for development which can then be applied back in the workplace. The objective of each session is ultimately to help you consider how you can best demonstrate what you’ve learned in a work environment, producing exemplary examples of evidence for when it comes to End Point Assessment.

Unless otherwise informed, you will need to book yourself onto your Interactive Development Session via our central booking system, where you’ll find upcoming dates for available sessions as well as locations and timings and/or joining instructions. Please note that face to face sessions are not held in every location and travel may be needed to attend.You should check with your Line Manager before attending the session regardless of whether they are online or face to face.

MyKaplan

Your MyKaplan portal will give you access to a range of onboarding activities and information, including skills and behaviours training relevant to your apprenticeship. It is important to note that your professional qualification study materials are provided by your qualification body and you will access these via separate systems that will be provided to you directly from your qualification provider. You can access MyKaplan from home or work via your desktop, tablet or handheld device.

Learning My Way - Skills, Behaviours and Personal Development Microsite

We’ve created a Google microsite specifically for our apprentices. It has a range of content and bite size learning, such as Ted Talks, topical articles, short videos and challenge activities covering a range of Skills and Behaviours related to your Apprenticeship Standard. Dip in and out of the site, and explore the additional topics we've curated for you on Embracing our Diversity, Sustainability and Democracy and our Society.

For more information, please see our microsite for Level 2-4 Learning My Way and it's also located on MyKaplan for you.

Maths and English

Functional Skills Maths and English qualifications are designed to help learners develop and demonstrate the practical skills needed for work and real life.

Maths and English

You will have received log-in information for initial assessment in English, Maths and Essential Digital Skills:

English and Maths are compulsory initial assessments for everyone.
Essential Digital Skills assessment is not compulsory, but it's recommended for anyone who lacks confidence in basic digital skills and awareness, or just out of interest. We are aware that many of our apprentices have highly sophisticated digital skills already.

If you do not have GCSE English and Maths at grade C/4 and above or equivalent, then you will also need to sit formal Functional Skills in either English or Maths. But we will support you with your learning and preparation for that, so please don't worry.

If you do need to achieve English and Maths Functional Skills, after completing the onboarding process:

You will be assigned study modules and there is some group teaching available
You will be sent a mock exam to attempt after you have completed the study modules (it’s advisable these are sat under exam conditions)
Then after your mock has been marked and you are ready to sit the actual exam, your Talent Coach will discuss dates and a suitable Kaplan venue where these can be taken.

The Maths and English assessments are:

For English:

a 70 minute English reading exam,
an 80 minute English writing exam and,
a 30 minute English speaking, listening and communication assessment.

For Maths:

a two-hour exam.

Points to watch out for:

The initial and diagnostic assessment information you receive for Maths and English will be automated by the provider (BKSB). Please check your spam for any emails from BKSB that will be about English and Maths for your apprenticeship.

When you're using the BKSB site:

Under the option ‘Theme Settings’ you can change the size of the font that is displayed. It also provides the option to change the colour of the background and to change it to light or dark setting.
When you have answered a question, the box at the bottom of the screen turns green. You can only submit your test at the end once all the boxes are green, so you have to include an answer for everything.

Your results will be with you within six weeks.

Off-the-job Training

As part of your Apprenticeship you must be given time to complete the learning required for your Apprenticeship outside of your normal day-to-day working environment.

This time must equate to at least 20% of your working hours over the course of the Apprenticeship programme up to Gateway (i.e. the start of your End Point Assessment period). This doesn’t mean it has to be one day a week, it could be two half days, and structured to suit the needs of your business area.

What is off-the job training?

Teaching of the knowledge and technical elements of the Apprenticeship e.g. lectures, on-line learning, assignments
Developing practical Skills training e.g. shadowing, coaching sessions, developmental 1-2-1s, projects
Understanding and developing the Behaviours identified in the Apprenticeship, assignments, practical opportunities, on-line learning

In essence it includes any form of training relevant to the apprenticeship standard which enables you to upskill and further develop in your role and future role. You must keep a log of this training activity through your Training Record. We will require you to state how many hours you have spent on different study or workplace learning activities, etc, so we have a total number of Off-the-Job learning hours, to meet government apprenticeship rules. So it is worth getting into the habit of doing this early.

Off-the-job Training Record

Throughout your Apprenticeship, you need to document your learning and development activities against your Apprenticeship Standard Knowledge, Skills and Behaviours in an OTJ Training Record. This will also support you in compiling the evidence for your work-based portfolio at End-Point Assessment.

Your OTJ Training Record should form the basis of your discussions with your Talent Coach. A template will be provided as part of your Induction Call so you can start to record this straight away. You should only use a CPD or Training Record in place of the Kaplan template, provided by your employer or professional membership body, where this has been formally approved by our compliance team. This can be done through your Talent Coach.

