Entrepreneur - Self Employed, Entrepreneur
(2020-01)
I currently own a small store in a mall and an online store.
- Training, supervising and managing budgets
- Dealing with customer queries and complaints
- Buying stock, overseeing pricing and stock control
- Managing the online store and social media platforms
- Making sure the walk in retail store is run effectively
- Managing retail staff
- Submitting UIF submission
- Submitting Tax returns yearly
- Social media and photography
- Updating and managing the online store
RISK SPECIALIST - PRESCIENT FUND SERVICES
(2017-04 - 2020-06)
- Drive compliance throughout the team in terms of general legislation pertaining to the financial service industry
- Ensure we have in-depth knowledge and understanding of FICA, POPI, FATCA, related AML legislation and regulations
- Managing working relationships with a variety of stakeholders, including end-users, project managers, compliance officers, clients and senior staff members
- Identify and analyze relevant legislative and regulatory requirements pertaining to the business; Identify and analyze existing and new processes to conform to the requirements identified
- Providing advice, awareness and training on matters pertaining to regulatory requirements
- Due diligence checks on investors
- Monitoring Lexis Nexis and status of individuals and legal entities
- Monitoring and reporting suspicious transactions
- Preparing reports to senior management
- Responsible for checking all client files, agreements and monitoring teams regularly to assist with sourcing FICA and FATCA documents to ensure compliance for business where needed
- Responsible for checking client signatory lists are updated and in order
- Providing regulatory training for new staff and as a refresher to existing staff (FICA)
- Regulatory reporting: SARB, ASISA and K23 submissions
- Assist with performing due diligence on clients including running checks against Lexis Nexis
- Attend seminars and training sessions on regulatory topics such as TCF, FICA and POPI
FAIS SPECIALIST - OLD MUTUAL - RETAIL MASS MARKET
(2013-02 - 2017-03)
Assists the business unit to establish and embed a culture of compliance across the business unit through
- Development of compliance risk management and monitoring plans
- Assisting with the monitoring of processes around agreements with external parties
- Responsible for the FAIS FSCA register
- Control and Update the FSB Register and Monitoring Supervision Activities
- Maintain FAIS data on the database
- Regularly update information of FAIS representatives with results, credits and NQF levels on database every 15 days
- Reporting on database
- Monitor and track examinations and qualification for representatives
- Monitor fit and proper queries with the FSB
- Deal with debarments and non-compliances
- Administer the appointment/ removal process of key individuals and approvals of Compliance Officers
- Liaise with the Financial Service Board on various FAIS related matters
- Liaise with tertiary institutes to obtain course and credit information
- Liaise with the Training and New Business for accreditation
- Act as a support system to Group Compliance by aiding with fit and proper status of FAIS representatives via telephone and email
- Provide assistance to departments with any queries relating to FAIS
- Train the HR Recruiters on FAIS knowledge and how to recruit fit and proper candidates
- Manage the supervision processes and other applicable governances including coordinating the activities of the Internal FAIS Committee
- Communicate any changes of rules by the FSCA
- Participate in compliance related projects
- Running individuals and business entities on Lexis Nexis
- Completing suspicious transactions and Political exposed persons
- Making an application to the FSCA FOR PEPS and high risk clients
- FAIS, FICA, TCF Non-compliance related issues
- System enhancements for Legislative Requirements
HR ADMINISTRATOR - OLD MUTUAL - RETAIL MASS MARKET
(2012-01 - 2013-01)
- Managing a leave mailbox
- Capturing Leave on a Magnify system
- Dealing with leave queries
- Sort out Archive Mail Monthly
- Managing a Resignation Mailbox
- Processing Resignations and dismissals
- Manage the archiving mail monthly
- Debarment
OPERATIONS CONSULTANT - SARS - RETAIL MASS MARKET
(2011-06 - 2011-12)
- Render all Tax Advisor services to clients
- Registrations of new Tax payers
- Assist non-provincial tax payers and their annual Tax Returns
- To perform all Taxes administered by SARS in order to meet clients 'needs
- Ensuring that all standard Queries from clients are answered and resolve
