About this course
The Level 3 Providing Financial Services (Compliance & Risk Pathway) Apprenticeship has been designed to support employees to develop the skills and knowledge required to work effectively within compliance and risk-focused areas of the financial services sector. The apprenticeship provides a robust vocational route for learners developing their knowledge and skills in compliance, risk management and fraud prevention.
Who is the apprenticeship for?
- Ideal for apprentices developing their career in compliance and risk.
- Perfect for existing employees looking to upskill themselves to take on a more responsible role within their team
- Financial services professionals who want an accredited qualification to affirm their existing experience in the field.
Accelerate Career Growth: Apprentices gain valuable skills and knowledge specific to the life, pensions and investments industry, enhancing their expertise in customer service, financial products and services and industry regulations. Through practical experience and structured learning, apprentices will develop personally and professionally, acquiring transferable skills that will benefit them throughout their career. Successful completion of the qualification opens doors to various career opportunities within the life, pensions and investment sector such as Senior Pensions Administrator, Fund Manager or Pensions and Investments Advisor.
Industry-Recognised Certification: Apprentices will have the opportunity to earn an industry-recognised certification, providing them with a competitive edge in the job market. Employer’s value the skills and expertise gained through this apprenticeship, opening doors to exciting opportunities.
Tailored Curriculum: Our comprehensive curriculum is designed to meet the demands of the continually evolving insurance industry. It has a flexible approach and allows apprentices and their employers to choose optional and additional units that meet the requirements of their job role. Apprentices will cover essential topics such as regulatory compliance, customer relationship management, communication skills, teamwork and conflict resolution.
Experienced and Knowledgeable Advisors: Throughout the apprenticeship, we will provide access to a network of experienced advisors who will offer guidance, coaching, support, and feedback.
This apprenticeship is made up of a combination of mandatory units and optional units. We will work with you to decide which optional modules are most suited to you and your job role.
Units include:
- Complying with regulations within the financial services environment.
- Improving and maintaining workplace competence in a financial services environment.
- Developing productive working relationships with colleagues.
- Identify and assess risks to an organisation.
- Monitor compliance with organisational procedures and regulatory requirements.
- Support the management of risk in a business environment.
- Detecting and preventing fraud.
- Typical duration of 18 months.
- Induction session for apprentices and for their line managers.
- One to One tutor coaching and assessment support sessions.
- Interactive online learning materials through the ICA learning platform/app.
- Online multiple-choice examination for ICA Certificate.
- 4 Essential skills assessment days. (2 Preparation days and 2 Live Task days) **
- 2 x hour long essential skills confirmatory tests. **
Essential Skills activities are not applicable to apprentices with exemptions.
- Level 3 NVQ Certificate in Providing Financial Services (Compliance and Risk Pathway)
- International Compliance (ICA) Certificate or Specialist Certificate
- Highfield Level 3 Certificate in Customer Service
- Essential Skills Wales Level 2 in Communication
- Essential Skills Wales Level 2 in Application of Number
Essential skills may not be applicable where apprentices can show an exemption
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