Beyond your Apprenticeship, if you choose to continue being a member of a professional body they may ask you to complete a CPD training log as a way of maintaining your professional expertise and gain or develop knowledge and skills to further your career. Your Apprenticeship Training Record will therefore help you to form good professional development habits.

End Point Assessment

The End Point Assessment (EPA) is the final stage of your Apprenticeship. It’s your opportunity to showcase all you have learnt through a formal assessment and how you will continue to apply this in your career. You must pass your EPA to complete the programme and receive your Apprenticeship certificate.

Gateway

Gateway takes place towards the end of your Apprenticeship when all on-programme learning has been completed. It is at this point the decision as to whether you are ready to move forward to the EPA will be made in conjunction with your Line Manager and Talent Coach. To go through Gateway, you must be able to demonstrate all of the Knowledge, Skills and Behaviours from the standard.

End Point Assessment

There are three parts to the end-point assessment for this Apprenticeship:

Showcase portfolio
You’ll submit a showcase portfolio which will comprise of a range of evidence produced in the workplace to show that you have met the Knowledge, Skills and Behaviours detailed in your Apprenticeship Standard. You’ll build up the evidence over time enabling you to reflect on your development across the whole programme. Your Talent Coach is trained to help you prepare for this.

Professional Discussion
A relatively unstructured, 30 minute conversation between you and the Independent Assessor. The Assessor will clarify and if necessary delve deeper into what has been submitted in the Portfolio, the work that you’ve done and how your evidence has been produced. The focus will be to ensure that you genuinely understand and have demonstrated the knowledge, skills and behaviours for which you have submitted evidence.

Interview
This will last between 30-45 minutes. It 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 behaviours. This may include communicating, influencing, teamwork, some aspects of problem solving, flexibility, resilience. The Assessor will be provided with a bank of questions/mini role plays/scenarios from which they can select the most appropriate for you to establish the level of competence in these skills and behaviours.

Once you have completed your EPA, you will receive a Fail, Pass or Distinction grade. The Distinction is designed to recognise the small proportion of apprentices who are seen as outstanding employees, regularly going beyond what is required to be competent in the role. Your Talent Coach will work closely with you as you progress throughout your Apprenticeship to help you understand the criteria necessary to achieve a Distinction grade.

Your Talent Coach will be able to share more information with you on EPA as you move towards this stage of the programme.

Support

Who will be there to guide me? There is a team of people to support you through your apprenticeship and help you to progress in your future career.

App support _FS Risk Diagram

Here is what each person will be doing to support you:

Student Services Adviser Team

The student services adviser team is on hand to support you with your initial application including your application pack that includes the commitment statement. Going forward the team will be on hand should you have any technical issues logging onto your learning platforms.

Talent Coach

You will be allocated a Talent Coach, who will have formal reviews with you at intervals during your apprenticeship. They are also available to discuss your off-the-job training needs, helping you to stay on track with your apprenticeship journey and prepare you for End Point Assessment (EPA). You will be invited to an Induction Call with your Talent Coach in the early weeks of your programme.

They will then work closely with you and your Line Manager to support you in understanding your Apprenticeship, in particular providing the support and guidance you’ll need to ensure you have every opportunity to learn effectively in the workplace.

At EPA stage they will help to prepare you for all your assessments, ensuring you are in the best possible place to succeed. Formal interactions between you and your Talent Coach will vary but as a minimum there will be a structured review at least quarterly with informal contact throughout. If you have any questions or concerns you can, of course, contact your Talent Coach in the meantime.

Special Educational Needs Co-ordinator (SENCo)

If you require specific support due to a diagnosed condition Kaplan can support you with additional resources. If you need clarification on reasonable adjustments you may be eligible for or require support in your reasonable adjustment applications to any professional bodies for your exams, your Talent Coach can put you in touch with our SENCo.

Line manager

Your Line Manager plays an integral role in the Apprenticeship. As well as developing you as an individual they will support you by giving you exposure to new experiences within the business, motivating you and discussing progress with you regularly through 1-to-1s.

Your Line Manager will also keep in touch with your Talent Coach to ensure consistency of support.

Career Information Advice and Guidance

Kaplan aims to support all its learners into meaningful careers, developing career-ready skills throughout their time with us. As professionals, it is also important to learn how to cope when something does not go to plan. If you find yourself in the position of needing careers advice, Kaplan offers a confidential and impartial service through our Careers Information, Advice and Guidance Google microsite for learners. Your Talent Coach may sign–post you to relevant resources on this site at different stages of your career journey however, we also hope that you use this site independently to grow in your career as and when you need it.

Wellbeing

Your wellbeing is of immense importance to us at Kaplan, your Talent Coach is on hand should you have any concerns during your learning journey. We also have a range of supportive resources for you to use on our microsites. We can sign-post you to a range of organisations that can provide you with additional support should you need anything.

