
Nadiné Smith
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About me
Compliance Manager
Education

Milpark
2015 - 2017Higher Certificate in Financial Planning Financial Planning and Services NQF5Law, Retirement and investment planning, Income tax, Risk planning, Wills and deceased estates, Relationship marketing

PHS
2000 - 2005MatricActivities and Societies: Target Practice, Hockey, Athletics

Moonstone Business School of Excellence
2024 - 2027Occupational Certificate: Compliance Officer (NQF 6) Semester 1 - 2024 Compliance and Risk Management NQF6Activities and Societies: (CISA) The Compliance Institute Southern Africa is recognised as the professional body for compliance officers. The Institute is one of the founding members of the International Federation of Compliance Associations (IFCA). IFCA awards the International Certified Compliance Professional (ICCP) designation to holders of our CPrac (SA) and CProf (SA) designations. The ICCP designation is recognised in participating IFCA member countries. Compliance Practitioner (SA) / CPrac (SA)The Institute has developed the Occupational Certificate: Compliance Officer (NQF 6) which consists of 240 credits. It is registered with the Quality Council for Trades and Occupations (QCTO) and the South African Qualifications Authority (SAQA).An occupational qualification is a qualification associated with a trade, occupation or profession, resulting from work-based learning and consisting of the knowledge, practical skills and work… Show more Compliance Practitioner (SA) / CPrac (SA)The Institute has developed the Occupational Certificate: Compliance Officer (NQF 6) which consists of 240 credits. It is registered with the Quality Council for Trades and Occupations (QCTO) and the South African Qualifications Authority (SAQA).An occupational qualification is a qualification associated with a trade, occupation or profession, resulting from work-based learning and consisting of the knowledge, practical skills and work experience standards as defined in the curriculum. It differs from an academic-style qualification in that the work experience forms part of the credits of the qualification. In short, if the learner does not have the work experience detailed in the curriculum, s/he cannot obtain the qualification. A certain portion of the work experience may be simulated. Show less
Experience

2K Express Couriers
Dec 2005 - Dec 2006AdminProcessing of Waybills

Multinet
Feb 2006 - Sept 2006CashierBanking, activating new Multichoice subscription clients and assisting clients on their account queries

Speed Services
Feb 2007 - Apr 2007AdministrationWaybills, tracking and tracing of parcels and switchboard operator

Ellies Electronics
May 2007 - Nov 2010General office work, Elsat rentals customer care, receiving/distributing and monitoring of vouchers throughout the Limpopo region, handling calls of customer queries, manage division in absence of manager General office work, internal/external functions, scheduling of appointments, reports, manage all corporate projects, quotes, telephone queries, manage division in absence of manager Picking slips, invoicing, scanning and renaming documents, customer queries on stock deliveries, filing of invoices and pod's, switchboard operator
Customer Care Liaising Officer
Dec 2008 - Nov 2010Internal Co-ordinator
May 2008 - Dec 2008Administration
May 2007 - Apr 2008

Workforce
Feb 2011 - Apr 2011Snr. HR Administrator, Manhattan miningTime keeping, Payroll

Ellies Electronics
May 2011 - Dec 2013Stock – computer controls, capturing, ordering and stock take. Stock – receiving and dispatching. Interpreting company policies to workers and enforcing safety regulations. Determine work procedures, prepare work schedules and expedite workflow. Assign duties and assess work for exactness, neatness and conformance to policies and procedures. Establishing or adjusting work procedures to meet warehouse demands as dictated by production schedules and work flow. Maintain an orderly and neat stock and receiving area. Spot check all work areas in a timely manner to ensure cleanliness and neatness. Recommending measures to improve quality of service, increasing efficiency of department and work crew and equipment performance. Show less
Receiving Supervisor
Dec 2012 - Dec 2013Dispatch Clerk
May 2011 - Dec 2012

CEB Maintenance
Dec 2013 - Apr 2015StoremanStock controller, Stock – computer controls, capturing, ordering and stock take. Stock – receiving and dispatchingEstablishing or adjusting work procedures to meet warehouse demands as dictated by production schedules and work flow. Maintain an orderly and neat stock and receiving area.

Niel Anderson Investments
Apr 2015 - Jan 2020New Business AdministratorProvide support to Financial Planners. Execute intermediary services and maintain all relevant compliance records in accordance with the FAIS act. Receive and execute tasks and instructions via email etc. Prepare reports and correspondence, typing, data capturing. Review and maintain ongoing instructions and client portfolios. Assist individual & groups of advisors in new client acquisition Manage all advisor calendars for client meetings Assist in obtaining prospect information and prepare forms or agreements to complete sales Research and investigate available investment opportunities to fit into financial plans Process time sensitive financial and legal documents. Follow-up activities, including feedback procedures and referencing Determine work procedures, prepare work schedules and expedite workflow. Answer telephones, direct call and take messages. Compile, copy, sort and file records of office activities, business transactions amongst other duties. Operates office machines, such as photocopiers and scanners, facsimile machines. Maintain and update filing, inventory, mailing, and database systems using a computer. Review files, records, and other documents to obtain information to respond to requests. Type, format, proofread and edit correspondence documents using a computer. Assess work for exactness, neatness and conformance to policies and procedures. Recommending measures to improve quality of service, increasing efficiency Assist to solve problems and make informed decisions affecting service and productivity Maintain professional internal and external relationships that meet company core values. Maintain an effective working team relationship with all supporting departments. Show less
%20Ltd..webp)
Kainos Group (Pty) Ltd.
Feb 2020 - Jan 2021Broker SupportNew Business, Servicing, Manage Enquiries, Feedback to Advisors, Unpaid Reports, General Housekeeping, Safekeeping of secure documents, Occupational Health and Safety.

Niel Anderson Investments
Feb 2021 - nowUnder Supervision Promoted
Compliance Manager
Mar 2022 - nowInternal Compliance Officer
Feb 2021 - Mar 2022
Licenses & Certifications

Class of Business: Long-term Insurance
Milpark Education - School of Financial Planning and InsuranceDec 2022
Class of Business: Short-term Insurance Commercial lines
Milpark Education - School of Financial Planning and InsuranceDec 2022
RE1 Regulatory Examination: FSPs and Key Individuals in all Categories of FSPs
Financial Sector Conduct AuthorityJun 2021
Class of Business: Health Service Benefits
Milpark Education - School of Financial Planning and InsuranceDec 2022
Class of Business: Investments
Milpark Education - School of Financial Planning and InsuranceDec 2022
Class of Business: Short-term & Long-term Deposits
Milpark Education - School of Financial Planning and InsuranceDec 2022
Class of Business: Short-term Insurance Personal lines
Milpark Education - School of Financial Planning and InsuranceDec 2022
RE5 Regulatory Examination: Representatives in all Categories of FSPs
Financial Sector Conduct AuthorityAug 2019
Senior Certificate
PHSDec 2004
Higher Certificate in Financial Planning
Milpark EducationMar 2018
Languages
- afAfrikaans
- enEnglish
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