Experience

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  Joubert scholtz incorporated

  Jan 2001 - Dec 2005

  Candidate attorney & attorney

  Civil Court LitigationCriminal Court LitigationOffice filing, arrange and control diary for clients appointment Attend and peruse incoming correspondences; Liaison with clients, banks and court officials, Dictaphone transcription, legal correspondence typing, telephone attendanceConsultation with clients; providing legal advice; drafting pleadingsDrafting, reviewing and managing legal contractsLodging pension fund, insurance, employment benefits and personal injury claims Representing clients at Magistrate court, Family courts. Labour courts, CCMA and Bargaining councilPaginate and Index court files, attend to pre-trial conferences and brief counsels/Advocates. Show less

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  Daly incorporated

  Jan 2006 - Feb 2007

  Attorney

  Civil Court LitigationCriminal Court LitigationDrafting, reviewing and managing commercial contractsAssist corporate clients on strategy of meeting legislative requirements Assist Public sector clients on corporate governance, legislative and regulatory complianceCollection on bond foreclosure debt management for financial institution clients.

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  Liberty group south africa

  Mar 2007 - Jan 2008

  Compliance administrator
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  Discovery limited

  Feb 2008 - Jul 2009

  Compliance monitoring officer

  Conducting compliance monitoring of the regulatory and legislative requirements in the Medical Aid Scheme Business. Testing the adequacy and effectiveness of the compliance controls and compile a monitoring report. Recommending the controls to be put in place to make sure that the business unit meet the regulatory requirements.

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  Sanlam

  Aug 2009 - Sept 2013

  Compliance officer

  Sanlam Development MarketConsulting and offering advice the Long-term Insurance Business with the applicable legislative and regulatory requirements. Facilitating compliance training. Preparing compliance and legal monthly and quarterly reports. Drafting, reviewing, and managing the contracts. Building and maintaining a compliance culture through staff training and awareness.

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  Nedbank limited

  Oct 2013 - Oct 2022

  RBB Cluster: RBB ComplianceOverseeing, managing and providing a regulatory advisory to the RBB Cluster Lending (personal & home loans, credit card, VAF), Investments and Partnerships Business. Keeping abreast with the industry regulatory development to keep the Business updated with the latest development. Participating in the annual review of the compliance framework and policies. Drafting the Compliance strategy/deliverables to align with and deliver on the Business strategy. Provide compliance requirements on Business projects, initiatives, compliance programs and deliverables within agreed timelines, budgets, and resources. Reviewing Business case on new product, providing regulatory requirements and participate in the new product approval process. Interpreting the relevant legislations' provisions and provide a high-level impact assessment to the Business. Ensuring timely review and approval of the Annual Compliance Coverage Plan, Compliance Risk Profile, Compliance Risk Management Plans for all regulations and legislations applicable to the Business. Review the outcome of coordinated assurance monitoring, compile the compliance related incidents report, and resolution report on the implemented corrective management actions plans. Regular reporting to the Business Divisional Committee, Opcom and Group Compliance on the status of the Compliance landscape of the Business Units. Leading, mentoring and upskilling the compliance resources. Managing stakeholder relationship within Business Units, RBB Risk, Legal and Group Compliance. Show less RBB Cluster: Unsecured Lending Business Unit Unsecured Lending Business Unit [Senior Legal & Compliance Manager] June 2018–October 2020 & [Compliance Manager] September 2015– May 2018Providing legal opinion and compliance requirements relating to the regulations applicable to the Unsecured Lending (personal loans, overdraft & credit card) Business. Review the contracts and provide compliance approval on the vendor onboarding. Providing a legal, compliance advice on feedback to clients and regulatory complaints. Ensuring effective governance and compliance risk management by approaching solutions on a risk-based approach, with consideration for business’ needs, processes & systems constraints. Overseeing annual review of the Compliance Risk Profile, and Annual Monitoring Plan. Compiling of monthly and quarterly reports and annually reviewing Compliance Risk Management Plans. Overseeing and ensuring effectiveness of compliance monitoring, effectiveness by which management address compliance issues, including tracking of resolution of findings within timelines as agreed with Management. Show less Wealth Cluster: Nedic Providing compliance risk management through identification, analyzing the compliance risk, and advising management of the compliance requirements for the Short-term Insurance Business. Creating compliance awareness through training. Enabling the compliance framework and tools to comply with regulatory and legislative requirements. Performing monitoring through compliance risk management plans; ad hoc monitoring and compiling manco and Divco reports. Reporting the status of regulatory and legislative compliance in the Business and follow up on implementation of management action plans. Show less

  • Senior Compliance Manager

    Jun 2018 - Oct 2022

  • Compliance Manager and Senior Legal & Compliance Manager

    Sept 2015 - May 2018

  • Compliance Officer

    Oct 2013 - Aug 2015
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  Momentum metropolitan holdings limited

  Nov 2022 - Aug 2024

  Legal & compliance manager and mlco

  Compliance and Market Conduct • Oversee the design of the regulatory universe and monitoring coverage plan (MCP). • Ensure the regulatory compliance breach management and follow-up process is followed to enable business to manage and resolve breaches. • Work with other assurance providers to provide combined assurance. • Initiate and contribute to the review of all critical business processes from a regulatory compliance perspective and make recommendations for improvement. • Oversee completed audits and ensure follow up on outstanding findings and required areas of improvement. • Prepare Quarterly Compliance and market conduct Report • Engage with Regulators, where required. • Advice Business on principle of market conduct Legal • Draft and manage third party contracts, SLA and internal policies. • Provide legal advisory and prepare relevant quarterly legal risk report. Money Laundering Compliance• Review and update Risk Management & Compliance Programme Review and update the Enhanced Due Diligence Forum (EDD) mandate.• Participate in, and provide compliance view at the EDD Forum• Submit regulatory Reporting to FIC, where applicable Show less