Finally, if you are experiencing any significant stress or concern, please contact our confidential safeguarding email: safeguarding@kaplan.co.uk

British Values

Throughout your apprenticeship programme your understanding of fundamental British Values will be developed.

These are defined as:

democracy
the rule of law
individual liberty
mutual respect for and tolerance of those with different faiths and beliefs, and for those without faith.

This learning will be embedded into other elements of your programme and will be developed and reinforced through regular discussions on how they are linked to your workplace and life. This will ensure you fully understand the importance of these and their place in life in modern Britain.

Beyond Apprenticeship

As you complete your apprenticeship and continue with your career, being a member of a professional body, such as the ICA, has many valuable benefits. We recommend considering this as you come to the end of your Apprenticeship. They provide current information on sector developments; useful networking opportunities and continuing professional development. It’s worthwhile looking into the mentoring opportunities they sometimes provide too, which is a way you could “give back” to society, post qualification and beyond apprenticeship.

FAQ

The most common questions that we get asked, and a bit more information about your apprenticeship.

What if I don’t meet the 20% requirement?

Kaplan and your employer will work together to ensure you are meeting the 20% requirement. On joining the programme you would have signed a commitment statement with your Manager to ensure the 20% requirement is met. Please speak to your Talent Coach and Manager if you have any concerns.

Who do I contact if I’m having trouble logging into the MyKaplan platform?

Please email studentservices@kaplan.co.uk, and our support team will assist you in resetting your password.

What do I do if I’m having trouble logging into the ICA platform for the first time?

The login details for the learning platform are case sensitive so make sure you enter the details exactly as they have been received. The best way to make sure you are entering the password correctly is to copy and paste it from your welcome email.

What do I do if I have forgotten my ICA platform password?

You can change your password on the learning platform in the settings but for the ICA websites you will need to click on the ‘forgotten password’ link next to the login box for a reminder of your password.

When will my Talent Coach make contact with me?

Your Talent Coach will make contact with you after your enrollment as been processed. If you have any questions about this please contact studentservices@kaplan.co.uk

How do I book on to Interactive Development sessions?

Unless otherwise arranged via your Manager, you will need to book onto our open market interactive development sessions which run in various locations across the country. Please refer to our central booking system where you will find a series of dates, locations and timings.

What happens if I need to cancel an Interactive Development session?

Interactive Development Sessions are a significant investment and you should only cancel if there is an emergency reason to do so. You would need to email developmentsessions@kaplan.co.uk two weeks before the development session.

What happens if I fail my technical exams?

Please contact your Talent Coach in the first instance. We will then work with ICA to arrange support and guidance for you to get back on track including organising a resit.

What happens if I need to postpone my Apprenticeship due to personal reasons?

Contact your Talent Coach who will advise on the best course of action, ensuring you are supported and your Manager is fully aware. Sometimes it is possible to adjust your studies or arrange a break in learning.

Do I have to pass all my exams before I can go through to End Point Assessment (EPA)?

Yes it’s a requirement that all on programme elements are completed to pass through Gateway in order to sit your EPA.

What if I cannot find my GCSE/O Level certificates to exempt me from Functional skills?

Unless you are able to prove exemptions, you’ll be required to complete Functional Skills.

Next steps

We’ve put together a handy checklist to guide you through what to expect over the next few months. Your Apprenticeship will not actually start until you complete the Onboarding Process as this will trigger the set-up of your course and the allocation of an appropriate Talent Coach.

Within your first 3 months you should have...

1. Completed your OnBoarding Process. Within the MyKapan system you will be allocated some initial activities to complete. It’s important you complete the pre-course work, including your initial assessment in Maths and English within 2 weeks of receiving your login details.

2. Received MyKaplan log-in details. Activate your account by logging in and resetting your password as soon as you receive your activation emails.

3. Completed the Setting You Up For Success modules in MyKaplan. It is important that you complete your induction modules within the first month of registering as an apprentice.

4. Registered with your Awarding Body. You will be registered by our Kaplan team and receive your membership details, you should use these details to access your ICA learning resources. If you do not receive these within 8 weeks of starting your first workshop please e-mail studentservices@kaplan.co.uk.

5. Had your Induction Call with your Talent Coach. Your Talent Coach should have been in touch with you to arrange this. If you haven’t heard from them within the early weeks of completing your pre-course work, please email studentservices@kaplan.co.uk.

6. Functional Skills (if required). Begin to work through your diagnostic tests supported by your Talent Coach.

7. Booked an Interactive Development Session. Via our Central Booking System.

We hope you have found this guide a useful introduction to your Apprenticeship programme.

We wish you the best of luck throughout your time with us.