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Senior Compliance and Risk Specialist

All financial services organisations have to meet a wide range of compliance and risk requirements set out in legislation e.g. data security, or required by regulators e.g. financial crime, operational risk. To meet these requirements many organisations will have dedicated Risk and/or Compliance departments.

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What is the background to this programme?

The role of the Senior Compliance/Risk Specialist is to provide high quality input and advice to the business in their specialist area(s) of expertise e.g. risk, financial crime, compliance, modelling/analysing data. This is likely to include dealing with complex problems, implementing new legal / regulatory requirements, working with senior managers in the organisation.

What qualification is achieved?

The apprentice will complete one appropriate qualification (as considered most relevant by the employer) from one of the following Professional Bodies:

  • International Compliance Association – Diploma in Anti Money Laundering; Diploma in Governance, Risk, Compliance; Diploma in Bus Compliance; Diploma in Financial Crime Prevention; Advanced Cert in Anti Money Laundering; Advanced Cert in Practical Customer Due Diligence; Advanced Cert in Compliance; Advanced Cert in Managing Fraud
  • Chartered Institute of Securities & Investment – Diploma in Investment Compliance
  • London Institute of Banking & Finance – Chartered Associateship Programme
  • Chartered Banker Institute – Associate Chartered Banker Diploma; Chartered Banker Diploma; Professional Bankers Certificate; Professional Bankers Diploma
  • Chartered Insurance Institute – Advanced Diploma in Insurance; Diploma in Insurance
  • Chartered Institute of Credit Management – Diploma in Credit Management; BA(Hons) Credit Management; CSA Diploma in Compliance Risk Management
  • Institute of Risk Management – International Certificate in Risk Management; Certificate in Risk Management in FS; International Diploma in Risk Management
  • Chartered Banker Institute (CBI)


What is covered?

  • Risk and compliance framework
  • Industry and company understanding
  • Customers and products
  • Systems and processes
  • Specialist risk
  • Financial crime
  • Strategy and planning
  • Delivering services
  • Analysis and problem solving
  • Communicating and influencing


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What are the entry requirements?

Individual employers will set the selection criteria for their Apprenticeships.

What are our previous attendees saying? 

“I wholeheartedly recommend Davies Learning Solutions, my learning journey has been clear and supported and I passed first time – thank you!”

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