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Occupational Certificate in Compliance Officer (NQF 6)

QCTO Occupational Qualifications 240 Credits 2 Years Register
Section 1

Purpose of Qualification

This qualification aims to prepare a learner to provide compliance services to assist management to discharge their responsibilities to comply with applicable regulatory requirements

Section 2

Career Focus

  • Entrepreneur
  • Internal external compliance auditor in Banking
  • Insurance
  • Pension Management
  • Facilitator
  • Investment Management
Section 3

Registered with

Department of Higher Education and Training

Section 4

Accredited by

QCTO (SAQA ID: 91671)

Section 5

Admission requirements

  • Sound educational background e.g. Degree or professional in an appropriate discipline
  • Having completed the Foundation Certificate in Compliance Practice
  • Three years relevant work experience
Section 6

Assessment of Programme

African Union Skills Development will conduct internal assessments by means of assessment activities and signed-off work experience log sheets. Upon successful completion of all modules, African Union Skills Development provides a statement of results to the candidate and QCTO, as part of the candidate’s application to complete the External Summative Assessment conducted by the QCTO.

Section 7

Prerequisite

  • Communication Skills at NQF Level 4
  • Mathematically Literacy at NQF Level 4
  • Recognition to Prior Learning
  • Recognised NQF Level 4 qualification granting access to tertiary studies at NQF Level 6
Section 8

Module Breakdown

Occupational Certificate Compliance Officer – Module Breakdown Year 1

Year 1 Total Credits: 120

Semester 1

NQF Level

Credits

Compliance Officer (KM)
6
6
Compliance Principles (KM)
6
12
Compliance Practice (KM)
6
30
Change Management:
Compliance Officer (KM)
6
6
Project Management: Compliance
Officer (KM)
6
3
Generic Management Principals:
Compliance Officer (KM)
6
3

Semester 2

NQF Level

Credits

6 Design and Implement
Compliance Risk Management
Framework (PM)
6
9
Define,Maintainandadvise
ontheRegulatoryUniverse (PM)
6
12
Develop, Facilitate Compilation
of and Review Compliance Risk Management Plans (PM)
6
12
Conduct Compliance Monitoring
(PM)
6
12
Compile and submit internal and external compliance reports (PM)
6
12
Interact with Industry Regulators,
Supervisors and Stakeholders (PM)
6
3

Occupational Certificate Compliance Officer – Module Breakdown Year 2

Year 1 Total Credits: 120

Semester 1

NQF Level

Credits

Compliance Risk Management
Design and Implementation Processes (WM)
6
18
Regulatory Universe Definition
and Maintenance Processes (WM)
6
24
Compliance Risk Management
Plan Development Processes (WM)
6
24

Semester 2

NQF Level

Credits

Compliance Monitoring Processes
(WM)
6
24
Compliance Reporting Processes
(WM)
6
24
Industry Regulatory, Supervisor
and Stakeholder Interactions
(WM)
6
6

* In collaboration with African Union Skills Development

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