Skip to main content

This is a new service – your feedback will help us to improve it.

Apprenticeship training course

Regulatory compliance officer (level 4)

Performing regulatory services functions and/or supporting compliance activities.

Qualification level
Equivalent to higher national certificate (HNC).
Typical duration
24 months
Apprenticeship category
Business and administration
Maximum funding
Maximum amount government will fund
for apprenticeship training.
Skills an apprentice will learn
  • 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

Full information on Regulatory compliance officer (level 4) is available from the Institute for Apprenticeships and Technical Education.

Find training providers for this course

Apprenticeship location

Check if a provider can offer this training for the apprenticeship location.

Back to top View shortlist