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Level 4 Regulatory Compliance Officer

Well-designed and enforced regulation plays a vital role in improving the way markets work for the benefit of business, employees and citizens, supporting sustainable growth, trade and investment and improved social and environmental outcomes. It is well recognised that the regulatory climate is a key contributor to the creation of a positive and supportive business environment whilst also assuring public and environmental protection.

Lasting 24 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 4 brochure


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This qualification is broken down into 14 Units.

 

Unit 1: Regulation

  • Own regulatory framework presentations
  • Interpreting regulation Support networks
  • Summary of unit 

 

Unit 2: Risk Assessment

  • Introduction to risk
  • Risk assessment models and methods
  • Risk assessment in the public sector

 

Unit 3: Business Stakeholders and their Compliance Needs

  • Examine the importance of establishing strategic relationships with key stakeholders
  • Understanding and mapping the needs and concerns of stakeholders
  • Summarise the integral conditions for forming relationships with stakeholders
  • Commission and canvas support throughout the organisation

 

Unit 4: Evaluation & Evaluate

  • Advantages of internal and external evaluation
  • Objective setting
  • Evaluate how a compliance system and controls fit into the business planning cycle
  • Create a continuous review cycle for own performance
  • Critically evaluate the outcomes which distinguish between ethical and compliance driven behaviours

 

Unit 5: Deliver a Service

  • Devise achievable milestones that will monitor the progress of the implementation of the compliance service
  • Commission and canvas support from the organisation for a corporate approach to the delivery of a strategic compliance plan
  • SMART objectives
  • Devise achievable milestones that will monitor the progress and outcomes of the compliance service
  • Create a continuous review cycle which will measure the effectiveness of the organisation's regulatory outcomes ensuring business prosperity and consumer/environmental protection
  • Work within the organisation's policies and procedures and the law

 

Unit 6: Risk Assess

  • Produce reflective learning review of project to evaluate where a risk assessment of regulatory risks would have been beneficial to the project
  • Create outline of what would be done next time following taught aspects of risk management

 

Unit 7: Collect and Analyse Data

  • Learners will compare use of data to inform risk assessment completed in month 10
  • MI available in organisations
  • Identifying and using compliance MI to improve performance
  • Good MI practices

 

Unit 8: Understand Businesses they Work With

  • Identify and explain the statutory codes applicable to your organisation
  • Explain how a compliance process system can be used in own firm to achieve compliance with statutory code compliance driven behaviours

 

Unit 9: Plan Activities

  • Individual objective setting
  • Individual organisational planning
  • Time management techniques
  • Setting team activities
  • Teamwork
  • Risk assessing individual and team priorities
  • Measuring success

 

Unit 10: Choosing Appropriate Interventions

  • Measuring and monitoring compliance in accordance with a management system
  • Teamwork reminder
  • Conflict management
  • Using proportionate and measurable outcomes rather than opinions when providing feedback
  • Using proportionate and measurable outcomes to choose where to intervene
  • Communication techniques within and outside own business

 

Unit 11: Check Compliance

  • Compliance management system
  • Quality monitoring in own firms
  • Identifying measurable outcomes
  • Identifying practical requirements
  • Communicating audit/monitoring agenda
  • Considerations while conducting compliance checks
  • Making objective decisions
  • Processes for continual improvement

 

Unit 12: Support Compliance

  • Maintain records of promoting compliance, information and guidance in own firm providing additional support where advised by tutor
  • Maintain records of providing advice throughout own business
  • Evaluate own performance when providing compliance support

 

Unit 13: Respond to non-compliance

  • Investigating non-compliance
  • Communicating in difficult circumstances
  • Role of compliance consultants
  • Working with others to obtain and provide support
  • Risk assessing non-compliant behaviour
  • Risk based approach to resolving non-compliance

 

Unit 14: Effective Decision Making

  • Audit a key IT system demonstrating findings in relation to Data Protection compliance
  • Demonstrate communication with regulator using online technologies providing explanations of approach taken

 

Unit 15: IT and Digital

  • Audit a key IT system demonstrating findings in relation to Data Protection compliance
  • Demonstrate communication with regulator using online technologies providing explanations of approach taken

 

Learn more

To learn more about CSA Apprenticeships please contact us:

T: 0191 217 3073

E: sales@csa-uk.com

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

F: 0191 236 2709

E: info@csa-uk.com

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