Occupational Certificate: Compliance Officer NQF 6

Compliance Officers generally provide compliance services to the management of a company, to assist them in discharging their responsibilities in complying with various regulatory, and legislative requirements.

Every company or organisation is required to comply with these various regulations, thus they need an expert at their disposal with knowledge and experience in legal matters, compliance risk management, as well as the compilation, implementation and reporting of compliance strategies.

Moonstone Business School of Excellence’s Occupational Certificate: Compliance Officer (NQF level 6) qualification equips our students with these expert skills, and practical experience. This gives the student confidence in their own working abilities, and advance their career.

What will this Qualification enable you to do?

Qualified students will be able to conduct Enterprise-wide Risk Management, apply compliance principles, commit to the compliance practices, design and implement various compliance plans and strategies, conduct compliance monitoring, and interact with various industry role-players.

Our qualification is not just aimed at preparing a student for compliance within the financial sector, but also compliance departments from other sectors.

This occupational qualification will form the apex of the compliance functionary learning path, and will allow access to the Integrated External Summative Assessment (EISA) with the Compliance Institute of South Africa (CISA).

This qualification is a recognised qualification by the Financial Services Conduct Authority (FSCA) for Category I, Key Individuals.

Who should apply?

  • Any current Compliance Officer,
  • Any prospective Compliance Officers, under supervision of, or in contractual agreement with an existing Compliance Officer (with five or more years of compliance experience).
Content

The qualification consists of the following Knowledge (theoretical), Practical and Workplace Modules:

  • Enterprise-wide Risk Management
  • Project Management
  • Generic Management Principles
  • Change Management
  • Compliance Principles
  • Compliance Practice
  • Define, Maintain and Advise on the Regulatory Universe
  • Design and Implement compliance Risk Management Frameworks
  • Develop, Facilitate Compilation of and Review Compliance Risk Management Plans
  • Conduct Compliance Monitoring
  • Compile and submit internal and external compliance report
  • Interact with Industry Role Players

Workplace Component (completed over the 2-year duration of the qualification)

  • Compliance Risk Management Design and Implementation Processes
  • Regulatory Universe Definition and Maintenance Processes
  • Compliance Risk Management Plan Development Processes
  • Compliance Monitoring Processes
  • Compliance Reporting Processes
  • Industry Regulator, Supervisor and Stakeholder Interactions

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Learning Material

Students will have online access to their study material which will include a study guide, videos, self-assessments and relevant additional resources.

Accreditation and Certification

Moonstone Business School of Excellence (Pty) Ltd (MBSE) is an accredited Skills Development Provider (SDP) of the Quality Council for Trades and Occupations (QCTO) for this qualification, governed by the Revised Occupational Qualifications sub-framework Act 67 of 2008. SDP code: SDP1228/16/0040.

MBSE is also an endorsed provider by the Compliance Institute of Southern Africa (CISA).

Moonstone Business School of Excellence (Pty) Ltd acknowledges that certification in occupational training and the content of the certificate are regulated by the National Board of Education and governed by the SAQA Act, 1995 (Act No 58 of 1995) as well as Regulation 1 of the Regulations for the Registration of Private Higher Education Institutions, 2002.

MBSE is also a registered Private College under the Continuing Education and Training Act 16 of 2006 (2018/FE07/028).

This qualification is recognised by the FSCA for Category I Compliance Officers.

Institutional occupational training
Students are awarded an Occupational Certificate, issued by the Quality Council of Trades and Occupations (QCTO), upon the successful completion of the EISA which will be set by the Compliance Institute of Southern Africa (CISA).

Assessments

FORMATIVE COMPONENT (MBSE)
As there are no classes to attend, students may progress through each module at their own pace; however, there are specific deadlines for the assessments that must be adhered to.
Each Knowledge or Practical Module has a:

  • Practical Assignment (Case Study, submitted online)
  • Online Assessment (can be in various forms)
  • Some modules (usually the Practical Modules) will have an online forum discussion to participate in

Workplace Modules will consist of a detailed log book, requiring the candidate to complete workplace-based tasks and must be signed-off by the candidate’s Compliance Officer (mentor). Specified evidence must accompany the workbook logs.

SUMMATIVE COMPONENT
Once a candidate has completed the Formative, MBSE will issue them with a Statement of Results (SOR) that will allow them to write the External Integrated Summative Assessment (EISA) with CISA.