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NOCN EPA Compliance Risk Officer

This NOCN EPA will assess the competency of a Compliance Risk Officer apprentice against the Skills, Knowledge and Behaviors specified in the Standard.

  • Reference: NOCN EPA Compliance Risk Officer
  • Level: 3

Duration: 15 Months • Funding Band: 9 • Maximum Funding: £9000


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 Compliance/Risk departments that are experts in legislation or regulatory requirements. These provide proactive support and guidance to the business to ensure it meets requirements, balanced against achieving customer outcomes.

Within the Risk/Compliance function of an organisation, the role of the Compliance/Risk Officer may include providing relatively straightforward support and advice to the business on their specific area(s) of expertise e.g. financial crime, training, competence, fraud, analysing data, maintaining records, producing reports, and reviews/audits.

The role requires sound ethical standards with good communication and influencing skills to address any conflicts between business and Compliance functions. Sound underpinning knowledge of risk and compliance frameworks, policies and procedures will be required. The role may cover compliance or risk functions or be a blend of both depending on the organisation.

Entry Requirements

Individual employers will set the selection criteria for their Apprenticeships. It is recommended that employers may want most candidates to have Level 2 and English. Other relevant or prior experience may also be considered as an alternative.


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