Senior Compliance & Risk Specialist

Giving high-level advice to financial services organisations on the legal and regulatory rules they must follow, such as on data security or preventing money laundering.

Standard Code


On Programme Delivery

36 months



Gateway Requirements

• Level 2 Maths and English.
• Submitted project.
• Submitted portfolio.

Pre-Assessment Meeting

• 30 minutes maximum.
• Remote telephone or video conference.
• Explanation of the assessments.

Assessment Methods

Project Assessment
• Remotely assessed by our assessors.

Panel Interview
• Carried out remotely.
• 90-150 minute duration.
• Conducted and assessed by our assessor but a representative from another financial services employer who has the relevant compliance/risk expertise will be present.


• Fail/Pass/Distinction.
• Results released within 5 working days of final assessment result.


• Sent from ESFA directly to employer.
• Certificate received 5 days after final apprentice grade is released.