OCCUPATIONAL CERTIFICATE: COMPLIANCE OFFICER

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 THE COMPLIANCE OFFICER COURSE 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).

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).

System and Other Requirements for Online Distance Learning:
(These requirements remain the responsibility of the student to arrange and maintain)

General:

  1. Even though students can access their study material from any device connected to the internet, we strongly advise students to rather use an up-to-date and functioning computer,
  2. Stable internet connectivity at all times, at the place of study,
  3. Sufficient data to access study material and resources and to complete online assessments,
  4. Up-to-date Microsoft Office (Word, Excel and PowerPoint) and a PDF reader,
  5. Google Chrome as your internet browser, and
  6. A suitable environment in which to conduct online assessments.
  7. Digital signing software

Online webinars:

  1. We conduct online sessions via Zoom and/ or Microsoft Teams

Online Exams (where applicable):

  1. A functioning webcam,
  2. A functioning microphone,
  3. Fibre internet with minimum 10 MB up- and download speeds.

Fees

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.

TEXT BOOK FEES
There are two prescribed textbooks:

  • The A-Z of Compliance. G Gibson. Juta: 2017
  • The GACP (latest copy from CISA)

  • 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.

Important Dates

Applications:
Applications for Semester 1 close on 31 January 2022
Applications for Semester 2 close on 27 June 2022

Registrations:
Registrations for Semester 1 close on 7 February 2022
Registrations for Semester 2 close on 4 July 2022

METHOD OF TRAINING

Online learning (Access to material and assessment submissions happens online)
Zoom/ MS Teams sessions may be held from time-to-time

LEARNING MATERIAL

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

Content

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.

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.

HOW TO APPLY?

Please have these documents ready when applying:

  • Copy* of your Matric/Gr 12 or NQF level 4 equivalent;
  • Copy* of any other qualification you hold;
  • Copy* of your ID/ Passport**;
  • Up-to-date CV (as per South African Department of Labour standard¹
  • * 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.

    ¹ https://www.gov.za/issues/compiling-curriculum-vitae-0

    Click here to Apply

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).

overview

Closing Date for Applications:
Semester 1: 31 January 2022
Semester 2:  27 June 2022

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).

FEE:
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 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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