Compliance Officer - A Vital Role In Any Organisation

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There is increasing pressure on organisations, both public and private, to ensure that their business activities comply with statutes, regulations, and standards, both local and international. In addition, the regulatory environment has become more and more complex. As a result, organisations have chosen to implement consolidated and harmonised approaches to achieve compliance without overlaps, duplication or wasted resources. The responsibility for compliance lies with top management and to achieve this, organisations are increasingly seeking the services of compliance practitioners to advise, support, monitor and control risk-based compliance frameworks.


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There is increasing pressure on organisations, both public and private, to ensure that their business activities comply with statutes, regulations, and standards, both local and international. In addition, the regulatory environment has become more and more complex. As a result, organisations have chosen to implement consolidated and harmonised approaches to achieve compliance without overlaps, duplication or wasted resources. The responsibility for compliance lies with top management and to achieve this, organisations are increasingly seeking the services of compliance practitioners to advise, support, monitor and control risk-based compliance frameworks.

The qualification

The qualification is Occupational Certificate: Compliance Officer Level 6. This is an SAQA and NQF registered qualification (Curriculum Code – 242207).

Purpose

This qualification aims to prepare a learner to provide compliance services to assist management to discharge their responsibilities to comply with applicable regulatory requirements.

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 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

Learner Entry Requirements

Who should be on this qualification? It is assumed that the person who is registered for this qualification:

  • Is at an educational level of grade 12 with Mathematics and communication level 4
  • Recommended to have at least one year’s relevant compliance experience
  • Is working in a compliance department / environment /role
  • Have a basic understanding of the legal environment in South Africa
  • Have computer and general office skills (faxing, filing, email, etc.)

Duration

This qualification will be presented over a period of 18 months – during the first 12 months the learner will be required to attend formal virtual contact sessions via the E-Learning portal, complete the Internal Assessment Guide per module and spend time in the workplace under supervision of a Mentor who will sign off/evaluate the work experience component of the programme. The additional 6 months are provided to ensure that each learner completes the required work experience to qualify for the External Integrated Summative Assessment (EISA) at the Compliance Institute SA (CISA). We also have a full online self-study option (no facilitator lead sessions).

Internal Assessment

Knowledge and Practical Skills

Khulisane Academy will conduct a formative (internal) assessment of each module based on the activities in the Internal Assessment Guide. Learners have three opportunities per module to prove competence. The pass mark is 70% for all assessments. Assessment for the fourth time of any Module, will conclude in the payment of extra assessment fees.

How does my workplace evaluator (Mentor) become a Registered Assessor?

The Employer is responsible to ensure that work experience must be assessed by a CISA Registered Assessor and that holds the C PRAC designation. Employers are invited to enrol qualified Compliance Officers (the Mentor) on the Assessor Training Programme and have their own Assessor on site. After successful completion of this course, the Mentor registers with CISA as an Assessor. Should your organisation not have a CISA Registered Assessor, that
will be able to support you with the final assessment and sign-off of the Work Experience Log Sheet (WELS), assistance will be provided to access a qualified Registered Assessor. The fees of that external Assessor will be for the Employers or learners’ own account.

Once a learner is deemed competent against the outcomes of the Knowledge, Practical Skills and Work Experience components of the programme, they will receive a Statement of Results, which will allow them access to register for the External Integrated Summative Assessment (EISA) at the Compliance Institute SA.

External Assessment

The Compliance Institute Southern Africa (CISA) is the Assessment Quality Partner (AQP) for this occupational qualification and will conduct the final External Integrated Summative Assessment (EISA). Payment of the EISA is made directly to the CISA and is for the candidate/employer’s own account. This fee is not included in the programme fee to Khulisane Academy. Certification is done by The Quality Council for Trades and Occupations (QCTO) after you have passed the EISA.

Assessment Strategy

The following assessment activities are applicable to the programme:

1. Knowledge and Practical Skill Activities
2. Portfolio of naturally occurring evidence generated in the workplace and signed off
on the work experience log sheet
3. External Integrated Summative Assessment (EISA)

REGISTER & APPLY!

Start Date: 03 March 2022 / Applications close: 25 February 2022

Did you know? Khulisane Academy was the first Skills Development Provider, to present this qualification in 2016.

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