Apprenticeship training course

Regulatory compliance officer (level 4)

There are 12 training providers who offer this course. Check if a training provider can deliver this training in the apprentice's work location.

Information about Regulatory compliance officer (level 4)

Performing regulatory services functions and/or supporting compliance activities.

• Knowledge, skills and behaviours:
  View knowledge, skills and behaviours

  Knowledge

  • The role of regulation as a tool of Government
  • Legal frameworks and powers
  • The law and where it applies to businesses customers
  • The legislation relevant to their regulatory function(s)
  • The role and responsibilities of partner organisations and their interrelationships
  • The architecture of regulatory frameworks and their role within it
  • Risk assessment as a tool to support compliance
  • Knowledge of the business environment they interact with
  • How regulation and the way it is enforced can impact on the businesses regulated
  • The factors that affect business approaches to compliance
  • The need to provide compliance support to businesses they work with
  • The value of feedback from those they regulate, and the beneficiaries of regulation such as consumers in informing future activities

  Skills

  • Plan and deliver compliance support services in line with business expectation
  • Carry out activities in line with their organisations regulatory outcomes - ensuring business prosperity and consumer/environmental protection
  • Work within the organisations policies and procedures and the law
  • Assess regulatory risks and use risk assessment to guide their activities and target resources
  • Gather, analyse, use and share data to inform risk assessment
  • Engage constructively with business and tailor their approach to businesses that they interact with
  • Take account of the provisions of statutory Codes in order to engage effectively with businesses
  • Plan their compliance support activities so as to deliver their responsibilities efficiently
  • Work as part of a team building and maintaining good working relationships with both business and regulator stakeholders
  • Make appropriate intervention choices to have the greatest impact on supporting compliance
  • Take a proportionate approach to intervention choice
  • Work effectively with other organisations
  • Prepare appropriately for checks on compliance
  • Conduct interventions in a proportionate manner
  • Be responsive to the circumstances encountered
  • Make informed assessments of compliance and risk
  • Follow-up on checks on compliance in an appropriate manner
  • Promote the importance of compliance, and their organisations role in supporting compliance
  • Provide information and guidance that is needed by businesses and/or those they regulate
  • Provide the tailored advice that is needed by businesses where appropriate
  • Communicate effectively with businesses that have failed to comply
  • Work with partner organisations to support proportionate, risk based responses to non- compliance
  • Conduct thorough investigations of non-compliance and allegations of non-compliance
  • Take actions to deal with non- compliance using a wide range of interventions including advice and guidance, formal letters and notices. Where necessary impose sanctions
  • Provide appropriate support for those adversely affected by non-compliance
  • Having sound judgement. This includes making decisions about the relevance, quality and accuracy of the information available and using and sharing it appropriately
  • Monitor and report on their activities and performance
  • Evaluate their activities in relation to their regulatory objectives and their organisations strategic priorities
  • Use IT systems to manage, share and store information in accordance with data protection requirements where appropriate
  • Use digital technologies to communicate with and support partner organisations and regulated entities
  • Use digital competencies to support the regulation of online markets

  Behaviours

  • Working collaboratively and building professional relationships with colleagues and partner organisations
  • Delivering at pace, working to agreed goals and activities, responding to challenges constructively, for example managing time well and thinking positively
  • Delivering a quality service by having a customer focussed mindset
  • Leading by example. This includes being even-handed, supportive, and not letting personal opinions override business needs, and communicating professionally, openly and honestly
  • Being open to change. This includes being creative in supporting continuous improvement or changes to systems or processes
• Apprenticeship category (sector): Business and administration
• Qualification level: 4; Equal to higher national certificate (HNC)
• Course duration: 24 months
• Maximum funding: £6,000 ; Maximum government funding for ; apprenticeship training and assessment costs.

View more information about Regulatory compliance officer (level 4) from the Institute for Apprenticeships and Technical Education.