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Apprenticeship Level 4
Regulatory Compliance Officer

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Duration: 24 Months

Level: 4
Who is this for: Finance Apprenticeship

How to Apply: Please check with your line manager before Applying. 

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About

The Regulatory Compliance Officer Level 4 apprenticeship develops learners’ knowledge and skills to enforce the law working for a regulatory body. It also equips learners working in the private sector to best assure their organisation is compliant with legal requirements such as Health and Safety at Work and Data Protection. Learners completing this programme will gain the relevant knowledge, skills, and behaviours to  confidently carry out inspections, investigate complaints, and advise on business compliance.

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Who is this programme for?

  • A regulator who enforces the law working in Local Government including Trading Standards, Environmental Health, Environmental Protection, Licensing, Housing and Planning.

  • A regulator who enforces the law working for a national Regulator such as HSE, CAA, DVSA, EA, OFQUAL, ORR, FSA, OPSS…

  • A Compliance Officer working within a company to help assure compliance with the law or standards. This might be in sectors including Care, Health Education, Manufacturing, Logistics, Retail, Finance, Pharmaceuticals, Construction etc.

Course Overview

Building on your existing skills and experience, during this apprenticeship you will:

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Build a foundation

  • What is regulation

  • Law making

  • Good regulatory delivery

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Deepen your understanding

  • Regulatory framework and legislation

  • How to motivate compliance

  • The impact of bad regulation

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Excel and exceed

  • Risk assessments

  • Carrying out thorough investigations

  • Producing and investigation report

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Image by Kelly Sikkema

End Point Assessment

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  1. 90-minute knowledge exam

  2. 2-hour observation of professional practice based on a practical scenario

  3. 30-minute professional discussion (underpinned by portfolio)​​

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