ONKE Mhlahlo

• Collaborated with management to provide training on improved processes and assisted with creation and maintenance of quality training.
• Provided regular updates to team leadership on quality metrics by communicating consistency problems or production deficiencies.
• Developed and maintained quality assurance procedure documentation.
• Recorded findings of inspection process, collaborating with quality team to implement corrective actions.
• Defined and implemented quality initiatives to reduce risk.
• Analyzed quality and performance data to support operational decision-making.
• Created and revised procedures, checklists and job aids to reduce errors.
• Performed standard first article inspections and random sampling inspections to verify adherence to customer standards.
• Participated in departmental meetings to establish short- and long-term strategy.
• Consulted manuals and process documents to investigate malfunctions.
• Monitored KPIs to proactively address bottlenecks and quality issues.
• Addressed non-conformance issues, pausing production to correct errors.
• Analyse annual financial statements and other
  statutory returns of Financial Services Providers
  to ensure that proper reporting standards have
  been followed
• Liaise with Financial Services Providers on issues
  of non-compliance identified during analysis of
  statutory returns
• Identify and report trends in the financial
  services sector with possible impact on the
  FSCAs regulator objectives
• Assess financial statements in line with the
  business model of Financial Services Providers
• Identify financial risks based on analysis of
  financial statements and any other financial
  information
• Analyse problems identified by regulated entities
  or as a result of new innovations and recommend
  solutions
• Led process improvement projects to help operations meet and exceed quality standards and reduce costs.
• Support team members with analysis of other
  forms of financial reports
• Perform on site inspection in terms of risk based
  supervision approach
• Liaison with various · stakeholders; and assist the team with ad-hoc project
  

• Managed practical action plans to respond to audit discoveries and compliance violations.
• Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
• Maintained up-to-date knowledge of current and emerging compliance regulations.
• Monitored and assessed compliance risks associated with operational processes and procedures.
• Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations.
• Oversaw and monitored violation tracking system for accuracy, reducing issues.
• Prepared and submitted regulatory filings in timely manner.
• Developed and maintained compliance database, tracking all compliance activities and documents.
• Responded to employee inquiries regarding compliance regulations and procedures.
• Investigated and documented all violations of compliance regulations to determine necessary improvements.
• Developed and maintained system for tracking and reporting compliance violations.
• Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
• Collaborated with sales and marketing departments and other business units to address indications of improper sales practices and market conduct violations.
• Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
• Identified, investigated and documented compliance violations and recommended corrective measures.
• Advised clients on compliance fraud and investigations, as well as potential remedies and required actions.
• Identified gaps in existing compliance processes and recommended updates.
• Collected detailed notes on investigations and other communication to adhere to legal requirements and enhance recordkeeping.
• Maintained up-to-date knowledge of applicable laws and regulations.
• Maintained composure in stressful situations, confrontations, interviews and records searches.
• Conducted periodic compliance audits and reviews to identify areas of improvement.
• Developed and implemented corrective action plans for non-compliance issues.
• Developed risk assessment models to identify potential compliance risks.
• Warned violators of infractions or penalties.
• Took notes on field examinations and specific case details, updated databases and produced reports outlining results of investigations.
• Confirmed data and licensing information through investigations and notified violators of required changes to bring operations into compliance.
• Directed activities of workers searching records and provided technical guidance as necessary.
• Assisted with development of compliance objectives and strategies.
• Assessed fees related to registration of property-related documents.
• Investigated locations to confirm license data, conducted background checked and assessed premises for compliance with licensing requirements.
• Evaluated and monitored supplier and partner relationships to support compliance.
• Determined licensing eligibility by examining test results and comparing against established structures.
• Kept informed regarding pending industry changes, trends or best practices.
• Completed field checks to verify licenses and permits for various business.
• Ensuring the application of FATF, FATCA/CRS
  /OECD/AEOI
• Monitoring of the FICA Risk Rating and
  sanctions screening procedure ensure it is
  adhered to by the advisors
  Monitoring includes Annual Review monitoring
  for Guernsey, Hong Kong, Island of Man and
  South Africa
• Created and maintained compliant work environment.
• Conduct monitoring as per the plan and report to
  line manager with findings and risk rate financial
  advisors; accordingly. Audit includes quality of
  file and advice given using software for risk
  assessment such Dow Jones (DJJAMS), World
  Check, Go AML, IMS, XDS and hyphen
• Conducting customer risk assessment (CRA,
  EDD,CDD and SDD)

