Senior Compliance Specialist at STANLIB Asset Management (Pty) Ltd, STANLIB Wealth Management (Pty) Ltd, 1nvest Fund Managers (2025-09 – Present)
Promoted to Senior Compliance Specialist effective 1 September 2025
Compliance Specialist at STANLIB Asset Management (Pty) Ltd, STANLIB Wealth Management (Pty) Ltd, 1nvest Fund Managers (2018-07 – 2025-08)
- Lead and coordinator for audits and onsite inspections.
- Involved in assisting with ISO audit preparation in prior years, contributing to successful audits and was lead in the 2023 certification.
- Support and coordinate external audits for the compliance team, ensuring thorough preparation and successful outcomes.
- Lead and Coordinate DD Questionnaires: Manage and coordinate Due Diligence (DD) questionnaires dealing with prospective clients.
- Assist in maintaining the information library for client request.
- Develop Compliance Risk Management Plans (CRMPs): Based on applicable regulations for respective Business Units (BUs) prepare CRMP's.
- Regularly engage with BUs to understand the control environment, assess controls, and assist in enhancing controls to align with the business's risk appetite.
- Report back to business executives on CRMPs periodically.
- Perform periodic and ongoing reviews to ensure compliance procedures and policies are followed.
- Conduct internal investigations of compliance issues.
- Managing the monitoring program to ensure compliance with methodologies and tracking of findings until remediation.
- Identify potential compliance risks, assess them, and report to relevant committees.
- Address compliance with risk-related issues and drive remediation as required.
- Communicate and assist in the implementation of compliance frameworks, including risk assessments and training workshops.
- Maintain policy registers.
- Review compliance polies and drive awareness thereof.
- Provide Training to new joiners at induction, and FAIS impacted staff on a regular basis.
- Keep BUs informed about regulatory developments made by the Regulator.
- Input into the regulatory forum and perform impact assessments.
- Communicate regulatory universe.
- Prepare and coordinate regulatory reporting/submissions to the FSCA.
- Maintain the FSCA profile.
- Prepare and present compliance risk reports to various BU heads and committees including Internal Risk Committee, Group Compliance and Compliance Conduct Risk committee to name a few.
- Assist with tasks and create awareness of compliance risk culture.
- Draft and facilitate the compliance program.
Portfolio Compliance Administrator at STANLIB Asset Management (Pty) Ltd (2017-07 – 2018-06)
- Conduct daily, monthly, and quarterly monitoring and reporting of unauthorized overdrafts.
- Communicate with trustees, portfolio managers, and the finance department regarding unauthorized overdrafts in accordance with BN 90 Regulation.
- Oversee credit limits for all franchises to ensure compliance.
- Track fixed interest breaches and communicate with relevant stakeholders as breaches occur.
- Conduct and prepare investigations for trustees as required.
- Perform pre and post trade compliance checks using Charles River.
- Provide support to the team with various ad hoc tasks and projects.
- Promoted to being Compliance Specialist
Complaints Administrator (Temp) at STANLIB Asset Management (Pty) Ltd (2016-11 – 2017-06)
- Resolve complaints related to repurchase instructions, withdrawals, additional investments, death claims, and investment performance.
- Address complaints from a client-centric Treating Customers Fairly (TCF) and regulatory requirements perspective.
- Document compliance activities, including complaints received and investigation outcomes.
- Compile and present complaints reports to the respective forum.
- Liaise with and provide investigation reports to the Regulator and Ombud for complaints escalated to their office.
- Promoted to Compliance Administrator
Compliance Graduate Trainee at Guardrisk Insurance Group (2015-10 – 2016-09)
- Basic knowledge of the application of the following legislation: STIA, LTIA, FAIS Act, FICA, CPA, POPIA, Companies Act.
- Assist the Compliance Manager in developing, initiating, maintaining, and revising policies and procedures for the general operation of the Compliance Function and its related activities to prevent and mitigate noncompliance with all applicable laws.
- Compile monthly compliance reports for all divisions.
- Assist the Compliance Manager in managing the day-to-day operations of the Compliance Function.
- Update the FAIS Representative Registers.
- Review marketing material, including call centre scripts and web page advertising.
- Perform quality assurance on inbound Contact Centre calls.
- Assist the Compliance Manager in identifying potential areas of compliance vulnerability and risk.
