NERESHNEE NAIDOO
SENIOR COMPLIANCE PROFESSIONAL
Johannesburg
Summary
I am a talented and versatile compliance professional with eleven years of experience both in South Africa and abroad, I have successfully applied my expertise across various industries, consistently delivering solutions and achieving results. My focus is on surpassing challenges and exceeding expectations. I possess extensive proficiency in people management, meeting deadlines, and general business acumen, making me well-equipped to excel in this role. Having worked in fast-paced, highly regulated environments I am accustomed to demanding surroundings that require accuracy and outstanding communication skills. If given the opportunity i will be committed to accelerating the achievement of your immediate and long-term business goals, I am eager to contribute my skills and expertise to you organisation.
Overview
13
13
years of professional experience
17
17
years of post-secondary education
Work History
Marketing: Compliance Specialist
Anglo American Marketing
07.2022 - Current
- Enhanced company compliance by reviewing and implementing policies and procedures.
- Collaborate with other internal departments to integrate compliance mitigants into daily business operations.
- Promoted a culture of ethical behavior within the organisation by underscoring the importance of adhering not only to regulations but also to established company values.
- Staying current on industry regulations by attending seminars, workshops, and other professional development opportunities.
- Provided expert guidance to colleagues on matters relating to compliance which assists to solidify company-wide understanding of requirements.
- Prepare documentation and statistics for audits
- Prepare statistics for Board reporting
- Enhance overall compliance awareness through scheduled and ad-hoc training
- Responsible for the publication of monthly compliance news letter.
- Currently working with the development team to build a tool to manage Trade Associations & Industry activity.
Risk & Compliance Manager
NET1 Applied Technologies
11.2020 - 07.2022
- Manager in the Compliance team specialising in both Risk and Compliance management, responsible for the application and interpretation of risk and compliance requirements for various business areas
- Legislative implementation: Implementation of POPIA, which included: Determining key steps to be taken to implement new legislation, Develop an implementation plan, Various stakeholder engagement, Introductory workshops, Control workshops, Develop of Compliance Plans, Determining action plans to meet control gaps, Develop Privacy Policy, PAIA Manual and Operator Agreement, Develop training material
- EXCLAIM (risk management tool): Review the implemented CRMPs on EXCLAIM and ensure that the risks and controls identified are appropriate
- Implement CRMPs for new legislation
- Policies & Standards: Provide input into all policies, procedures and standards relating to compliance risk management
- Ensure compliance with best practice, regulatory requirements, and industry standards
- Ensure adherence to all policies and procedures
- Compile new policies and contracts as and when required
- Risk: Review overall risk management process
- Make risk assessments, which involves analysing risks as well as identifying, describing, and estimating the risks affecting the business
- Report risk in an appropriate way for different audiences, for example, to the board of directors so they understand the most significant risks, to business heads to ensure they are aware of risks relevant to their parts of the business and to individuals to understand their accountability for individual risks
- Provide support, education, and training to staff to build risk awareness within the business
- Stakeholder Engagement: Communicate regularly with both internal and external stakeholders
- Build relationships with key stakeholders in business
Senior Compliance Analyst
Deloitte Australia
11.2018 - 03.2020
- Key member of the Deloitte Financial Advisory team specialising in compliance advice for large multinational companies, this entailed proposal formation, engagement letters and execution deliverables
- This also required intimate understanding of both local and international regulations that impact these organisations
- QBE (Multinational Insurance Company): Introduce and execute Compliance Plans across various Business Units throughout the organisation (including Short-term Insurance, Commercial Insurance, Trade Credit Insurance, HR, and IT)
- High level of executive stakeholder engagement, including composing and delivering a weekly status report
- Conducted Workshops with the Business to introduce compliance plans, control identification, control assessment and identify control gaps
- Worked closely with the Enterprise Risk Management team to link where possible regulatory obligations to identified risks in the risk registers
- Consulted on the pilot project to introduce an integrated Risk and Compliance Management system
- AON (Multinational Insurance Company): Assessed regulatory requirements post the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry
- High level of stakeholder engagement
- Drafted over 40 Compliance Plans across the company’s Business Units (incl
- Short-term Insurance, Personal Liability Insurance, Claims, HR, and IT)
- HCF (Australian Health Insurance Company): Implement a Governance Framework
- Conduct risk-based approach in implementing risk registers
- Drafted and executed high-level Compliance Plans for numerous business areas within the organisation
Senior Compliance Specialist
PPS Insurance
10.2013 - 10.2018
- Compliance Monitoring: Conduct risk-based monitoring & accurately record compliance monitoring based on Compliance Risk Management Plans
- (CRMPs) Track resolution of monitoring findings, including findings of external assurance functions like external audit, company actuary and internal audit
- Incident reporting
- Regulatory Universe and Legislative implementation: Conduct impact analysis of new legislation