• Maintained composure in stressful situations, confrontations, interviews and records searches.
• Developed risk assessment models to identify potential compliance risks.
• Kept informed regarding pending industry changes, trends or best practices.
• Evaluated and monitored supplier and partner relationships to support compliance.
• Completed field checks to verify licenses and permits for various business.
• Directed activities of workers searching records and provided technical guidance as necessary.
• Assessed fees related to registration of property-related documents.
• Identified gaps in existing compliance processes and recommended updates.
• Developed and implemented corrective action plans for non-compliance issues.
• Warned violators of infractions or penalties.
• Took notes on field examinations and specific case details, updated databases and produced reports outlining results of investigations.
• Investigated locations to confirm license data, conducted background checked and assessed premises for compliance with licensing requirements.
• Determined licensing eligibility by examining test results and comparing against established structures.
• Assisted with development of compliance objectives and strategies.
• Conducted periodic compliance audits and reviews to identify areas of improvement.
• Conduct due diligence analysis to assess risks &
  report regulatory concerns identified that impact
  the company internal policies & procedures
• Ensure appropriate detection & analyses of
  information is done in accordance with
  legislation
• Possess extensive experience in conducting Anti-
  Bribery & Corruption due diligence
• Anti-Money Laundering (AML) enhanced due
  diligence, Supplier due diligence, integrity
  checks, conflict of interest assessments & thirdparty
  checks
• In-depth experience with handling high profile
  cases including complex client transactions,
  mergers & acquisitions
• 
  Where necessary, the scope of the research is
  extended to assess whether third parties to the
  business relationship pose a reputational or
  regulatory risk for the organization
  
• Use skills & knowledge previously obtained as a
  company secretary to identify other risks while
  conducting due diligence. Risks which involves
  irregularities such as churning & layering
  
• Draft the Enhanced Due Diligence (EDD)
  Reports
  
• Detection of suspicious transactions identified
  that could lead to criminal activity and report
  these via the formal reporting portals or to the
  relevant stakeholders
• Effectively & efficiently attend to all reports
  within the regulatory timelines and internal SLA
  
• Provide investigation support by obtaining &
  verifying information that could assist key
  stakeholders with their process
• 
  In-depth knowledge of internal risk policies
  which includes the Risk Management &
  Compliance Program
• Familiar with the following Financial Intelligence
  Centre Act, Prevention of Organised Crime Act &
  Prevention & Combating of Corrupt Activities
  Act
  
• Gathering info & collating evidence in support of
  regulatory reports (Section 27 & 32 requests,
  CTR, TPR & STR/SAR)
• Conduct sanction screening & white listing
• Manage PEP results
• Maintained up-to-date knowledge of applicable laws and regulations.
• Advised clients on compliance fraud and investigations, as well as potential remedies and required actions.
• Created and maintained compliant work environment.
• Collected detailed notes on investigations and other communication to adhere to legal requirements and enhance recordkeeping.
• Confirmed data and licensing information through investigations and notified violators of required changes to bring operations into compliance.

• Perform client identi cation and verification on the Financial Intermediary relationships, including individuals, entities, asset management companies, Investment advisors, and investment managers from a wide range of jurisdictions
• Supports the business with all aspects of data remediation
• Ensure that data quality standards are being adhered to and support the Remediation Team
• Manager with the review and monitoring of outstanding audit actions
• Follows standardized processes and provides administrative support in line with normal business functioning
• Delivers on daily production standards and adheres to service and quality standards
• Provides an indirect service to customers and intermediates
• Responds to immediate requirements within procedure
• Uses standard administrative techniques to coordinate own work
• Identified issues, analyzed information and provided solutions to problems.
• Proven ability to develop and implement creative solutions to complex problems.
• Demonstrated leadership skills in managing projects from concept to completion.
• Proven ability to learn quickly and adapt to new situations.
• Proved successful working within tight deadlines and a fast-paced environment.
• Self-motivated, with a strong sense of personal responsibility.
• Developed strong organizational and communication skills through coursework and volunteer activities.
• Developed strong communication and organizational skills through working on group projects.
• Demonstrated a high level of initiative and creativity while tackling difficult tasks.
• Strengthened communication skills through regular interactions with others.
• Used strong analytical and problem-solving skills to develop effective solutions for challenging situations.
• Used critical thinking to break down problems, evaluate solutions and make decisions.
• May act as mentor / resource to less experienced
• Administrators
• Acts as a support person and / or point of escalation for complex and difficult cases / clients.
• Delivered services to customer locations within specific timeframes.

