Occupational Certificate: Compliance Officer

(SAQA ID: 91671)
NQF Level: 6
Credits: 240
Length: 2 years

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.

Occupational Certificate: Compliance Officer (SAQA ID: 91671)

Higher Institution graduates, typically with accounting or legal qualifications, Accounting or legal professionals, Practitioners currently operating in the compliance field

A recognised NQF L4 qualification granting access to tertiary studies at NQF L6

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

A qualified learner will be able to:
• Apply and adhere to operational and administrative procedures and practices
• Evaluate risk information to determine risk profile and manage risk exposure
• Understand and apply basic legal and insurance principles to underwriting recommendations
• Understand and apply knowledge of product and pricing to underwrite profitable risks

This qualification also requires the following compulsory Work Experience Modules:
• Records maintained accurately and effectively
• Risk exposure is managed
• Legal and insurance principles applied
• Competitive rating applied

An external integrated summative assessment conducted through INSETA as the Quality Council for Trades and Occupations (QCTO) Assessment Quality Partner is required for the issuing of this qualification. The external integrated summative assessment will focus on the exit level outcomes and associated assessment criteria.

This curriculum is made up of the following Knowledge and Practical Skill modules:
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:

This qualification also requires the following compulsory Work Experience modules:
• 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

Successful completion of the above modules leads to entrance into the integrated external summative assessment. The successful completion of an external integrated summative assessment conducted by the Compliance Institute South Africa; as the QCTO Assessment Quality Partner; is required for the issuing of this qualification.

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