KYC Analyst Account Opening at Credo Wealth (2023-11 – Present)
Lead the end-to-end onboarding process for high and standard risk clients, ensuring alignment with AML, KYC and CDD/EDD regulatory frameworks
- Lead the end-to-end onboarding process for high and standard risk clients, ensuring alignment with AML, KYC and CDD/EDD regulatory frameworks
- Mitigate financial crime risk by reviewing identity, source of funds and due diligence documents, escalations suspicious activity in line with internal escalation protocols
- Drive compliance efficiency by implementing pre-submission checklist to cut onboarding delays
- Enhance audit readiness by maintaining 100% accurate and up to date client records across all internal systems resulting in zero regulatory breaches
- Partnering up with Relationship Managers to proactively resolve compliance queries, enabling faster account activation without compromising regulatory standards
Client onboarding & Servicing Specialist at Alpha Wealth (2022-07 – 2024-10)
Ensured full compliance with KYC, FAIS and client screening regulations, safeguarding the business against financial crime and reputational risk
- Ensured full compliance with KYC, FAIS and client screening regulations, safeguarding the business against financial crime and reputational risk
- Reviewed and approved client onboarding documents including DocFox approvals to ensure regulatory alignment
- Managed and monitored client account activities, trading, subscriptions, redemptions and transfers across multiple platforms, ensuring smooth execution of transactions
- Processed account loading, payments and FX trades while completing the BOP forms on the Investec CCM platform, authorised dual payment instructions to maintain operational and regulatory control
- Maintained up-to-date knowledge of the financial products, compliance frameworks and industry developments through ongoing training, identified and communicated training needs to support continuous improvement
Client Relationship Manager - Financial Error Resolution at PPS Investments (2017-07 – 2022-04)
Delivered clear, professional written communication to clients and internal stakeholders ensuring first time resolution of problems, complaints and queries
- Delivered clear, professional written communication to clients and internal stakeholders ensuring first time resolution of problems, complaints and queries
- Investigated and analysed financial errors logged across multiple products (retirement annuities, investment accounts etc.) ensuring resolution within SLA to minimise client impact and operational risk
- Handled technical queries escalated from internal staff, providing accurate guidance and corrective action
- Corrected and reconciled financial errors, preparing adjustments to ensure accurate client business records
- Applied knowledge of relevant legislation, including Regulation 28, to ensure compliance within error resolution and reporting
Client service & Compliance Administrator at PPS Investments (2017-03 – 2017-06)
Processed client applications across all product streams, ensuring accuracy, efficiency and compliance and regulatory standards
- Processed client applications across all product streams, ensuring accuracy, efficiency and compliance and regulatory standards
- Coordinated Section 14 and Section 37 transfers ensuring a smooth transition and adherence to pension fund regulations
- Verified that each intermediary was appropriately licensed to distribute products inline with the FAIS requirements
- Handled queries from intermediaries and the broader distribution network, providing first-time resolution to strengthen relationships and service delivery
- Maintained commission arrangements with intermediaries, ensuring accuracy and timely updates
- Oversaw documentation, management and compliance with FICA, FAIS and other regulatory frameworks
- Updated and maintained client records on the CRM system, ensuring data integrity and readiness for audits
- Supported compliance with investment guidelines ensuring alignment with regulatory requirements and company policies
Intern at PPS Investments (2016-11 – 2017-02)
Assigned and coordinated work for administrators, ensuring tasks were completed within agreed SLAs and to compliance standards
- Assigned and coordinated work for administrators, ensuring tasks were completed within agrees SLAs and to compliance standards
- Assisted with additional projects and cross-functional tasks contributing to process improvements and operational efficiency
Cadet Programme - Client Services Consultant at Afrizan Personnel / Nedgroup Investments (2016-05 – 2016-10)
Participated in a structured graduate programme, gaining exposure to different departments across financial services. Assigned to Nedgroup Investments within the Client Services department, working as a client Services Consultant
- Participated in a structured graduate programme, gaining exposure to different departments across financial services
- Assigned to Nedgroup Investments within the Client Services department, working as a client Services Consultant
- Assigned clients and intermediaries with account-related queries, ensuring accurate, timely and professional resolution
- Built foundational knowledge of investment products, compliance requirements and client relationship management
