Risk, Regulation & Compliance Foundation
This individual has demonstrated an understanding of how to assess and mitigate risk of non-compliance, and how to apply and monitor adherence to relevant policies and regulations in business processes and systems. They have successfully completed a Tech Industry Gold accredited training programme, meeting industry skills standards for employability in entry level Risk, Regulation and Compliance Analyst roles, with a holistic blend of technical, business, project and professional skills.
Skills / Knowledge
- Business Value And Risk
- Communication
- Due Diligence
- Project Management
- Regulation
- Regulatory Reporting
- Risk Management
- Stakeholder Management
- Teamwork
Earning Criteria
Required
”Technical foundations including systems development lifecycle stages, data management and analysis, use of visualisation tools, safety and security.”
“Business understanding including the application of technology to deliver business value, risk management, and regulation and compliance.”
“Project management processes and tools, including planning, delivery, evaluation and the management of, quality, stakeholder communications and risk.”
“Identification and application of governance, risk management and compliance policies, processes and solutions, including data flows and regulatory reporting. ”
“Analysis of regulatory opportunities, challenges and strategies in different contexts, e.g. financial services, retail, consumer protection. ”
“Recognition of key types of financial crimes.”
“Compliance with due diligence processes relating to trade regulations.”
“Categorisation and assessment of risks faced by an organisation, eg credit, market, operational or compliance risk.”
“Choosing appropriate approaches to long-term avoidance of unacceptable levels of risk, including human factors and the roles of employees and stakeholders.”
“Professional skills including client communications, teamwork, self-direction and personal performance improvement.”