Experience

Ata Capital

• South Africa
• Investment Management
• 1 - 100 Employee

• Head: Legal, Risk and Compliance

  • Mar 2020 - Present



FNB South Africa

• South Africa
• Banking
• 700 & Above Employee

• Regulatory Risk Manager

  • Jun 2019 - Feb 2020

• Operational Risk Manager

  • Aug 2018 - Jun 2019

  Risk Manager - Private Clients- Private Banking

• Compliance Officer

  • Feb 2017 - Jul 2018

  Compliance Officer - Private Wealth



Momentum

• South Africa
• Financial Services
• 700 & Above Employee

• Compliance Monitoring Officer

  • Mar 2016 - Feb 2017

  Duties/Function: • Monitoring compliance with applicable legislation• Analysing results of compliance monitoring exercises with a view to escalation of non-compliance• Engaging with business in respect of the monitoring process• Drafting and updating CRMP’s• Monitoring of regulatory compliance controls• Proficiency in AWD• Keeping abreast of developments within regulatory environment• Assistance with quarterly compliance reports to Management• Assistance with the proper establishment and maintenance of procedures on identification, reporting and resolution of compliance breaches and other compliance and regulatory issues• Conducting and/or assisting with compliance training initiatives• Following up on any outstanding non-compliant matters pertaining to findings and maintenance of non-compliance logs• Assisting with research for queries Show less

• Paralegal and Professional Assistant

  • Apr 2010 - Feb 2016

  Paralegal and Professional Assistant to the Head: Retail Legal and Compliance-Administrative Governance and attendance around Momentum Retail Legal Entities and business forums, inclusive of Tax Forums, Product Approval Committee’s, Audit and Risk Forum. -Company Secretarial Administrator: Management of Statutory Documentation for Retail Entities. Respond to internal requests for minutes, FICA Documentation and Statutory documents and all other company secretarial related documentation for Retail Entities. Liaising with group Secretariat regarding Retail Entities. -Compliance Assistant: Gather all Product and Services documentation for purposes of effective compliance monitoring. Assimilate all intra-divisional compliance reports across Momentum Retail for Compliance Head. -Documentation Control: Quality documentation, draft, edit and amend minutes of all meetings, compile, draft, edit and amend all presentations (ExCo, Panels and Boards), Edit and amend all checklists for Compliance, Regulatory reports, Compliance Reports-Legal research: Compile and provide legal research based on case precedent, statutory provisions and amendments, Bills, Codes, Text Books and Media Reports for the Head of Legal and Compliance. -Legal Assistant: Administration of Litigation Portfolio, gather documentation for all matters, reviewing correspondence, liaising with external attorneys and counsel, scheduling trial conferences and pre-trial meetings, gathering, indexing and pagination of information from claims, underwriting and forensic departments.-Legal Debt Recovery. Legal Debt recovery done accurately in line with company Policy and Civil procedure in conjunction with external attorneys and the senior legal advisor.-SharePoint Administrator: Manage and administer all Compliance and Legal information and content on site. -General Administration including: diary management, event co-ordinating, Staff Appointments for the team and the Head of Legal and Compliance. Show less



Alan Kissoon Attorneys

• Hatfield

• Legal Assistant

  • Jan 2009 - Apr 2010