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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- Postgraduate Diploma in Financial Planning (NQF 8)
- Advanced Certificate in Financial Planning (NQF 6)
- Occupational Certificate: Compliance Officer (NQF 6)
- Higher Certificate: Wealth Management (NQF 5)
- Higher Certificate in Short-Term Insurance (NQF 5)
- Further Education and Training (FETC): Short Term Insurance (NQF 4)
- Further Education and Training (FETC): Wealth Management (NQF 4)
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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:
- 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,
- Stable internet connectivity at all times, at the place of study,
- Sufficient data to access study material and resources and to complete online assessments,
- Up-to-date Microsoft Office (Word, Excel and PowerPoint) and a PDF reader,
- Google Chrome as your internet browser, and
- A suitable environment in which to conduct online assessments.
- Digital signing software
Online webinars:
- We conduct online sessions via Zoom and/ or Microsoft Teams
Online Exams (where applicable):
- A functioning webcam,
- A functioning microphone,
- Fibre internet with minimum 10 MB up- and download speeds.
Fees
Click here for fees, payment options and finance providers.
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:
- 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.
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.
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: 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.
QUALIFICATIONS
- Postgraduate Diploma in Financial Planning (NQF 8)
The qualification is designed to provide advanced financial planning skills, knowledge, attitudes and values in the areas of Financial Management, Asset Management, Investment Planning, Risk Management, Tax Planning, Retirement Planning, Estate Planning and Ethics in order to produce graduates to meet the growing need for financial planning professionals in SA.
- Advanced Certificate in Financial Planning (NQF 6)
The Advanced Certificate in Financial Planning (ACFP) provides the skills and knowledge required to provide holistic financial planning services to the ‘man in the street’ and prepares you for further specialised studies in financial planning. The ACFP also addresses the education requirement to obtain the FINANCIAL SERVICES ADVISOR™ (FSA™) designation awarded by the Financial Planning Institute of South Africa (FPI). Please visit: www.fpi.co.za for more information on ‘a career in financial planning’.
- Occupational Certificate: Compliance Officer (NQF 6)
Companies and organisations are required to comply with various regulations and legislative requirements. Moonstone Business School of Excellence’s Occupational Certificate: 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.
- Higher Certificate in Wealth Management (NQF 5)
The Higher Certificate in Wealth Management (HCWM) provides an ideal entry point into the financial services industry in various roles, or to kickstart your career in financial planning. The HCWM is recognised by the Financial Services Conduct Authority for all product sub-categories of Category I FSPs, and can be used to fulfil fit and proper requirements for FAIS roles in Category I FSPs.
- Higher Certificate in Short-Term Insurance (NQF 5)
The qualification covers Short-term Insurance related learning and provides a framework for students to develop competencies that will give them insight into the short-term sub-sector. It introduces a basic understanding of the key terms, rules, concepts and principles of the fields that will prepare them for the industry.
- Further Education and Training (FETC): Short Term Insurance (NQF 4)
The qualification covers Short-term related learning and provides a framework for students to develop competencies that will give them insight into the Short-term insurance sub-sector. It introduces a basic understanding of the key terms, rules, concepts and principles of the fields that will ready them for the industry.
- Further Education and Training (FETC): Wealth Management (NQF 4)
The Qualification is a holistic introduction to Wealth Management and Wealth Creation. It enables intermediaries to understand the Wealth Management environment, the legislative requirements and product-related information. Our qualification is aimed at students with less than four years’ experience, newcomers to the industry, or those who have lots of experience, but would like to brush up on their product knowledge. We developed the Skills Programmes, covered in this qualification, to provide intermediaries with more options to comply with the requirements of the FAIS Act.
Short Courses
- National Credit Act
The National Credit Act No 34 of 2005 was passed by Parliament on the 10th of March 2006. It is designed to achieve a number of objectives, most of which are to benefit and protect the consumer. The aim is to introduce a single, functional system of regulation that will apply to all credit activities, thereby ensuring that all credit providers and credit consumers are treated equally.
- FICA Courses
FICA is a crucial piece of legislation in South Africa. Its primary purpose is to combat financial crimes, including money laundering, fraud, tax evasion, terrorist financing activities, and identity theft. To be FICA compliant in South Africa, both organizations and individuals need to adhere to specific requirements and obligations.
- POPIA Courses
The Protection of Personal Information Act (PoPIA) is South Africa’s data protection law. The purpose of the legislation is to ensure all South African institutions conduct themselves in a responsible manner when collecting, processing, storing and sharing another entity’s personal information, by holding them accountable should they abuse or compromise personal information in any way.
- Entrepreneurship
An entrepreneur is someone who creates new business in the face of risk and uncertainty for the purpose of achieving profit and growth by identifying business opportunities and assembling the necessary resources, structures and procedures to capitalize on those opportunities.