Skip to main content

Award winning training provider

Award winning training provider

Excellent pass rates

Tutor support until late

Market leader

Compliance and Risk Officer Apprenticeship Level 3

Risk and compliance is a key department in any business. This apprenticeship is designed to give individuals in your organisation the knowledge they need to fully understand the implications in their team, organisation, and industry.

It is particularly beneficial for those individuals who need to understand frameworks, policies, and procedures to ensure your business runs effectively. Apprentices will also achieve a qualification from the International Compliance Association (ICA).

Developed in partnership with globally recognised institutes and organisations of all sizes, a Kaplan Banking and Financial Services apprenticeship is anything but standard.

Ideal for those working within a, usually FCA, regulated environment, who are in the early stages of their career for spotting risk and compliance issues.

This apprenticeship will benefit individuals who are entering the world of risk and compliance. Individuals on this programme will typically be employed in roles such as Risk Officer, Compliance Officer, Governance Officer, and Risk analyst.

An apprentice’s journey doesn’t end when their apprenticeship has finished. This is just their first step in establishing a full career in Compliance and Risk. Individuals may choose to progress onto our Level 6 Senior Compliance and Risk Specialist Apprenticeship.

To do this apprenticeship, employers may specify that candidates have Level 2 Maths and English. Individuals on this programme must not have an existing Advanced Certificate in ICA or a higher qualification.

If apprentices don’t have this level of Maths and English, Kaplan offers free resources and support to make sure they have a strong understanding of the subjects by the end of the apprenticeship.

Durationinfo_outline

18 months with Gateway at 15 months

Costs / funding

Levy payer
£9,000
Non levy payer
£450
Learner
Free

Qualifications received

Level 3 Compliance and Risk Officer Apprenticeship

Mandatory ICA qualification options:

  • International Advanced Certificate in Anti Money Laundering
  • Advanced Certificate in Managing Fraud
  • International Advanced Certificate in Regulatory Compliance

Looking to upskill your staff?

Get in touch

Aiming to launch your career?

Look for a vacancy

About the programme

check
Build your talent pipeline

A level 3 apprenticeship provides a great opportunity to build or nurture future talent in your organisation.

check
Keep your business running effectively

Individuals on this programme will develop a sound, working knowledge of the processes and procedures required in their role to prevent legal, compliance, or regulatory issues within the organisation.

check
Support and insight for managers

Our robust processes and regular reporting ensure you and your line managers can help employees drive invaluable progress and improvements. This programme equips individuals with a full understanding of the industry.

check
Support for apprentices

Kaplan Financial Services apprentices have regular contact with an experienced Talent Coach, including progress meetings, off-the-job tracking, and case study materials with constructive feedback.

Apprenticeship delivery

Kaplan’s Banking and Financial Services apprenticeships are designed to provide the best, tailored learning experience suitable for your modern day business requirements.

For each module, learners benefit from a choice of different study methods taught by subject matter specialists, combined with additional online learning that can be completed at their own pace. Each of our classes are interactive and involve lots of practical discussion, giving learners quality time both with tutors and industry peers to spark new ideas and get new perspectives.

Our Compliance Risk Officer programme can reflect the unique needs of your organisation. This ensures that learning and skills are directly applied to the apprentice’s role and maximises the time used as part of off-the-job training. For each module, learners benefit from attending small, scheduled online classes taught by a subject matter specialist. Each apprentice will also have access to online materials which they will be directed to use.




ICA Qualification pathways

Work towards the ICA Professional Qualification, with a choice of relevant pathways depending on the individual role and employer.

Option 1
International Advanced Certificate in Anti Money Laundering

Gain a deeper understanding of money laundering and terrorism financing, including the relevant frameworks, sanctions, regimes, and requirements.

What’s covered:

  • Links between money laundering and corruption
  • Sanctions and why they are important
  • National legal and regulatory frameworks
  • International bodies and standard setters
  • Alternative remittance systems
Option 2
Advanced Certificate in Managing Fraud

An introduction to fraud, contexts, and frameworks to help them better understand risks and formulate strategies or responses to manage these.

What’s covered:

  • Defining fraud
  • UK and US anti-fraud frameworks
  • Counter-fraud strategies
  • Emerging trends and the use of technology
  • Developing an anti-fraud culture
Option 3
International Advanced Certificate in Regulatory Compliance

Gain an in-depth understanding of the regulatory environment, compliance, and how these prevent financial crimes.