• Assisted in developing and maintaining department policies and procedures to support organization and industry best practices.
• Managed own work assignments under general supervision to complete self-assessments and other assigned reviews and projects.
• Compiled data for analysis and developed tracking and reporting.
• Facilitated conference calls and meetings with various team members and business partners for work assignments.
• Prepared and distributed assessment reports and conducted closing conferences with various business partners.
• Developed and implemented plans to reduce risk to personnel and equipment during tactical operations.
• Directed tactical operations in complex and challenging environments.
• Conducted and oversaw interrogations, briefings and debriefings.
• Trained and mentored personnel in combat operations and tactics.
• Directed collection, organization and application of field intelligence and combat data to enhance troop safety and operational success.
• Ordered, unloaded, sorted and tracked supplies and equipment needed for unit activities.
• Created contingency plans to address unexpected tactical scenarios.
• Analyzed intelligence reports and identified potential tactical threats.
• Led team in developing strategic plans to meet operational objectives.
• Devised and implemented battle plans to achieve tactical objectives.
• Prepared and delivered investigative reports and briefings.
• Integrated intelligence activities into other military operations, plans and programs.
• Oversaw teams planning, implementing and realigning field and base operational strategies.
• Communicated with command centers to develop and execute tactical plans.
• Supervised manual and automated supply strategies, and connected with supply and data processing teams to facilitate communication and collaboration.
• Planned and coordinated tactical movements of personnel and equipment.
• Handled administrative requirements, maintained records and submitted operational reports.
• Coordinated activities of subordinate personnel to support mission success.
• Monitored and assessed mission progress and provided updates to command.
• Executed tactical operations with accuracy and control.
• Conduct due diligence analysis to assess risks &
  report regulatory concerns identified that impact
  the company internal policies & procedures
• Ensure appropriate detection & analyses of
  information is done in accordance with
  legislation
• Possess extensive experience in conducting Anti-
  Bribery & Corruption due diligence,
• Anti-Money Laundering (AML) enhanced due
  diligence, Supplier due diligence, integrity
  checks, conflict of interest assessments & third party
  checks
• In-depth experience with handling high profile
  cases including complex client transactions,
  mergers & acquisitions
• Where necessary, the scope of the research is
  extended to assess whether third parties to the
  business relationship pose a reputational or
  regulatory risk for the organization
• Draft the Enhanced Due Diligence (EDD)
  Reports
• Detection of suspicious transactions identified
  that could lead to criminal activity and report
  these via the formal reporting portals or to the
  relevant stakeholders
• Effectively & efficiently attend to all reports
  within the regulatory timelines and internal SLA
• Provide investigation support by obtaining &
  verifying information that could assist key
  stakeholders with their process
• In-depth knowledge of internal risk policies
  which includes the Risk Management &
  Compliance Program
• Familiar with the following Financial Intelligence
  Centre Act, Prevention of Organised Crime Act &
  Prevention & Combating of Corrupt Activities
  Act
• Gathering info & collating evidence in support of
  regulatory reports (Section 27 & 32 requests,
  CTR, TPR & STR/SAR)
• Conduct sanction screening & white listing
• Manage PEP result

• Performed legal and general research, drafting memoranda, and correspondence.
• Organized legal filing system to maximize efficiency.
• Reviewed legal information and proofed documentation for errors.
• Attended depositions and court proceedings and prepared summaries on cases.
• Conducted initial client interviews, gathering facts and preparing case summaries.
• Summarized deposition transcripts and case materials for senior review.
• Drafted, received and tracked due diligence checklists.
• Analyzed facts and case law to determine possible defenses for clients.
• Filed legal documents promptly and accurately with local, state and federal courts.
• Assisted in developing processes to expedite legal procedures.
• Sorted legal documents, filing and case materials in clear, orderly systems.
• Assessed case dockets to prepare and provide appropriate legal advice.
• Prepared accurate pleadings, motions and briefs for review by partner attorneys.
• Interviewed and communicated with clients via phone or email.
• Interpreted and relayed legal information in clear format for clients.
• Contacted clients to schedule appointments and discuss progress of cases.
• Communicated pertinent information to clients via phone, email, and mail.
• Researched statutes, decisions, legal articles, and codes.
• Revised and finalized letters, briefs, and memos.
• Assisted attorneys with reviewing and organizing witness reports.
• Contacted witnesses to testify under oath at court hearings.
• Developed polished motions and briefs to support litigation processes and court proceedings.
• Prepared various exhibits for attorneys for public meetings, zoning commission meetings, and legal resolutions.
• Reviewed, edited and proofread litigation for proper grammar, spelling and punctuation.
• Researched and analyzed legal issues and cases to provide accurate advice to clients.
• Produced legal documents such as briefs, pleadings and appeals.
• Reviewed Deed of Trust, Title Commitment and prior bankruptcies documents.
• Interviewed clients to obtain information relevant to cases.
• Analyzed deeds of trust to verify grantor, grantee, trustee and loan amounts for executive leadership.
• Attended court hearings and depositions to take notes and document proceedings.
• Created weekly, monthly and quarterly expense reports.
• Collaborated with attorneys to develop strategies for each case.
• Conducted background investigations on defendant.
• Generated leads to meet and exceed revenue goals by identifying new clients.

