Experience

Masthead

• South Africa
• Financial Services
• 100 - 200 Employee

• Compliance Officer

  • Oct 2018 - Present

  Attending to:(i) Conducting FAIS and FICA compliance audits on Category 1 Independent Financial Advisers (IFA's), Liberty Tied Brokers, Liberty Group Tied Brokers, Old Mutual Agency Franchise Division Advisers, Private Wealth Management Advisers (PWM), Adviceworx and Old Mutual Retail Mass Market agents. (ii) Compiling, submitting and following up on Category 1 and Category 2 FSP Licence Applications;(iii) Implementing and monitoring of Risk Management Plans and Operational Manuals for IFA's;(iv) Profile changes (Add/Remove Representatives from a Licence, Changing Contact Details, Drawing DOFA Reports);(v) Corresponding with the Financial Services Conduct Authority on a frequent basis to ensure a good relationship with the Regulator;(vi) Managing my own diary and meeting reporting deadlines;(vii) Presenting Seminars on RE Training, Risk Management and Regulatory Changes;(viii) Providing guidance on succession planning for IFA's;(ix) Compiling and submitting Annual Compliance Reports for IFA's;(x) Attending to client queries;(xi) Assisting with Risk Management on a daily basis.(xii) Assisting with the implementation of Risk Management and Compliance Program's, Business Plan's and Operational Manual's for FSP's. Show less

• Compliance Consultant

  • Aug 2016 - Present

  Attending to:(i) Conducting FAIS and FICA compliance audits on Category 1 Independent Financial Advisers (IFA's), Liberty Tied Brokers, Liberty Group Tied Brokers, Old Mutual Agency Franchise Division Advisers, Private Wealth Management Advisers (PWM), Adviceworx and Old Mutual Retail Mass Market agents. (ii) Compiling, submitting and following up on new FSP Licence Applications;(iii) Implementing and monitoring Risk Management Plans for IFA's;(iv) Profile changes (Add/Remove Representatives from a Licence, Changing Contact Details, Drawing DOFA Reports);(v) Corresponding with the Financial Services Board on a frequent basis to ensure a good relationship with the Regulator;(vi) Managing my own diary and meeting reporting deadlines;(vii) Presenting Seminars on RE Training, Risk Management and Regulatory Changes;(viii) Providing guidance on succession planning for IFA's;(ix) Compiling and submitting Annual Compliance Reports for IFA's;(x) Attending to client queries. Show less



Du Randt & Louw Incorporated

• Kroonstad Area, South Africa

• Candidate Attorney

  • Jan 2016 - Jul 2016

  Attending to: Civil Litigation Criminal Litigation RAF Claims Administration General Researching Liasson with Clients Estates Attending to: Civil Litigation Criminal Litigation RAF Claims Administration General Researching Liasson with Clients Estates



Van der Merwe - Miller Incorporated

• Candidate Attorney

  • Jul 2011 - Dec 2015

  Attending to: Collections Administration General Issuing, Service and Filing of Civil Process Attending Criminal Court (As Assistant to Attorney) Researching Liasson with Clients on behalf of Principal Estates Attending to: Collections Administration General Issuing, Service and Filing of Civil Process Attending Criminal Court (As Assistant to Attorney) Researching Liasson with Clients on behalf of Principal Estates