What’s covered:

  • Regulators’ roles and global regulators’ models
  • Risk management
  • Bribery and corruption
  • Compliance requirements
  • How proceeds of crimes are laundered

Also included in this apprenticeship

ICA Public Workshops

As part of the programme, apprentices will get to take part in public workshops with the International Compliance Association (ICA), comprising of:

  • A 6-12 month course assessed by two written assignments of 2,000-2,500 words
  • Guided online studies and live participation sessions, including a virtual classroom, immersive learning scenario, and two assessment preparation sessions
  • Videos covering the latest industry developments and case studies
  • Access to the ICA members’ portal, containing additional reading and resources
  • Proactive support to keep learners on track

Our dedicated Talent Coaches work with the apprentice and their line manager to ensure they have the statements and case studies required to demonstrate full competence and integration of technical knowledge.

Optional Microsoft Specialist Skills

We offer Microsoft Specialist Certificates in Excel, Advanced Excel, Word, and PowerPoint to help boost productivity for your employees. We can help guide you on the most relevant choice.

Application of skills

Our apprenticeships are designed for individuals to use their technical knowledge and communicate it within the organisation. Areas of focus for this programme will include communication, delivery of services, analysis, problem solving, and continuous improvement. Apprentices will have a higher level of competence and confidence to assess potential Risk / Compliance issues and be able to make recommendations to key stakeholders.

Development sessions

Every Kaplan apprentice has access to development sessions, relevant to their individual experience and requirements. Delivered by Kaplan faculty, with recommendations from their Talent Coach, these sessions will help focus on enhancing their personal and behavioural development.

Portfolio of evidence

Apprentices will collate their best work including small projects, performance reviews, workplace observations, case studies, learning record entries, development plan content, emails, customer feedback, and written pieces. This is designed to demonstrate what they have learned and applied in their role to meet the learning outcomes.

Professional discussion

Apprentices also undertake an unstructured discussion with the independent assessor lasting approximately thirty minutes, focusing on particular areas of their portfolio.

Interview

Similar to a competency based interview, they are also required to complete a structured panel interview with the Assessor, which is distinctly different from their Professional Discussion. They will explore areas that are more difficult to evidence in their portfolio, such as the skills and behaviours they have learned.

date_range Timetables

There are certain intake times for this programme taking place in March and September, to align with ICA workshops. We require apprentices to apply 8 weeks in advance to their start date to ensure we can complete all the necessary checks and onboarding process beforehand. Please get in touch for details of our next start date.

Get in touch 

Why choose Kaplan?

Leading pictogram
Leaders in our field

Kaplan has worked extensively with clients in the Retail Banking, Investment Banking, Insurance and Wealth Management sector for many years. We understand the requirements of organisations, big and small, working in an FCA regulated environment. We have provided corporate training and apprenticeships for school leavers, graduates, specialists, and managers.

Vision pictogram
Future facing

Our programmes and support tools are developed with market leading employers. We understand the current and future needs of the industry and how to equip individuals to be ready for change.

flexibility pictogram
Holistic learning experience

Our programmes provide a varied learning experience to give learners the knowledge they need and to ensure they meet the latest standards of the industry and organisation. Providing a fully flexible experience and will meet the requirements of a range of learning styles.

enlightenment pictogram
Expert teaching

The technical element of our apprenticeships which provide a professional accreditation will be taught by a Kaplan tutor or a tutor from one of our specialist partners. The apprentice will have access to an online portal for materials, journals and access to tutor support. The Talent Coaches are industry experts and are the best placed people to guide our apprentices to end point assessment success.

Support for employers:
  • Direct point of contact for all employer enquiries
  • Recruitment service to help you hire an apprentice for a new vacancy
  • Transparency throughout the application and onboarding process for your learners
  • Talent Coach and Academic Support to keep your learners on track
  • Accurate, timely and accessible tracking for each learner
  • Line Manager visibility of your learner’s portfolio dashboards
Support for learners:
  • Academic support via online learning platform
  • Regular 1:1 contact and progress reviews with a named, industry experienced talent coach to keep them on track, review their portfolio and get them fully prepared for their End Point Assessment
  • Access to all online learning, tracking progress, capturing off-the-job activity and hours, managing and capturing progress reviews, uploading evidence, and communicating with Talent Coaches
  • Student Service support available 362 days a year

20+ years

We're a leading apprenticeship specialist with 20+ years' experience

Expert tutors

Qualified, expert tutors train over 10,000 apprenticeships each year

Highly rated

Rated 8 out of the top 50 apprenticeship providers on Rate My Apprenticeship

Upskill your staff

We can work together to upskill your existing staff. Get in touch to find out how we can help.

Get in touch

Start your career

Apply for one of our apprentice jobs today.

Look for a vacancy