- Review impact assessments of new legislation and update categorisation and rating where applicable on Regulatory Universe
- Determine key steps to be taken to implement new legislation
- In conjunction with the Project Office, establish, co-ordinate and facilitate committees/working groups compromising of appropriate stakeholders to oversee implementation
- Responsible for the implementation and education of POPI
- CURA (risk management tool): Review the implemented CRMPs on CURA and ensure that the risks and controls identified are appropriate
- Implement CRMPs for new legislation
- Policies & Standards: Provide input into all policies, procedures and standards relating to compliance risk management
- Ensure compliance with best practice, regulatory requirements, and industry standards
- Ensure adherence to all policies and procedures
- Compile new policies and contracts as and when required
- Reporting: Facilitate the gathering of evidence to support responses provided on the annual FAIS (FSCA) report
- Ensure reporting is timeous according to deadlines
- Ensure reports are accurate, valid, and supported by evidence
- Ensure reporting adheres to regulatory requirement
- Resolve issues arising from such reports
- Stakeholder Engagement and Advice, guidance, and assistance: Communicate regularly with all stakeholders
- Build relationships with key stakeholders in business
- Ensure reports, reviews and monitoring are submitted in time and the quality is as per the Group Compliance Standards
- Provide and develop regulatory training material and assessments for the business
- Sign-off & Compliance Opinions: Sign-off all legal and marketing to ensure regulatory and business compliance
- Risk based sign-off of new and amended products, business projects incorporating legislation
- Provide Compliance Opinions as and when required
Candidate Attorney
A.D Hertzberg Attorneys
08.2012 - 09.2013
- High court litigation including but not limited to preparation, service and filling of applications, affidavits, pleadings & other necessary documents for specific court hearings
- Researching the position of various case law
- Drafting of pleadings, affidavits, and notices
- Attending consultation with both senior and junior Counsel
- Taking instructions and corresponding with clients
- Administrative work such as setting up dates for court hearings, opening new files, logging fees, arranging legal consultations; accounting to the client
- Preparing update reports for corporate clients
- Interpreting legal agreements and documents
- Perusing of commercial contracts including retail and lease agreements
- Keeping abreast with the everchanging court practices and the legal environment in general
Legal Claims Co-ordinator
Etana Insurance
01.2012 - 07.2012
- Offer a complete service portfolio to brokers and clients with regards to public liability and SASRIA claims including but not limited to lodgment and finalisation of claims and updating of policy schedules, whilst adhering to compliance requirements
- Manage large losses claims, such as large Fire & Business Interruption claims
- Assist on all Ombudsman queries and liaise with assessors and attorneys
- Negotiate with 3rd parties on claim quantum & settlement
Education
C.Prac - Compliance Practitioner
Compliance Institute of Southern Africa
Johannesburg, South Africa 04.2001 - 01.2018
Post Graduate Diploma - Compliance Management
University of Johannesburg
RE3 - First Level Regulatory Examination: FSPs & Key Individuals in Categories II & IIA
Moonstone College
RE1 - First Level Regulatory Examination: FSPs & Key Individuals in Categories I, II, IIA, III and IV
Moonstone College
Practical Legal Training - undefined
Law Society of South Africa
LLB - undefined
University of South Africa
RFP 2 - Registered Financial Planner
University of Stellenbosch
RFP 1 - Registered Financial Planner
University of Stellenbosch
FAIS 3 - Financial Advisory & Intermediary Services: Commercial Lines
Damelin
FAIS 2 - Financial Advisory & Intermediary Services: Commercial Lines
Damelin
FAIS 1 - undefined
Damelin
Skills
- Compliance Implementation
- Compliance Plans
- Compliance Monitoring
- Regulatory Reporting
- Incident Management
- Risk Management
- Legislative implementation
- POPIA implementation
- Policies & Standards
- Training
- Stakeholder/Regulator Engagement
Professional Development
- Former Compliance Officer on FSP license 1044 and 46274.
- Member of the Compliance Institute of Southern Africa since 2013.
- Awarded Top Performer of the Year in PPS Insurance in 2015.
- Awarded Top Performer of the Year in the Group Governance division at PPS Insurance in 2014.
- Admitted Attorney, North Gauteng High Court, Pretoria, South Africa.
- Elected as the Managing Partner of one of the Law Firm’s during Practical Legal Training.
- Awarded Best Firm during Practical Legal Training (PLT).
- Awarded Best Constitutional Law student during PLT.
Timeline
Marketing: Compliance Specialist
Anglo American Marketing
07.2022 - Current
Risk & Compliance Manager
NET1 Applied Technologies
11.2020 - 07.2022
Senior Compliance Analyst
Deloitte Australia
11.2018 - 03.2020
Senior Compliance Specialist
PPS Insurance
10.2013 - 10.2018
Candidate Attorney
A.D Hertzberg Attorneys
08.2012 - 09.2013
Legal Claims Co-ordinator
Etana Insurance
01.2012 - 07.2012
C.Prac - Compliance Practitioner
Compliance Institute of Southern Africa
04.2001 - 01.2018
Post Graduate Diploma - Compliance Management
University of Johannesburg
RE3 - First Level Regulatory Examination: FSPs & Key Individuals in Categories II & IIA
Moonstone College
RE1 - First Level Regulatory Examination: FSPs & Key Individuals in Categories I, II, IIA, III and IV
Moonstone College
Practical Legal Training - undefined
Law Society of South Africa
LLB - undefined
University of South Africa
RFP 2 - Registered Financial Planner
University of Stellenbosch
RFP 1 - Registered Financial Planner
University of Stellenbosch
FAIS 3 - Financial Advisory & Intermediary Services: Commercial Lines
Damelin
FAIS 2 - Financial Advisory & Intermediary Services: Commercial Lines
Damelin
FAIS 1 - undefined
Damelin
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