NATIONAL OCCUPATIONAL QUALIFICATION: COMPLIANCE OFFICER

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Course Name: National Occupational Qualification: Compliance Officer

Curriculum Code: 242207000

NQF Level: Level 6

Total Credits: 240 (Knowledge: 60 | Practical Skills: 60 | Work Experience: 120)

Development Quality Partner: Compliance Institute Southern Africa (J E Methven)

Assessment Quality Partner: Compliance Institute Southern Africa

Duration: Typically 12 months (structured learning plus workplace experience)

Admission Requirements: An NQF Level 4 qualification with some exposure to the compliance function

This qualification equips learners with the knowledge, practical skills, and workplace experience required to perform the role of a Compliance Officer at NQF Level 6. A compliance officer assists management — including top management — in meeting their obligations to comply with applicable regulatory requirements. Graduates of this programme are eligible for registration as Compliance Practitioners and may progress toward writing the Board Examination for Compliance Professionals.

The curriculum is structured across three learning components:

Knowledge Modules (60 Credits):

• Enterprise-wide Risk Management (Compliance Officer) — NQF Level 6 (6 credits)
• Compliance Principles — NQF Level 6 (12 credits)
• Compliance Practice — NQF Level 6 (30 credits)
• Change Management (Compliance Officer) — NQF Level 6 (6 credits)
• Project Management (Compliance Officer) — NQF Level 6 (3 credits)
• Generic Management Principles (Compliance Officer) — NQF Level 6 (3 credits)

Practical Skill Modules (60 Credits):

• Design and Implement Compliance Risk Management Frameworks (9 credits)
• Define, Maintain and Advise on the Regulatory Universe (12 credits)
• Develop, Facilitate and Review Compliance Risk Management Plans (12 credits)
• Conduct Compliance Monitoring (12 credits)
• Compile and Submit Internal and External Compliance Reports (12 credits)
• Interact with Industry Regulators, Supervisors and Stakeholders (3 credits)

Work Experience Modules (120 Credits):

• Compliance Risk Management Design and Implementation Processes (18 credits)
• Regulatory Universe Definition and Maintenance Processes (24 credits)
• Compliance Risk Management Plan Development Processes (24 credits)
• Compliance Monitoring Processes (24 credits)
• Compliance Reporting Processes (24 credits)
• Industry Regulator, Supervisor and Stakeholder Interactions (6 credits)

Upon successful completion of this qualification, learners will be able to:

• Design and assist in implementing a compliance risk management framework
• Define, maintain and advise on the regulatory universe applicable to an organisation
• Develop, facilitate compilation of, and review compliance risk management plans
• Conduct compliance monitoring in accordance with Generally Accepted Compliance Practice
• Compile and submit internal and external compliance reports to relevant stakeholders
• Interact professionally with industry regulators, supervisors and stakeholders

Graduates may pursue roles across a broad range of industries, including:

• Compliance Officer
• Compliance Practitioner
• Independent Compliance Consultant
• Regulatory Risk Manager
• Internal Auditor (compliance-related functions)
• Risk and Compliance Analyst

This qualification also provides a pathway for horizontal or diagonal articulation into related fields

such as Risk Management, Internal Audit, Occupational Health and Safety, and other assurance

functions.

• An NQF Level 4 qualification (Grade 12 or equivalent)
• Some prior exposure to or experience within a compliance function is recommended

Note: There are currently no discipline-specific feeder qualifications prescribed for this programme, nor are there higher-level qualifications in direct progression. This qualification serves as the foundational professional development pathway for compliance practitioners in South Africa.