This document outlines an apprenticeship program for financial services employees to ensure compliance with FCA guidelines. The apprenticeship covers mandatory and optional units on developing workplace competence, maintaining relationships, and complying with regulations. Employers can customize units and substitute some for leadership options. The program provides valid evidence of ongoing staff knowledge of FCA principles through internal training, annual assessments, and CPD. It offers government-funded, internationally recognized certifications tailored to each organization and delivered by in-house experts.

1. Successful Compliance
Through Apprenticeships

2. Compliance Focus

3. FCA Guidelines
Vulnerability assessment
Fair and relevant payment plans
Clear and concise advice
Demonstrating Success

4. Wescot Providing Financial
Services Integrated Programmes
Advisor Auditors Team Managers
Mandatory • Develop yourself to improve and
maintain workplace competence in a
financial services environment
• Develop productive working
relationships in a financial services
environment
• Ensure you comply with regulations in
the financial services environment
• Develop yourself to improve and
maintain workplace competence in a
financial services environment
• Develop productive working
relationships in a financial services
environment
• Ensure you comply with regulations in
the financial services environment
• Develop yourself to improve and
maintain workplace competence in a
financial services environment
• Develop productive working
relationships in a financial services
environment
• Ensure you comply with regulations in
the financial services environment
Optional • Agree a way forward on repayments
with the debtor
• Negotiate repayment solutions to
outstanding debts
• Provide callers with specialised
assistance in a financial services
environment
• Handle telephone calls with debtors in
an effective way
• Ensure compliance with legal,
regulatory, ethical and social
requirements
• Oversee and maintain the effectiveness
of the debt collections process
• Monitor and safeguard debt repayment
arrangements
• Manage people’s performance at work
• Ensure compliance with legal,
regulatory, ethical and social
requirements
• Lead your team
• Manage people’s performance at
work
• Manage Business relationships
with clients in a financial services
environment
• Support individuals learning and
development in a financial services
environment
Option to substitute individual units to provide
succession development
Option to substitute for a Leadership
management option – see Management Options
Option to substitute for a Leadership
management option – see Management
Options
Enhancements • Demonstrate understanding of
customer service
• Demonstrate understanding of the
rules that impact on improvements in
customer service
• Demonstrate understanding of
customer service
• Demonstrate understanding of the
rules that impact on improvements in
customer service
• Demonstrate understanding of
customer service
• Demonstrate understanding of the
rules that impact on improvements in
customer service

5. Valid and reliable evidence of Success!
Ongoing evidence of staff knowledge and understanding of the FCA
principles
Annual candidate follow up to ensure ongoing knowledge and
understanding of the FCA regulations
Internal training programme certificated with an Internationally
recognised qualification
Ongoing CPD directly linked to your organisational needs
What’s in it for you?

6. Apprenticeship Summary
 Government Funded
 Internationally recognised certificated qualifications
 Bespoke to your organisation linking internal processes
with FCA guidance
 Delivered by your own team of subject experts

7. Apprenticeship Summary
 Government Funded
 Internationally recognised certificated qualifications
 Bespoke to your organisation linking internal processes
with FCA guidance
 Delivered by your own team of subject experts