There is increasing pressure on organisations to ensure that their business activities comply with statutes, regulations and standards, both local and international. The responsibility for compliance lies with top management and organisations are increasingly seeking the services of compliance practitioners to advise, support, monitor and control risk-based compliance frameworks.  This qualification aims to prepare a learner to provide compliance services to assist management to discharge their responsibilities to comply with applicable regulatory requirements.

  • Qualification: Occupational Certificate: Compliance Officer (SAQA ID: 91671)
  • NQF Level: 6
  • Credits: 240
  • Duration: 18 months

A qualified learner will be able to:

  • Design and implement compliance risk management frameworks
  • Define, assess, maintain and advise on the regulatory universe
  • Develop, facilitate compilation of and review compliance risk management plans
  • Conduct compliance monitoring
  • Compile and submit internal and external compliance reports
  • Interact with industry regulators, supervisors and stakeholders

This curriculum is made up of the following Knowledge, Practical Skill and Work Experience.

Module 1: Enterprise risk management

Module 2: Compliance principles

Module 3: Compliance practice

Module 4: Change management

Module 5: Project management

Module 6: Generic Management principles

Knowledge Modules:

 

  • 242207000-KM-01: Enterprise Risk Management (Compliance Officer)
  • 242207000-KM-02: Compliance Principles
  • 242207000-KM-03: Compliance Practice
  • 242207000-KM-04: Change management (Compliance Officer)
  • 242207000-KM-05: Project Management (Compliance Officer)
  • 242207000-KM-06: Generic Management Principles (Compliance Officer)

Practical Skill Modules:

 

  • 242207000-PM-01 Design and implement Compliance Risk Management Frameworks
  • 242207000-PM-02 Define, maintain and advise on the regulatory universe
  • 242207000-PM-03 Develop, facilitate compilation of and review compliance risk management plans
  • 242207000-PM-04 Conduct compliance monitoring
  • 242207000-PM-05 Compile and submit internal and external compliance reports
  • 242207000-PM-06 Interact with industry regulators, supervisors and stakeholders

Work Experience Modules:

  • 242207000-WM-01 Compliance risk management design and implementation processes
  • 242207000-WM-02 Regulatory universe definition and maintenance processes
  • 242207000-WM-03 Compliance Risk Management Plan development processes
  • 242207000-WM-04 Compliance monitoring processes
  • 242207000-WM-05 Compliance reporting processes
  • 242207000-WM-06 Industry regulator, supervisor and stakeholder interactions

An external integrated summative assessment, conducted through the relevant QCTO Assessment Quality Partner is required for the issuing of this qualification.