Occupational Certificate: Compliance Officer – NQF Level 6
This blended occupational programme develops the knowledge, practical capability, and workplace competence required for effective compliance management in South African organisations. It prepares learners to design and implement compliance risk management frameworks, manage the regulatory universe, conduct compliance monitoring, compile reports, and engage confidently with regulators and stakeholders.
Course Overview
The Occupational Certificate: Compliance Officer is aimed at learners who want to build or formalise their career in compliance. It supports both new entrants with relevant foundational qualifications and individuals already working in compliance who want structured professional growth.
The programme focuses on the design, implementation, monitoring, and reporting of compliance risk management systems. Learners build the competence required to work with laws, regulations, policies, internal controls, regulators, supervisors, and organisational stakeholders in a practical occupational setting.
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 the 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.
Learning Journey
Knowledge Modules
Learners develop a solid theoretical foundation in enterprise risk management, compliance principles, compliance practice, change management, project management, and generic management principles.
Practical Skills Modules
Learners apply operational and administrative procedures, evaluate risk information, and strengthen their ability to work with risk exposure, legal principles, and decision-making in regulated environments.
Work Experience Modules
Learners gain structured exposure to compliance risk management design, regulatory universe maintenance, compliance monitoring, compliance reporting, and stakeholder interaction processes in workplace settings.
Qualification Structure
Knowledge Modules
| Module | Focus Area |
|---|---|
| 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 |
Practical Skills Modules
| Practical Outcome | Application Focus |
|---|---|
| Operational and Administrative Procedures | Apply and adhere to operational and administrative procedures and practices. |
| Risk Information Evaluation | Evaluate risk information to determine risk profile and manage risk exposure. |
| Legal and Insurance Principles | Understand and apply basic legal and insurance principles to underwriting recommendations. |
| Product and Pricing | Understand and apply knowledge of product and pricing to underwrite profitable risks. |
Compulsory Work Experience Modules
| Work Experience Module | Process Focus |
|---|---|
| Compliance Risk Management Design and Implementation Processes | Support the design and implementation of compliance risk management systems and controls. |
| Regulatory Universe Definition and Maintenance Processes | Define, review, update, and maintain the regulatory universe. |
| Compliance Risk Management Plan Development Processes | Assist in the development and review of compliance risk management plans. |
| Compliance Monitoring Processes | Participate in monitoring compliance and identifying compliance risks and gaps. |
| Compliance Reporting Processes | Compile and contribute to internal and external compliance reports. |
| Industry Regulator, Supervisor and Stakeholder Interactions | Support communication and engagement with regulators, supervisors, and stakeholders. |
Entry Requirements
- A recognised NQF Level 4 qualification granting access to tertiary studies at NQF Level 6.
It is also assumed that the learner
- Has an NQF Level 4 qualification.
- Has at least one year’s relevant compliance experience.
- Is working in a compliance department, environment, or role.
- Has a basic understanding of the legal environment in South Africa.
- Has computer and general office skills such as filing, email, and related administrative tasks.
Delivery and Notional Hours
The programme is delivered through a blended learning approach, combining structured learning, practical application, and work-based experience.
- Knowledge Modules: 600 notional hours
- Practical Skills: 600 notional hours
- Work Experience: 1200 notional hours
- Total Duration: 18 months
Target Group
This qualification is aimed at new entrants and learners already working in the field of compliance who require structured development, occupational recognition, and professionalisation.
- Higher education graduates, particularly those with accounting or legal qualifications.
- Accounting or legal professionals seeking to transition into compliance.
- Practitioners currently operating in the compliance field.
- Individuals working in compliance environments who want formal occupational recognition and growth.
Assessment and Certification
Successful completion of the knowledge, practical, and work experience modules leads to entrance into the integrated external summative assessment.
The qualification requires successful completion of an External Integrated Summative Assessment conducted through the designated Assessment Quality Partner.
This assessment focuses on the exit level outcomes and associated assessment criteria required for the issuing of the qualification.