Financial Services Senior Compliance/Risk Specialist (level 6)

The Senior Financial Services Compliance/Risk Specialist (level 6) apprenticeship programme is typically 36 months in duration and prepares people for the a more senior role of that involves providing high quality input and advice to the business in their specialist area(s) of expertise e.g. risk, financial crime, compliance. This is likely to include dealing with complex problems, implementing new legal/regulatory requirements, and working with senior managers in the organisation. 

As part of the apprenticeship standard, the apprentices will  will complete one appropriate qualification (as considered most relevant by the employer) from one of the identified Professional Bodies. The ICA qualifications you can study for this standard are:

Apprentices will be graded at Fail, Pass and Distinction grades. The Distinction is designed to recognise the small proportion of apprentices who are seen as outstanding employees, regularly going beyond what is required to be competent in the role and seen as having greatest potential for the future.

End-Point Assessment Structure

End-point assessment contains 3 components:

  • A project that demonstrates the capability of the apprentice to deliver the core of the role
  • A portfolio of evidence, including reflective learning, created through the apprenticeship, which contains a range of types of evidence and supports the project, focusing particularly on the remaining areas of the standard
  • A structured panel interview that will focus primarily on the skills and behaviours of the standard, testing the competence of the apprentice as well as exploring the project, the content of the portfolio, how it has been produced and how well they are performing in their role.

Grades & Certification

At the end of the apprenticeship standard, successful apprentices are awarded with Pass or Distinction. ICA will arrange for production of the final certificate from the Education Skills Funding Agency (ESFA) and they will be invited to attend an ICA Awards Ceremony.

Professional Membership

Apprentices who are undertaking their end-point assessment with ICA will be made members of the ICA following registration. Upon successful completion the apprentice can apply for Professional Membership of the appropriate Professional Body depending upon the qualification taken. Find out more about ICA membership here.


To request more information, please contact us below:


Financial Services Compliance/Risk Officer (level 3) - https://www.instituteforapprenticeships.org/media/1187/compliance_-_risk_officer.pdf

Senior Financial Services Compliance/Risk Specialist (level 6) - https://www.instituteforapprenticeships.org/media/1188/senior_compliance_-_risk_specialist.pdf

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