Compliance Officer

• Feb 2019 - Present

I act as the external Compliance Officer to a number of Corporate financial service providers and independent financial service providers(FSPs). I manage my own client panel which in addition to FSPs include legal practitioners and credit providers. I am responsible for Risk Identification, Risk Assessment, Risk Management and Risk Monitoring across all industry specific legislation impacting the Financial Services industry, the credit industry and the legal fraternity. My role requires frequent communication with various regulators and the submission of compliance reports regarding the status of compliance within an organisation including recommendations of the required remedial actions to be implemented. I provide a variety of service offerings to stakeholders such as Practice Management, Business Development, Training on legislation and Governance requirements and intensive Anti-money Laundering and Terrorist Financing monitoring and training. I further assist clients to obtain authorisation/be licenced as registered financial service provider or credit provider. My role requires the provision of legal and compliance related advice on the interpretation and implementation of industry specific Legislative requirements, and Governance and Risk policies. Show less

Compliance Officer

• Feb 2019 - Feb 2019

Compliance Officer

• Sep 2014 - Feb 2019

-Maintaining a regulatory universe. -Monitor the Bank's compliance with current laws, regulations. -Assists in preparing a Compliance functional plan. -Preparation of risk management plans. -Compliance Monitoring on FICA, FATCA/CRS and FAIS legislative requirements. -Prepare monitoring working papers. -Provide recommendations to management based on findings of non-compliance. -monitoring of legislative and regulatory updates. -Managing the Bank’s reputational risk. -Monitor customer complaints and reputational risk to Bank. -Intensive training to staff on important legislation and requirements for implementation. -Preparing and Drafting of a Compliance functional plan. -Development and review of legal and Compliance frameworks -Review of Banks operational procedures. -Facilitation and participation of compliance workshops and stakeholder discussions. -Researching and investigating any general / specific area of law, for purposes of furnishing a legal opinions. -Interpretation of legislation, regulations, supervisory codes or Codes of Good Practice.. - Identify and analyse relevant legislative and regulatory requirements for business units. -Implement and monitor a compliance risk management plan. -Conducting compliance audits regularly to ascertain risks and provide solutions. -Report on compliance breaches. -Facilitate resolution of compliance breaches. -Embedding a culture of compliance. -Risk Mitigation relating to non-compliance with legislation and policies. -Anti- Money Laundering duties. -Compliance and Legal advisory services. -Representation at various committee meetings (internal and external). -Regulator liaison and Reporting. -Facilitate and manage stakeholder relationships. -Preparation of EXCO, Audit, Risk, Credit and Board Committee reports. -Member of Lex Forum – Banks internal panel of Legal Practitioners (Duties: Monitoring and managing all legal affairs within the Bank; legal writing; preparation of news letters; drafting of legal opinions.) Show less

Senior Claims Handler

• Mar 2012 - Sep 2014

-Providing legal advisory services to stakeholders. - Attorney Liaison. - legal services. - Researching statutes and previous court decisions relevant to cases - Drafting Legal opinions on points of law. - Claims assessments and file administration. -Ensuring compliance with the legal and insurance industry –(NCA, FAIS FICA, Consumer Protection Act). - Drafting merit reports. -Drafting Settlement Agreements and Cessions. -Drafting of merit reports. -Creating, developing Carrying out business orientated project plans. -Assisting in management duties. Show less

Attorney At Law

• Dec 2009 - Mar 2012

-Administration of Estates. -Drafting of Wills, Trusts. -Drafting of Legal Opinions. -Labour Dispute Resolution. -Collection/divorce matters/Family Law matters. -Legal Research and Writing. -Preparation of Legal Documents and Court Appearances. -Participate in pro bono work. -Drafting of Contracts, Lease Agreements, Commercial Contracts (sale of members interest, joint ventures etc), and Settlement Agreements in Divorce and Domestic Violence matters. - Civil / Criminal / MVA / RAF Litigation. -Consultation with clients- Legal Advice. -Administrative management duties and conducting Staff workshops. -Conveyancing (Bond Registrations, Bond Cancellations, Section 45 Transfers, Applying for Rates and Transfer Duty). -Drawing of legal accounts. -Attendance at pre-trial conferences. Show less