• Completed paperwork, recognizing discrepancies and promptly addressing for resolution.
• Recoveries and liabilities claim, administration
  and support
• Receive instruction to commence with recovery
  process and review the claims history to ensure
  all relevant information has been received
• Trace parties and make contact to provide information regarding the recovery process and obtain
  information
• Compile and dispatch the relevant documents
  (letter of demand, prelitigation notice, request for
  settlement etc.)
• Ensure accurate records are kept on recoveries
  progress and saved on the system
• Prepare and send invoices for services rendered
  Keep track of payments received and allocate
  payment
• Keep the client and internal servicing team up to
  date regarding the progress of the recovery
• Provide information and administrative support
  to internal and external legal team to support
  further legal processes
• Formulate the appropriate recovery strategy to
  recover as much as possible and mitigate any
  additional impairment requirements.
• Instruct panel attorney to institute legal action
  against all liable parties and manage the legal
  process until the matter is resolved.
• Initiate, entertain and approve any negotiations
  or settlement proposals within personal
  discretion and refer to mandate officially if
  outside personal mandate.
  
• Provide ongoing instructions to the attorney,
  including evidence required by the court such as
  factual evidence, reconciliations, and
  documentation.
• Draw and submit the claim and documentation
  required in liquidations/sequestrations and
  deceased estates.
• In liquidation/sequestration, ensure that the
  liquidator is protecting the Banks interest
  regarding our assets, whether a vehicle,
  immovable property or any other.
• Assess the risk position by analyzing the overall
  security position to ensure the correct level of
  impairment is raised.
• Perform financial and non-financial analysis on
  the client that will support and underpin the
  recovery strategy to be implemented for a
  particular group or customer.
  
• Produce relevant management information and
  statistics as required. This includes reports to the
  Watchlist Committee if required.
• Manage bad debt exposures by taking daily legal
  recovery decisions, reviewing information from
  various systems, and taking loss decisions
  accordingly.
• Report all risk and loss events as a result of fraud
  or error.
• Monitor progress on defended/opposed matters
  in consultation with Group Legal and submit
  Form B.
• Engage with Team Leaders and higher levels on a
  matter-to-matter basis regarding complex
  matters.

Human Resource Department

• Receive and verify documents for registration
• Register the claims on the Operational System
• Assist with employer services with vacancy
  reference numbers
• Handle all service-related queries and
  complaints
• Employment Equity Act Basic Conditions
• Employment Act
• Labor Relations Act
• Validation of vacancy salaries
  Supporting the recruitment and selection of staff
  in the organization
• Monitor the job evaluation process assisting
  with documentation for the purposes of
  Coordinating the
• Assisting with investigating and handling
  misconduct cases
• Promoting sound labor relations within the
  organization
• Assisting with representing the organization in
  dispute resolution processes educating and
  creating awareness on key labor relations issues

Finance Department Served

• Worked with BAS program for the purposes of
  capturing financial statements from various
  Western Cape hospitals.
• Drawing of expenditure reports and prepares
  management submissions of expenditure trends.
• Clearing of assets and liabilities accounts
• Update the register of Hospital bills
• Making telephonic calls
• Data capturing of invoices
  Clearing and follow-up of outstanding debts
  accounts
• Collection of debts from student who completed
  their studies to

Supply Chain Department

• Appropriate experience with a Computerized
  System.
• Appropriate experience in Procurement
  environment and gained ability to manage
  warehouse according to regulations. Gained
  reliable experience in Excel and mathematical
  analysis.
• Using computer literacy (Windows/Word/Excel
  and Outlook).
• Assist in report regularly to supervisor regarding
  compliance and assist with the preparation of
  inputs for the interim and annual financial
  statements (inventory).
• Perform system functions pertaining to
  warehousing and perform monthly stocktaking
• Assisting with the duties of procurement of
  goods to the warehouse, capturing quotations
  and authorization of PA's. assist with executing
  compliance control related to Supply Chain
  Management/Finance and handle queries in all
  aspects within the Supply Chain Management
  Department.