Lebogang Annie Mokoena
Risk & Compliance Specialist
Little Falls Roodepoort
Summary
I am in Internal Audit profession and currently working as an experienced Risk and Compliance - Specialist within the Internal Audit department. Providing independent and objective assurance within governance, internal controls and risk management processes in the organization. Further, providing advisory and consulting services in alignment with business strategies, implementation of interventions towards achievement of business goals on need basis.
Overview
16
16
years of professional experience
2031
2031
years of post-secondary education
1
1
Language
Work History
Risk and Compliance Specialist
Johannesburg Metropolitan Bus Service
04.2021 - Current
- Developing and implementing the business plan of risk and compliance to support the business and strategic objectives;
- Ensuring necessary reporting is in place for effective risk assessment and compliance monitoring;
- Conducting and facilitating risk assessment sessions for departments to identify risks and controls within their functions towards achievement of their objectives;
- Sensitizing Management of the need to perform risk assessment for all major changes, capital expenditure, projects, institutional restructuring and similar events;
- Liaison relating to insurance service provider and reporting of insurance risk status e.g
- Claims;
- Creating and maintaining interest in the compliance function, by developing the compliance monitoring plan through compliance regulatory requirements and continuous compliance monitoring and reporting thereon;
- Drafting audit committee reports;
- Attending various committees (Group Risk & Compliance Forum, Member of Policy Review Committee, Group Risk & Governance Committee);
- Assisting with preparation of audit and risk pack to the Audit Committee;
- Further, responsible for conducting ad-hoc Internal Audit projects
Internal Auditor
Gauteng Provincial Treasury
06.2015 - 03.2021
- Client Name or Description: Office of the Premier; Engagement Summary: Risk Management; Corporate Governance; Cost Containment; Supply Chain Management; Management of Performance Assessment Tools (MPAT) Review; Review of Premier’s Service Excellence Awards and Management of Human Capital
- Department of Health; Asset Management, Stock Management; Follow Up on Auditor General’s Findings, Litigation Management; Management of Performance Assessment Tools (MPAT) Review; Contract Management, Revenue Management, Quality of Health Care, Infrastructure Management, Management of Human Capital and Business Continuity
Senior Internal Auditor
SekelaXabiso (PTY) LTD
08.2009 - 05.2015
- Client Name or Description: Harith General Partners; Engagement Summary: Investments and Human Resource Management Audit reviews
- Council for Medical Schemes; Supply Chain Management, Stakeholder Relations, Performance Information (Quarter 3 & 4), Risk Management and Corporate Governance Audits
- NERSA – IDM Project; Integrated Demand Management Review at ESKOM
- Tshwane University of Technology (TUT); Human Resources Management (Recruitment & Selection and Resignations) Student Levies, Procurement Audit
- Eskom Holding SOC Limited; Tender Process Review; Skills Development Review and Probity – Checks Review
- Johannesburg Social Housing Company (JOSHCO); Tender Process Review
- Johannesburg Development Agency (JDA); Land Acquisition Review
- Department of Public Works (DPW); Supply Chain Management
- City of Tshwane (CoT); Asset Management Consulting Project
- Tsogo Sun; Revenue Management Audit
- North-West Office of the Premier; Forensic Audit Assignment (Supply Chain Management Processes)
- Department of Arts & Culture (DAC); Supply Chain Management and Contract Management Audit
- Years of experience: 5 years
Education
MATRIC -
Meridian College
PDBA - International Leadership Development Program
Gordon Institute of Business Science (GIBS)
Post Graduate Diploma - Compliance Management
University of Johannesburg
BTech - Cost and Management Accounting
Vaal University of Technology
01.2002 - 01.2008
Post Graduate Diploma - General Internal Auditor (GIA)
Institute of Internal Auditors (IIA-SA)
03.2013 - 01.2014
Internal Audit Technician (IAT) -
Institute of Internal Auditors (IIA-SA)
02.2012 - 10.2012
Skills
- MS Word
- Excel
- Power Point
- Teammate
- Probity Checks
- Visio
- Understanding of PFMA
- MFMA
- International Professional Practice Framework
- Treasury Regulations
- National Treasury Instruction Note 13/14 of Cost Containment Measures
- King III Report
- National Health Act
- National Complaints Management Protocol for Public Health Sector - SA
- Labour Relations Act
- Basic Conditions Employment
- Employment Equity Skills Development Act
- Companies Act
- Time Management
- Responsibility & Accountability
- Interpersonal Skills
- Supervision of junior staff
- Review of working papers
- Setting goals with junior staff
- Facilitate performance management
- Delegation
- Coaching
- Mentoring
- Project management
- People management
Roles And Responsibilities
