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Level 3 Compliance Risk Officer

Compliance and Risk has become the hot topic in the financial services industry over the last few years. Now, more than ever, do we need skilled compliance professionals able to carry out their function successfully and appreciate the wider role of compliance within the firm.

The Level 3 Apprenticeship in Compliance Risk Officer is ideal for any experienced or inexperienced compliance professional to forge a career in compliance and to ensure your firm has the talent it needs.

Lasting 15 months the CSA use a blended approach to learning which includes:

  • Attendance at workshops
  • E-learning
  • Structured workplace learning
  • Tutorials from experienced tutors
  • Mini-projects

We are also able to 'build in' your internal training in order to save resource and ensure the qualification fully applies to your firm.

Level 3 Compliance brochure

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This qualification is broken down into 12 Units.

Unit 1: Compliance and your own role

  • Course induction
  • Key skills required to be a compliance officer
  • Identification of compliance tasks relating to own role
  • Identification of risk management relating to own role

Unit 2: Legislation and regulation in the Financial Services Industry

  • Financial Services and Markets Act
  • Financial Services Act
  • Financial Conduct Authority
  • Financial Ombudsman Service
  • Financial Crime
  • General Data Protection Regulation
  • Information Commissioners Office
  • Limitation Periods
  • Office of Communications
  • Role of the Credit Services Association

Unit 3: The Financial Services Market

  • The different types of businesses involved in the market
  • Role your firm plays in the Financial Services Market Departments within a Financial Services firm

Unit 4: Treating Customers Fairly and Conduct Risk

  • Treating Customers Fairly
  • Conduct Risk
  • Impact of external environment on financial services, best practice and customers
  • Delivering customer service to Vulnerable customers
  • Dealing with challenging customers and situations
  • Reviewing the performance of a team
  • Identify the potential for improvements to customer service
  • Support the implementation of improvements to customer service.


Unit 5: Internal Systems, Tools and Processes

  • Identifying systems, tools and processes required within your role
  • Demonstrate an ability to use the systems, tools and processes required for your role
  • Improve the manner in which you use systems, tools and processes


Unit 6: Compliance Process Systems

  • Why compliance process systems are essential
  • Understand how compliance process systems can safeguard against external complaints from regulatory bodies
  • Understand the key elements that impact on compliance process systems in relation to data protection required by legislation
  • How compliance process systems can help an organisation to identify any criminal or suspicious activities

Unit 7: Governance

  • Importance and meaning of governance
  • Producing governance reports
  • Analysing management reports producing and completing set actions
  • Read and interpret reports, summarising required information

Unit 8: Role of the Compliance Officer

  • Understand the role and key responsibilities of a compliance officer
  • Assess the interrelationship between compliance and risk
  • Understand key compliance factors for managing external relationships.
  • Understand key business parameters for monitoring compliance.
  • Understand ‘Root Cause Analysis’ methodology
  • Be able to assess appropriate methods for measuring the effectiveness of compliance to reduce business risk

Unit 9: Relationship between Compliance and Risk

  • Risk Management Techniques
  • Risk Management in own firm
  • How risk interacts with compliance

Unit 10: Relationship between Compliance and Audit

  • Auditing Techniques
  • Auditing process in own firm
  • How audit interacts with compliance

Unit 11: Improving Self and Business Processes

  • Learner will focus on one skill, knowledge or behaviour they can improve
  • Learner will create recommendation for the improvement of one business process

Unit 12: Gateway to Assessment

  • Learner will create a mini-project as a mock assessment
  • Learner will be prepared for the professional discussion and interview


Learn more

To learn more about CSA Apprenticeships please contact us:

T: 0191 217 3073


Credit Services Association,
2 Esh Plaza, Sir Bobby Robson Way,
Great Park, Newcastle upon Tyne,
NE13 9BA Map

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T: 0191 217 0775


Credit Services Association Limited 
Registered in England and Wales No. 00089614

CSA (Services) Ltd
Registered in England and Wales No. 05055685

Registered address:
2 Esh Plaza, Sir Bobby Robson Way, Great Park, Newcastle upon Tyne, NE13 9BA