Bernadette Horsley
Roodepoort
Summary
Detail-oriented professional with a strong foundation in computer literacy and analytical thinking. Demonstrates exceptional problem-solving abilities and effective verbal and written communication skills. Proficient in time management and possesses a solid understanding of KYC procedures, aiming to leverage these competencies in a dynamic work environment.
Overview
21
21
years of professional experience
2
2
years of post-secondary education
1
1
Certification
Work history
Compliance Officer
Sinayo Securities
Johannesburg
04.2023 - 04.2025
- Capital Adequacy calculations were done daily basis
- Monthly Capital Adequacy Report was sent to JSE
- PFORMK001 was sent to the Reserve Bank on a monthly basis
- RCMP policy was updated to include amendments relating to politically exposed persons, beneficial ownership and screening of employees.
- Updated KYC was done for service providers and non controlled clients.
- Maintained clear records of all compliance activities for audit purposes.
- Updated policy documentation regularly to reflect changes in regulation.
- Conducted compliance audits to ensure adherence to regulations.
Compliance Officer
MOMENTUM SECURITIES
11.2013 - 03.2023
- FICA, FAIS, JSE-Verify onboarding documents and ensure that the correct documents have been provided.
- Client maintenance-ensuring the correct documents were provided for any updates of information.
- Cash Threshold reporting and suspicious activity reporting.
- Client due diligence.
- Providing compliance training.
- Had access to BDA, to monitoring of all BDA entries, checking if client information was correctly loaded on BDA from the Client maintenance department, payments department, Settlements department.
- Activities may include, informing businesses of new investment compliance requirement developments, guiding on the potential impact thereof and to identify compliance risks/weaknesses in general for which the business should consider additional mitigation action.
- Participate in and/or contribute to the provision of appropriate support in respect of all projects initiated by the business which requires compliance input, to ensure successful implementation thereof.
- Contribute, implement, and maintain, where appropriate the regulatory compliance breach management and follow-up process which will at a minimum address the identification, analyses, and resolution processes to be followed as well as the escalation procedures.
- Preparation of non-compliance reports based on regulatory monitoring activities.
- Ensure that the reporting of compliance activities and instances of non-compliance, both internal and external, and relevant, complete, accurate, and to the point, and submitted to me.
Customer Service operator
Jacklin Enterprises
01.2011 - 10.2013
- Handling client queries
- Answered incoming calls, chat messages, and email communications to handle product concerns.
- Complied with data security and confidentiality policies to safeguard customer information.
- Handled caller needs for sales, service, and account problems.
- Completed high volume of inbound and outbound calls within deadlines.
- Displayed positive, professional, and empathetic tone to deliver consistently superior service.
- Assessed customer needs and escalated calls to specific departments.
- Kept updated on industry trends and competitor strategies through ongoing training sessions.
Call Centre Agent
Maxicare
Edenvale
05.2004 - 02.2009
- Displayed positive, professional, and empathetic tone to deliver consistently superior service.
- Understood client needs and advised on relevant products, services, or opportunities.
- Met and exceeded assigned goals established by management.
- Handled caller needs for sales, service, and account problems.
- Delivered accurate organizational information about products, services, and procedures.
- Answered incoming calls, chat messages, and email communications to handle product concerns.
Education
Certificate - Law
UNISA
Florida, Gauteng, South Africa 01.2020 - 11.2021
High school diploma - undefined
KENSINGTON SECONDARY SCHOOL
JohannesburgSkills
- Computer literacy
- Problem solving
- Verbal and written communication
- Time management
- Analytical thinking
- KYC procedures understanding
Personal Information
- Title: Compliance Officer
- Driving License: Code 10
Certification
JSE Compliance officer exam
JSE Compliance Derivatives exam
JSE Settlements officer exam
References
Bernadette Johnson 083 437 2595
Timeline
Compliance Officer
Sinayo Securities
04.2023 - 04.2025
Certificate - Law
UNISA
01.2020 - 11.2021
Compliance Officer
MOMENTUM SECURITIES
11.2013 - 03.2023
Customer Service operator
Jacklin Enterprises
01.2011 - 10.2013
Call Centre Agent
Maxicare
05.2004 - 02.2009
High school diploma - undefined
KENSINGTON SECONDARY SCHOOL