Deliver a Service
- Plan and deliver compliance support services in line with business expectation.
- Carry out activities in line with their organisation’s regulatory outcomes – ensuring business prosperity and consumer/environmental protection.
- Work within the organisation’s policies and procedures and the law
- Assess regulatory risks and use risk assessment to guide their activities and target resources.
Collect and analyse data
- Gather, analyse, use and share data to inform risk assessment.
Understand businesses they work with
- 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 activities
- 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
Choose appropriate interventions
- 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 organisation’s 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.
Respond to noncompliance
- Communicate effectively with businesses that have failed to comply.
- Work with partner organisations to support proportionate, risk based responses to noncompliance.
- 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.
Effective decision making
- 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 organisation’s strategic priorities.
IT and Digital
- 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
- The role of regulation as a tool of Government.
- Legal frameworks and powers.
- The law and where it applies to businesses customers
- The legislation relevant to their regulatory function(s).
- The role and responsibilities of partner organisations and their interrelationships.
- The architecture of regulatory frameworks and their role within it.
- Risk assessment as a tool to support compliance
Business stakeholders and their compliance needs
- Knowledge of the business environment they interact with.
- How regulation and the way it is enforced can impact on the businesses regulated.
- The factors that affect business approaches to compliance.
- The need to provide compliance support to businesses they work with.
- The value of feedback from those they regulate, and the beneficiaries of regulation such as consumers in informing future activities.
- Working collaboratively and building professional relationships with colleagues and partner organisations.
Delivery at pace
- Delivering at pace, working to agreed goals and activities, responding to challenges constructively, for example managing time well and thinking positively.
Quality service delivery
- Delivering a quality service by having a customer focussed mindset
Leadership and communication
- Leading by example. This includes being even-handed, supportive, and not letting personal opinions override business needs, and communicating professionally, openly and honestly.
Change and improvement
- Being open to change. This includes being creative in supporting continuous improvement or changes to systems or processes.
Whilst any entry requirements will be a matter for individual employers, typically an apprentice might be expected to have already achieved GCSE Maths and English on entry.
Apprentices without level 2 English and maths will need to achieve this level prior to taking the end-point assessment.
Typically 24 months. Level 4. Renewal 3 years from date of approval
Professional Qualifications / Recognition
This is a Level 4 apprenticeship.
Originally published on Gov.uk, this information has been re-used under the terms of the Open Government Licence.";