Compliance Officer (NQF level 6) qualification equips students with these expert skills, and practical experience in legal matters, compliance risk management as well as the compilation, implementation and reporting of compliance strategies
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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.
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.
System and Other Requirements for Online Distance Learning:
(These requirements remain the responsibility of the student to arrange and maintain)
General:
Online webinars:
Online Exams (where applicable):
Payment is made per Cycle. A discount may apply if the full qualification is paid upfront or the academic year is paid upfront. Please contact our office for more information: help@mbse.ac.za
COMPLIANCE INSTITUTE OF SOUTHERN AFRICA (CISA) FEES
The fee for the External Integrated Summative Assessment is not included in the MBSE tuition fees, and is payable directly to CISA at the end of your studies with MBSE. You may contact CISA directly for the fees once you have received your Statement or Results (SOR) from us.
There are two prescribed textbooks:
Text books must be quoted and ordered directly from their respective suppliers.
All ancillary fees (e.g., re-assessments, re-registrations etc.) are not included and will be quoted separately when/if it becomes applicable.
Online learning (Access to material and assessment submissions happens online)
Zoom/ MS Teams sessions may be held from time-to-time
Students will have online access to their study material which will include a study guide, videos, self-assessments and relevant additional resources.
The qualification consists of the following Knowledge (theoretical), Practical and Workplace Modules:
KM = Knowledge Module
PM = Practical Module
WM = Workplace Module
Cycle 1/ Semester 1*
Enterprise-wide Risk Management
Module Code: CO KM01
6 Credits
Project Management
CO KM05
3 Credits
Generic Management Principles
Module Code: CO KM06
3 Credits
Cycle 2/ Semester 2*
Change Management
Module Code: CO KM04
6 Credits
Compliance Principles
Module Code: CO KMO2
12 Credits
Cycle 3/ Semester 3*
Compliance Practice
Module Code: CO KM03
30 Credits
Define, Maintain and Advise on the Regulatory Universe
Module Code: CO PM02
12 Credits
Cycle 4/ Semester 4*
Design and Implement compliance Risk Management Frameworks
Module Code: CO PM01
9 Credits
Develop, Facilitate Compilation of and Review Compliance Risk Management Plans
Module Code: CO PM03
12 Credits
Conduct Compliance Monitoring
Module Code: CO PM04
12 Credits
Compile and submit internal and external compliance report
Module Code: CO PM05
12 Credits
Interact with Industry Role Players
Module Code: CO PM06
3 Credits
Workplace Component (completed over the 2-year duration of the qualification)
Compliance Risk Management Design and Implementation Processes
Module Code: CO WM01
18 Credits
Regulatory Universe Definition and Maintenance Processes
Module Code: CO WM02
24 Credits
Compliance Risk Management Plan Development Processes
Module Code: CO WM03
24 Credits
Compliance Monitoring Processes
Module Code: CO WM04
24 Credits
Compliance Reporting Processes
Module Code: CO WM05
24 Credits
Industry Regulator, Supervisor and Stakeholder Interactions
Module Code: CO WM06
6 Credits
*Each semester is approximately 16 weeks long.
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:
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.
Please have these documents ready when applying:
* Copies do not have to be certified as long as they are of the original document. MBSE reserves the right to ask for certified copies in any event. Copies must be clear, legible and all text/ information visible/ readable without using special tools. PDF format is preferred.
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).
Closing Date for Applications:
Semester 1: 27 January 2025
Semester 2: 30 June 2025
METHOD OF TRAINING
Online Learning
COURSE DURATION
Approximately 16 weeks per semester
ADMISSION REQUIREMENTS
Matric/Grade 12 or a recognised NQF Level 4 qualification (to meet QCTO FLC requirements, a candidate must have passed English, another official language and Mathematics or Mathematical Literacy with an E symbol or higher).
Work under supervision of, or in contractual/ apprenticeship agreement with, an existing Compliance Officer (a workplace agreement is to be signed between MBSE, the student and the mentor).
FEES:
Click here for fees, payment options and finance providers.
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