Compliance and Risk Officer Level 3

Entry Requirements:
English & maths GCSE at grade 9-4
Cost:
FREE*

Compliance and Risk Officer Level 3

The Level 3 Compliance and Risk Officer Apprenticeship is the perfect starting point for those looking to enter the compliance or risk profession within financial services. Designed for school leavers, career changers, or upskilling professionals, it combines practical experience with structured training to develop the skills needed to protect organisations from legal, financial, and reputational risks.

Spanning approximately 15–20 months, the programme covers core areas such as anti-money laundering, fraud prevention, governance, and customer due diligence. Apprentices apply their learning in real-world settings and work toward a respected industry qualification—such as an ICA Certificate or CISI Award—building strong foundations in regulatory understanding, analysis, and effective communication.

Graduates emerge ready for roles like Compliance Analyst or Risk Officer, with the confidence to contribute to regulatory integrity and business assurance. This apprenticeship is a smart, accessible route into a rewarding and fast-growing sector.

Spanning approximately 15–20 months, the programme covers core areas such as anti-money laundering, fraud prevention, governance, and customer due diligence. Apprentices apply their learning in real-world settings and work toward a respected industry qualification—such as an ICA Certificate or CISI Award—building strong foundations in regulatory understanding, analysis, and effective communication.

Graduates emerge ready for roles like Compliance Analyst or Risk Officer, with the confidence to contribute to regulatory integrity and business assurance. This apprenticeship is a smart, accessible route into a rewarding and fast-growing sector.

Entry Requirements:
  • English and Maths: Typically, candidates should have GCSEs at grades 9–4 (A*–C) in English and Maths.
  • Alternative Qualifications: Equivalent Level 2 qualifications or relevant prior experience may also be considered.
  • Employer Discretion: Individual employers set specific selection criteria, so requirements may vary.
Duration:
Approximately 20 months

Skills Learned:

Apprentices will develop knowledge and skills in the following areas:

  • Regulatory Frameworks: Understanding the legal and regulatory environment, including the roles of various regulators and the implications of non-compliance.
  • Risk and Compliance Policies: Comprehending specific requirements related to operational risk, financial crime, know your customer (KYC), training and competence, conduct risk, complaints, and data security.
  • Industry and Company Insight: Grasping the organisation’s role within the financial services sector, its products and services, and approaches to delivering fair customer outcomes.
  • Systems and Processes: Familiarity with the tools and processes used in the role, including IT systems.
  • Service Delivery: Utilising company systems to deliver services, provide advice based on regulatory requirements, and support internal reviews and audits.
  • Analysis and Problem-Solving: Investigating issues such as fraudulent transactions and recommending solutions.
  • Communication and Influence: Effectively communicating and influencing within the organisation, especially when addressing compliance issues.
  • Planning and Organisation: Managing workloads to meet commitments and key performance indicators (KPIs), including regulatory deadlines.
Assessment Components
  • Interview: Conducted by an independent assessor, underpinned by a portfolio of evidence.
  • Project Report and Presentation: A written project report followed by a presentation and question session.
Cost:
FREE*

If you have any questions please contact us!

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Compliance and Risk Officer Level 3

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