Qualification Overview
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Qualification Title | Compliance Officer Course (Micro-credential) | |
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Qualification Type | Micro-credential | |
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Level | 5 | |
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Credits | 5 | |
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Subject Area |
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Strategic Purpose Statement |
The purpose of this micro-credential is to provide people who intend to become, or have already been appointed, the compliance officer for a financial advice provider (FAP), with the knowledge, competency, and skill to do their job. This micro-credential is designed to improve businesses through the training of staff to fulfill the compliance officer function within an entity that is a FAP, as defined under the Financial Services Legislation Amendment Act 2019. The outcome of this training is a compliance officer who can ensure the FAP meets its regulatory obligations. Graduates will be capable of working within a FAP under the supervision of the CEO and Board.
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Graduate profile |
At the end of this learning package, learners will be able to:
- Analyse the current business policies and procedures to determine the suitability and feasibility. - Analyse and assess the structures a FAP needs to put in place from a compliance and good conduct perspective. - Analyse legal obligations of FAPs and determine the appropriate application of those obligations. |
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Education pathways |
N/A
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Entry Requirements |
Applicants must be a New Zealand citizen or resident, currently employed as a compliance officer or wanting to become a compliance officer, and be 16 years of age or older, with a minimum of NCEA Level 1 in English, as all tuition is conducted in English.
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Education Organisation | No organisations currently offer this qualification. | |
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Developed By | Strategi Institute Limited | |
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Quality Assured By | New Zealand Qualifications Authority | |
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Number | 4062 | |
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Status | Current | |
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Created | 2019-07-29 15:55:28.913 | |
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Next Review | 2026-12-01 00:00:00.0 | |
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Content |
This micro-credential consists of 5 credits at Level 5 on the New Zealand Qualifications Framework (NZQF). This equates to 50 learning hours (one credit is equivalent to 10 notional learning hours). The micro-credential is taught across 12 weeks, with 14 delivery hours over two days and 3 hours of self-directed study per week.
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Qualification Title
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