Alicia Kamfer
Compliance Officer
Centurion
Summary
Detail-driven Compliance Officer focused on maximizing company compliance with applicable laws and standards. Knowledgeable about internal controls, process evaluations and procedural reviews. Proficient in Microsoft.
Overview
7
7
years of professional experience
7
7
years of post-secondary education
3
3
Certifications
Work History
Compliance Officer
Masthead
Pretoria
02.2019 - Current
- I am currently registered at the Financial Sector Conduct Authority as a compliance officer
- My responsibilities include, but is not limited to the following :
- Conducting regular compliance monitoring audits at Independent Financial Service Providers and Corporate Financial Service Providers;
- Initiate and contribute to the review of all critical business processes from a regulatory compliance perspective and make recommendations for improvement;
- Prepare Quarterly Compliance Reports;
- Contribute to and participate in critical statutory projects on a formal and ad hoc basis;
- Implementing compliance documents for Financial Service Providers
- This include documents like the RMCP (Risk Management and Compliance Programme), Risk Management plan, Competence Register, Governance Framework, Operations Manuals etc;
- Presenting various seminars and conducting training on compliance requirements;
- Monitoring basic compliance requirements on regular basis;
- Assisting and monitoring compliance with AML requirements as per the FIC Act;
- Performing gap analysis and risk assessments on the internal policies of Financial Service Providers like Anti Money Laundering policies and the Protection of Personal Information
- Performing key controls risk assessments;
- Responsible for assessing the adequacy of internal controls maintained by management of the achievement of compliance with the required regulatory outcomes;
- Provide comprehensive, detailed, accurate analyses of the current controls with recommendations for improvement to ensure that risks are managed;
- Provide timely and accurate status reports and guidance on internal policies and their implementation;
- Performed quarterly compliance audits and generating compliance reports on a client base of 70 entities that range from sole proprietors to corporate companies;
- Keeping up to date with the latest regulatory developments;
- Developing guidelines that comply with the latest requirements;
- Compiling and submitting Financial Service Provider license applications
- Liaising with the FSCA
- Compiling compliance documents like Governance Frameworks, Risk Management and Compliance Programme, Complaints management processes etc, that is personalized for specific clients
- Presenting webinars and seminars on various compliance matters.
- Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
- Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
- Responded to employee inquiries regarding compliance regulations and procedures.
- Collaborated with sales and marketing departments and other business units to address indications of improper sales practices and market conduct violations.
- Investigated and documented all violations of compliance regulations to determine necessary improvements.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Maintained up-to-date knowledge of applicable laws and regulations
- Developed risk assessment models to identify potential compliance risks
- Evaluated and monitored supplier and partner relationships to support compliance
- Developed and implemented corrective action plans for non-compliance issues
- Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations
- Maintained up-to-date knowledge of current and emerging compliance regulations
Office Manager
Kamfer Attorneys
Secunda
01.2018 - 01.2019
- My duties as office manager and bookkeeper were to ensure that the processes in the office were in order and that deadlines were met, the postal system’s deadlines had to be met and to ensure that the office and the staff had all the equipment and stationery that they needed
- I was also responsible for the conveyancing department and had to apply for the relevant certificates and ensure that the properties registered within the applicable timeframe
- I had to arrange consultations for the signing of the relevant registration documents and ensure that all the documents were in order for the registration process
- My responsibilities as bookkeeper were to take make payments and take note of funds received
- All funds received had to be recorded on the relevant file and go through the firm’s accounting system
- I was also responsible for firm’s collections and had to keep track of accounts older than 30, 60 and 90 days
- I corresponded with the debtors regarding their outstanding accounts and followed the legal process where no payments were received in order to obtain to outstanding funds
- Furthermore, I was responsible for the drafting, undersigning and liaising of court documents of several parties as well as the serving of files on the Sheriff
- Offshore business administrator
- Updated reports, managed accounts, and generated reports for company database.
- Coordinated special projects and managed schedules.
- Managed office operations while scheduling appointments for department managers
- Maintained computer and physical filing systems
- Established workflow processes, monitored daily productivity, and implemented modifications to improve overall performance of personnel
- Developed and maintained successful relationships with vendors, suppliers and contractors
- Coached new hires on company processes while managing employees to achieve maximum production
- Evaluated employee performance and conveyed constructive feedback to improve skills
Business Administrator
Machrie Brokers
Trichardt
01.2016 - 12.2017
- Duties as offshore, included the following:
- Consulting with clients regarding their offshore investment portfolios
- Drafting and compiling of investment statements and opening offshore investment and bank accounts
- Compiling and presenting of monthly reports regarding client’s investments to company’s senior management team
- Monthly reporting to clients regarding income received and expenses occurred on their offshore properties that were being rented out
- I also monitored rental income and reported to client whether rent increased or decreased with new lease period and with what percentage;
- Compiling of the necessary documents for negotiation of exchange rates for trading of money to and from other countries and their currencies;
- Compiling of notes for consultations for the Financial planner, as well as scheduling consultations for the Financial planner;
- Regulating and monitoring private loans between offshore companies and clients;
- Compiling and managing of Excel Spreadsheets and amortization tables;
- Compiling of documentation required by the Financial Service Provider where the client’s offshore investments were structured in and when clients wanted to terminate their offshore investments or the structure and compiling the necessary documentation for additional contributions to the clients’ offshore investments;
- Completed and sent off the administrative contracts between the Financial Service Provider and various product providers;
- Translated and compiled documents from Afrikaans to English and from English to Afrikaans;
- Communication between clients regarding their Service Level Agreements with the Financial Service Provider, unpaid premiums and making arrangements to pay unpaid premiums.
- Developed monthly reports.
- Evaluated business data and reported o findings to inform stakeholders
- Translated business priorities into implementable actions
Education
BCom Law - Law And Finance
University of Pretoria
Pretoria 01.2013 - 12.2015
LLB - Law
University of South Africa
Pretoria 01.2019 - Current
Skills
Leadership, responsibility and excellent inter personal skills have been honed through extensive exposure to diverse peopleundefined
Certification
RE 5 Certificate
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline
RE 3 Certificate
06-2021
RE 1 Certificate
05-2019
Compliance Officer
Masthead
02.2019 - Current
LLB - Law
University of South Africa
01.2019 - Current
Office Manager
Kamfer Attorneys
01.2018 - 01.2019
RE 5 Certificate
06-2017
Business Administrator
Machrie Brokers
01.2016 - 12.2017
BCom Law - Law And Finance
University of Pretoria
01.2013 - 12.2015
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