Dineo M.

Experience

• 

  Capitec Bank

  Mar 2016 - Jul 2018

  Service Consultant

  •Client interaction and customer service in creating and maintaining productive relationships by providing advice and assistance.

• 

  African Bank

  Aug 2018 - May 2022

  •Ensure that the FSP adheres to the FAIS Act of 2002.•Adequate knowledge and application of South African legislation (Banks Act, FAIS, FICA,NCA, BCEA, LRA,CPA, LTIA, STIA, TCF, OHSA etc).•Custodian of the regulatory correspondence between the institution and various Regulators.•Compliance monitoring & reporting within various departments of the business.•Review business activities to determine compliance with applicable regulatory requirements.•Developing a monitoring plan based on identified areas of risk as per routine required as well as from receipt and analysis or findings from lnternal Audit.•Engage in effective monitoring in terms of the plan above or as required within the designated business units.•Compiling of appropriate engagement letters•Compiling of appropriate review programmes which address the risks and controls.•Perform assessments in line with Compliance methodology, guidelines and standards.•Draft working papers (process flows, sample sheets etc) in line with standards.•Provide feedback to manager regarding progress on activities•Advise manager immediately of any monitoring problems experienced.•Produce finalised working papers and evidence for all components of work, as per standards set in the Compliance methodology.•Ensure that reports are appropriate and well documented.•Provide detailed findings, appropriate recommendations and management actions.•Obtain management/ corrective actions.•Follow up on recommended corrective actions, any outstanding monitoring issues and management actions.•Preparation of follow-up progress reports and provide recommendations on various compliance issues affecting designated business units as a result of compliance obligations.•Create awareness of legislative requirements and TCF requirements•Prepare information for the Senior Manager for presentation at various levels of management on developments in the regulatory environment. Show less

  • Compliance Monitoring Officer

    Oct 2019 - May 2022

  • Specialist Consultant

    Aug 2018 - Sept 2019
• 

  Alexforbes

  Jun 2022 - now

  Compliance Officer

  • Assisting with internal control, processes and procedures to ensure compliance with legislation;• Providing assistance to the business on compliance matters;• Supporting the Head of Risk and Compliance on compliance related matters;• Assisting the Head of Risk and Compliance in resolving (remedial action) compliance breaches to legislative requirements- identify all amendments to legislation and new legislative that impact or could impact the compliance universe;• Assisting with FAIS compliance and all matters relating to FAIS;• Assisting with AML compliance and all matters relating to FICA;• Assisting with CISCA compliance and all matters relating to CISCA;• Assisting with all legislation applicable to Investments and Individual Consulting;• Drafting communications to the business on compliance related matters; and• Drafting communication to the Regulator as required. Show less