Developing and implementing the business plan of risk and compliance to support the business and strategic objectives, Ensuring necessary reporting is in place for effective risk assessment and compliance monitoring, Conducting and facilitating risk assessment sessions for departments to identify risks and controls within their functions towards achievement of their objectives, Sensitizing Management of the need to perform risk assessment for all major changes, capital expenditure, projects, institutional restructuring and similar events, Liaison relating to insurance service provider and reporting of insurance risk status e.g. claims, Creating and maintaining interest in the compliance function, by developing the compliance monitoring plan through compliance regulatory requirements and continuous compliance monitoring and reporting thereon, Drafting audit committee reports, Attending various committees (Group Risk & Compliance Forum, Member of Policy Review Committee, Group Risk & Governance Committee), Assisting with preparation of audit and risk pack to the Audit Committee, Further, responsible for conducting ad-hoc Internal Audit projects, Assist Management to identify, define, assess and monitor risks of the Company, Preparation of monthly Strategic Risk Management report to the Executive Management Team, Quarterly monitoring of the operational risk register interventions and reporting thereon, Reviewing of Internal Audit project as per Internal Audit Methodology, Planning, execution and reporting of internal audit projects, Observation of yearly stock taking process within the Depots, Conducting probity checks for Supply Chain Management tender projects as and when needed, Committee member of Policy Review Committee, Mainly responsible for planning, executing and reporting of audit projects, Pre-planning engagements with the client (understanding the client’s processes), Documenting system descriptions and risk and control assessment for determination of the adequacy of controls, Developing clear audit programmes, Execution of the programme (compiling concise working papers) for effectiveness testing of the controls, Peer reviews within the audit team and overall review of interns working papers, Making use of Teammate Audit Software, Monitoring status of the project as well as drafting weekly progress report, Preparation of audit reports, Communicating / Presenting audit results to the clients, Chairing exit meetings at the end of audit projects, Mentoring of Auditors/Interns on the job, Supervising the audit team
Academic Details
Meridian College (Rustenburg), Grade 10 to 12, Gordon Institute of Business Science, PDBA: International Leadership Development Program, Completed – 06/23, Micro & Macro Economics, Ethics Management, Financial Accounting, Organisational Behaviour, Human Resources Strategy, Management Accounting, University of Johannesburg, Post Graduate Diploma in Compliance Management, Completed – 10/18, Money Laundering Control, Compliance Management, Corporate Governance & Basic Interpretations Theory, Vaal University of Technology, BTech (Cost and Management Accounting), Financial Accounting, Auditing, Tax, Financial Management, Economics, Business Management, Internal Auditing, Statistics, Communication Skills, Business Information Systems, 2002 - 2008
Relevant Skills Obtained
MS Word, Excel, Power Point, Teammate, Probity Checks, Visio (Flowcharts), Data Analytics, Foundations & Advanced ACL Concepts and Practices, Understanding of PFMA, MFMA, International Professional Practice Framework, Treasury Regulations, National Treasury Instruction Note 13/14 of Cost Containment Measures, King III Report, National Health Act, National Complaints Management Protocol for Public Health Sector - SA, Labour Relations Act, Basic Conditions Employment, Employment Equity Skills Development Act, Companies Act, Time Management, Responsibility & Accountability, Interpersonal Skills, Supervision of junior staff, Review of working papers, Setting goals with junior staff in order to facilitate performance management, Delegation, Coaching & mentoring, Project & people management
Maiden Surname
Dube
Home Address
41 Centenary Park, Curlew Close, Little Falls, Roodepoort, 1724
Postal Address - Same As Home
True
Contact Numbers
- 0787996093
- 0733311303
Health
Excellent
Drivers Licence
Code 10
Personal Information
- ID Number: 8405280671085
- Gender: Female
- Nationality: South African Citizen
- Marital Status: Married
Timeline
Risk and Compliance Specialist
Johannesburg Metropolitan Bus Service
04.2021 - Current
Internal Auditor
Gauteng Provincial Treasury
06.2015 - 03.2021
Post Graduate Diploma - General Internal Auditor (GIA)
Institute of Internal Auditors (IIA-SA)
03.2013 - 01.2014
Internal Audit Technician (IAT) -
Institute of Internal Auditors (IIA-SA)
02.2012 - 10.2012
Senior Internal Auditor
SekelaXabiso (PTY) LTD
08.2009 - 05.2015
BTech - Cost and Management Accounting
Vaal University of Technology
01.2002 - 01.2008
Post Graduate Diploma - Compliance Management
University of Johannesburg
MATRIC -
Meridian College
PDBA - International Leadership Development Program
Gordon Institute of Business Science (GIBS)
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