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Senior Compliance / Risk Specialist Apprenticeship Level 6

Senior Compliance and Risk specialists provide specialist input and advice in their areas to senior figures in the business. From solving complex problems to implementing legal or regulatory requirements.

Apprentices on this programme can choose one technical focus most relevant to their role: Specialist Risk, Financial Crime, or Compliance. They will also study towards 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 more senior talent within your organisation, who have exposure to and influence over senior figures. You can build a Banking and Financial Services progression path for experienced employees to upskill in their role, grow their confidence, and achieve a Diploma in the ICA. Individuals on this programme will need to complete a business related project and they should already be initiating and implementing risk and compliance policies.

This apprenticeship will benefit those already working at a more senior role within Risk, Compliance, Fraud, or Money Laundering areas of the business. Individuals on this programme will typically be employed in roles such as Risk Manager, Operational Risk Specialist, Compliance Specialist, and other roles in Financial Crime or Anti-Money Laundering.

An apprentice’s journey doesn’t end when their apprenticeship has finished. At this level, they will be fully competent in their daily role. However, they could continue their professional development by keeping up to date with the latest standards and best practices of the ICA and industry.

To do this apprenticeship, individuals must be working in a specific, relevant role and they must not already have a diploma in the ICA.

If apprentices don’t have a Level 2 in Maths and English, Kaplan offers free resources and support to ensure the individual has a strong understanding before their end-point-assessment.

Durationinfo_outline

30 months with Gateway at 24 months - duration may vary depending on chosen pathway

Costs / funding

Levy payer
£25,000
Non levy payer
£1,250
Learner
Free

Qualifications received

Level 6 Senior Compliance / Risk Specialist Apprenticeship

We offer a range of Diplomas through the International Compliance Association (ICA) for apprentices to choose from:

  • ICA International Diploma in Governance, Risk & Compliance
  • ICA International Diploma in Anti Money Laundering
  • ICA International Diploma in Financial Crime Prevention

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About the programme

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Build your talent pipeline

A level 6 apprenticeship provides a great progression opportunity to more senior employees so they can be more knowledgeable, confident, and productive in their daily role.

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Specialist knowledge

This programme is designed to give your employees the skills and tools they need to solve complex problems and implement legal or regulatory requirements. It provides a framework for core knowledge as well as a specialism option.

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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.

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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.

Our Senior Compliance / Risk Specialist programme can be tailored to 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.

ICA International Diploma in Governance, Risk and Compliance

This pathway explores the history of regulation and why it is needed in the industry to give individuals a deeper understanding of how their role fits into the sector.

What’s covered:

  • Managing the regulatory relationship
  • Understanding and achieving effective corporate governance
  • Role of the function compliance and professional
  • Lessons from the history of regulation.
ICA International Diploma in Anti Money Laundering

This option delves into money laundering and terrorism financing, giving the individual a good understanding of how their role helps to prevent and investigate these risks.

What’s covered:

  • Concepts of risk management
  • International contexts
  • Complying with sanctions regimes and freezing requirements
  • Dealing with authorities
  • Transaction and activity monitoring
  • Customer due diligence.
ICA International Diploma in Financial Crime Prevention

Individuals on this pathway will gain the knowledge they need to understand how financial crimes can be prevented and investigated. They will better understand the role that risk and compliance professionals have in the industry.

What’s covered:

  • Cybercrime, data, and information security
  • Combatting terrorism financing
  • Financial sector fraud
  • International agencies and standard setters
  • Corporate and business frauds
  • Global investigation, prosecution, and recovery.
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 9-12 month course assessed by three written assignments of 3,000-3,500 words
  • Guided online studies and live participation sessions, including two virtual classrooms, an immersive learning scenario, and three 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 strategy and planning, analysis, problem solving, honesty and integrity, communicating and influencing, flexibility, and resilience. Apprentices will have a higher level of competence and confidence to assess potential risk or 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.

Professional Discussion

Apprentices also undertake an unstructured discussion with the independent assessor and a representative from a different Financial Services organisation. It will last approximately 90-150 minutes, focusing on the Knowledge, Skills, and Behaviours they have learned in this programme.

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

This apprenticeship will be available at set times in the year - please contact us to find the next availability.

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Why choose Kaplan?

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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.

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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.

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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.

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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.

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Start your career

Apply for one of our apprentice jobs today.

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