Regulatory Examinations for Compliance Officers

The compliance officer examination will be developed and delivered exclusively by the South African Institute for Financial Markets (SAIFM), and the SAIFM has already commence with the development of the examination questions. It is anticipated that the examination will be piloted in January 2012, and will be rolled out shortly thereafter. In order to finalise the examination questions, the questions must be tested (trialled) with compliance officers in the financial services industry. It is anticipated that these trials will be conducted during October / November 2011. In order to conduct successful trials, participation from the industry is required. Each questions must be tested with a minimum number of 50 compliance officers, to ensure the quality of the questions. Click here for a link to the SAIFM website, where compliance officers may volunteer to participate in the trial process. These candidates will then be contacted by SAIFM when the trial sessions have been scheduled.

Please note that there are very specific terms and conditions that apply to all candidates that would like to participate in these trials. Click here for a copy of the terms and conditions that apply.

Preparation guide on compliance officer examination: click here