Thobile Hlongwane

Experience

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  Edcon

  Apr 2007 - Nov 2010

  Various Titles

  EDCON (Edgars V&A Waterfront) Credit AssociateDuties:• Processing and authorizing customer Credits and Exchanges.• Assisting with customers’ account queries and solving customer problems • Stock taking• Selling and Admin of Edcon financial services and products.Cash Office Associate (Supervisor Role)Duties:• Processing and Administrating the Daily Store Financial Report • Assisting management in verifying and controlling the Store’s Cash and Cash flow activities.• FICA and RICA• Fraud Administration• Looking into customers’ disputed account transactions • Controlling and balancing the Store Petty Cash Account• Stock taking & reconciliation • Design, Implementation and overseeing of store internal controls Show less

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  Nedbank

  Dec 2010 - Jul 2015

  Consultant

  • Problem and query resolution. Manage follow up calls and complaints escalating complaints to next level of management• Investments account modifications, queries and reinvestments. • Selling bank products and generate account leads• Branch Fraud and Loss prevention• Cash Deposits and Withdrawals• Client bank statements • Department Admin• FOREX Telling• FICA & FAIS

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  Maitland

  Dec 2015 - Aug 2016

  Internal Auditor

  • Preparation for Biannual ISAE3402 Audits with external audit firm;• Communication with department management regarding audit findings;• Test of Internal controls for effectiveness;• Test live processes against process documentation;• Compliance Auditing;• Audit Report writing;• Monthly audits of the company’s ICT User Access controls.

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  Lewis Group Ltd

  Sept 2016 - Mar 2022

  • Branch audits of Financial Services internal control and regulatory compliance at divisional level (FAIS and NCA).• Supervise and monitor representatives in a division, within the applicable regulatory requirements by conducting regular branch audits;• Coach/guide and regular training of Financial Services staff (especially new staff) on regulatory compliance (FAIS, NCA etc.);• Implement Financial Services policies and procedures,• Follow up and action internal control and compliance matters timely and efficiently;• Monitor the continuous professional development of Financial Services for Divisional staff and appraise;• Insurance claims audits and monitoring at Divisional level.• Company-wide Gap Analysis on new and updated insurance regulatory requirements. Show less

  • Risk Officer

    Nov 2020 - Mar 2022

  • Internal Auditor

    Jan 2020 - Nov 2020

  • Divisional Financial Services/FAIS Supervisor

    Sept 2016 - Dec 2019
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  Old Mutual Limited

  Mar 2022 - Jul 2022

  Quality Assurance Risk and Compliance

  Quality assurance, Custoner Due diligence, Risk and Compliance for OMART.

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  HomeChoice

  Jul 2022 - Apr 2024

  Compliance and Operational Risk Officer/ FICA Complince Officer/MLRO

  Enterprise Risk Management• Draft and revise company policies and procedures• Proactively audit processes, practices and documents to identify weaknesses• Recommend sound internal controls and monitor adherence to them• Conduct and drive the Annual Risk Assessment Activity – company and group• Monitor and report on mitigating action for identified Top Risks• Drive and monitor Risk Incidents Management and reporting• Departmental Risk Champions training and enablement• Conduct operational control procedure reviews – project to ensure process documentation.Regulatory Compliance Risk Management• Monitoring and reporting on legislative registrations, reporting and periodic submissions to regulators• Drive and monitor compliance training• Documentation of regulatory universe• Develop Compliance policies and procedures• Engaging with regulator and industry peers to keep abreast with industry movements• Conducting compliance and risk assessment training and workshops• Operational compliance reviews and monitoring – CRMP, Audits, investigations and assist corrective actions• Regulatory complaints – monitoring the management complaints received regulators and related organisations• FICA/AML policies and processes – RMCP, Institutional and Customer Risk Assessment, On-boarding (KYC/CDD), client screening and transaction monitoring Internal Audit Coordination• Facilitate engagement, communication and cooperation between management and Internal Audit outsourced.• Assist management to prepare audit engagement• Monitor and report on implementation of agreed audit recommendations and management actions. Show less

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  Astron Energy (Pty) Ltd.

  May 2024 - now

  Senior Compliance Analyst