Kern-Lee Symons

I am a Financial Markets Professional equipped with 11 years of strong Stockbroking experience, a Global and South African market perspective and an in-depth understanding of stockbroking. I am a Specialist in Compliance and settlements administration support, trade support, client on-boarding-KYC, anti money laundering, FICA. While some of my values will never change, I realize that this is, and will always be, a work in progress- something

I am constantly refining. I take pride in this journey though, recognizing that true growth only comes from honest self- reflection and concerted effort. I consider myself to be an active agent of change and I strive to promote sustainable transformation, skills transfer and development in our financial market. I strive to constantly deliver outstanding service and efficiency to clients and focus unashamedly on financial innovation and client service of a world-class standard.

I am a talented dynamic young blood that is uniquely qualified, skilled, experienced and a proven team member at the cutting edge of our respective field. Being able to work independently and manage tasks within a team I ensure interests are always aligned with those of the client. I have established and maintained Strong client relationships across all client groups, worked with the clients who range from Institutional Fund Managers, Local and Foreign Hedge Funds, Investment Banks, Life Insurers, Pension Funds, Wealth Managers, High Net Worth Individuals and Asset Consultants. Providing client on-boarding and trade support services In Equities, Equity derivatives, Bonds, Currencies and Commodity derivatives.

• Supervised team of 3 staff members.
• Received South African Colours in high school in Artistic Gymnastics.
• 1st team Hockey Captain in Grade 12.
• Received Provincial Cub colours in Artistic Gymnastics
• Graduated in Financial Markets with NQF 7.
• Documented and resolved [Issue] which led to [Results].
• Supervised team of 3 staff members as the Head of On-boarding for brief period before lockdown.
• Collaborated with a team of 4 in the development of onboarding system.
• Resolved product issue through consumer testing.

My Kids soup kitchen (Owner of a school kids soup kitchen in Turfontein Johannesburg).
My kids Soup kitchen - Every child has the right to live, learn, and play? Free from hunger and malnutrition. A child who doesn't eat
nutritious food is more likely to fail at school, fall sick with other conditions, and struggle to find work as an adult. It is our
responsibility as Global Citizens to create a world where education and nutrition is a priority for every child, everywhere.
Circumstance should not be a barrier. My soup kitchen is aimed to reverse this trend of malnutrition especially amongst children in
school. #makeadifference

Mentor - South African institute of stockbrokers

2016-2019
Mentored graduates in the work place
training and skills transfer within the Stockbroking field

Peresec PB, Dianne Rosssouw,
Johan Swart
Cadiz Securities, Trudy Brink
South African Institute of Stockbrokers, Erica Bruce M

Student Numbers: 20807041 (GIBS) & 200810335 (UJ)

I am knowledgeable in Compliance and Equity Settlements with proficiency in client onboarding, trade support, project management and back-office support in asset management services within the stockbroking field. I have previous experience working under the JSE compliance officer in charge at the best broker on the exchange and I have previously been a junior equity settlements office at another leading broker, I have acquired a wealth of knowledge and exposure in servicing top stockbrokers and asset managers in onboarding all types of clients with complicated structures. I am financial markets graduate from the University of Johannesburg and recently I embarked on completing my PDBA articulating MBA at the GIBS, this is a part time activity I will continue this in 2022, completing my JSE Equity traders and compliance officer’s exam with the SAIFM. Skilled in equity settlements, trading and client onboarding,

I would like to join a growing and successful team, with career development opportunities. An ideal seat would be a Junior Compliance Office/ Analyst or Specialist role, to support a Compliance officer in charge with a variety of day-to-day activities including but not limited to ensuring all activities undertaken by the business are conducted in a compliant manner and in accordance with the Rules Directives, RMCP and other applicable legislation. Updating and communicating to the business; assist with providing training where necessary. Advising members of the business on compliance matters. Researching and understanding changes in legislation. Remediating and reviewing KYC, CDD and EDD. Monitoring, audits and risk assessments. Maintaining PA Dealing, conflicts of interest and gifts and entertainment records. Regulatory client outreach. Equity Settlement support & Trade support. Broker Dealer & Trade support. Client on-boarding. Product testing and development.

I spend my spare time with my son, who is 7 years old and if my motherly duties are not keeping me busy I complete short courses and enjoy honing my skills as to remain relevant, I enjoy researching solutions in response to FATF recommendations for tech solutions and I enjoy exploring innovative ideas and ways creating solutions as to one day automate the compliance officer’s role and develop a bot solution to the regulatory burdens facing FSP’s, as such I synergize with tech enthusiasts and developers in my spare time in an effort to revolutionise the role.

I have been trained up by pioneers in the Stockbroking space, I offer a competitive advantage in terms of my exposure and value add, extremely talented lady with a Strong character and experience. in my Client On-boarding Specialist role, I exercised a calculated and methodical approach to problem-solving.

I am independently motivated, yet I appreciate team efforts and collaborate productively within groups. I Believe my professional goals will align with the mission and values of top tier company. A future opportunity with a top tier broker would be exhilarating and this will foster my development. I believe my outstanding customer service; management skills and leadership abilities will support, and drive continued organizational success.

Available immediately and would like to work in Johannesburg but I hope to travel and work abroad someday