Prudence Mokgako
Compliance, Risk And General Administration Supervisor
Benoni
Summary
Detail-oriented Compliance Officer dedicated to improving policies and procedures in all business areas. Hardworking and driven with quality-focused and proactive approach. Bringing 10 years of experience in Banking Industry together with 4 years in the electronic Payments systems solutions industry. Detail-driven Compliance Officer focused on maximizing company compliance with applicable laws and standards. Knowledgeable about internal controls, process evaluations and procedural reviews. Proficient in different business sector requirements and industry rules. Fantastic critical thinker with great memory and efficiently organize vast amounts of data. Great at performing internal audits, conducting investigative reporting and transcribing information. Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals.
Overview
18
18
years of professional experience
7
7
years of post-secondary education
Work History
Compliance,Risk and General Admin Supervisor
Altron FinTech (NuPay)
Alberton
2018.04 - Current
- Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
- Managed practical action plans to respond to audit discoveries and compliance violations.
- Monitored and assessed compliance risks associated with operational processes and procedures.
- Developed and maintained compliance database, tracking all compliance activities and documents.
- Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Responded to employee inquiries regarding compliance regulations and procedures.
- Collaborated with sales and marketing departments and other business units to address indications of improper sales practices and market conduct violations.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
- Investigated locations to confirm license data, conducted background checked and assessed premises for compliance with licensing requirements.
- Completed field checks to verify licenses and permits for various business.
- Assisted with development of compliance objectives and strategies.
- Developed and implemented corrective action plans for non-compliance issues.
- Created and maintained compliant work environment.
- Advised clients on compliance fraud and investigations, as well as potential remedies and required actions.
- Identified gaps in existing compliance processes and recommended updates.
- Developed risk assessment models to identify potential compliance risks.
Branch Operations /Risk Administrator
First National Bank
Gauteng
2013.03 - 2018.03
- Informed financial decisions by analyzing financial information to forecast business, industry or economic conditions.
- Monitored industry, technological and economic developments to stay current on potential risks.
- Assessed liquidity and market risk levels and applied risk-based approach to oversee financial activities.
- Coordinated ongoing efforts to strengthen risk culture and fine-tuned risk appetite for lending and funding activities.
- Built contingency plans to successfully handle financial emergencies.
- Produced and filed reports to inform senior management of current activities and progress with investigations.
- Participated in team projects, demonstrating an ability to work collaboratively and effectively.
Branch Team Leader(Front Line)
First National Bank
Springs
2010.01 - 2012.12
- Demonstrated respect, friendliness and willingness to help wherever needed.
- Worked well in a team setting, providing support and guidance.
- Cultivated interpersonal skills by building positive relationships with others.
- Applied effective time management techniques to meet tight deadlines.
Customer Service & Business Consultant
First National Bank
Springs
2007.01 - 2009.12
- Answered customer telephone calls promptly to avoid on-hold wait times.
- Maintained customer satisfaction with forward-thinking strategies focused on addressing customer needs and resolving concerns.
- Responded to customer requests for products, services, and company information.
- Updated account information to maintain customer records.
- Offered advice and assistance to customers, paying attention to special needs or wants.
- Provided primary customer support to internal and external customers.
- Analyzed customer service trends to discover areas of opportunity and provide feedback to management.
- Collaborated with staff members to enhance customer service experience and exceed team goals through effective client satisfaction rates.
- Participated in team meetings and training sessions to stay informed about product updates and changes.
- Handled customer inquiries and suggestions courteously and professionally.
- Clarified customer issues and determined root cause of problems to resolve product or service complaints.
- Reached out to customers after completed sales to suggest additional service or product purchases.
- Educated customers about billing, payment processing and support policies and procedures.
- Increased efficiency and team productivity by promoting operational best practices.
Bank Teller
First National Bank
Heidelberg
2005.01 - 2007.01
- Learned about customer's financial needs, established trust, and optimized sales opportunities resulting in quality customer service.
- Completed highly accurate, high-volume money counts via both manual and machine-driven approaches.
- Processed customer transactions promptly, minimizing wait times.
- Educated customers on use of banking website and mobile apps.
- Identified sales opportunities and referred customers to branch partners in financial services.
- Logged cashier's checks and other transactions to maintain accurate account records.
- Disbursed cash and checks accurately while maintaining security of cash drawers.
- Balanced cash drawer daily and resolved discrepancies to provide accurate data regarding cash flow.
- Monitored and reported suspicious activity in line with bank security policies.
- Assisted with training of new tellers on policies and procedures.
Education
National Diploma: Cost And Management Accounting - Accounting and Business Management
Vaal University of Technology
Vanderbijlpark, Vaal 2000.01 - 2002.12
Bcom Business Management - Accounting And Business Management
Da Vinci Institute
Modderfontein, South Africa 2019.07 - Current
Skills
Compliance understanding
Accomplishments
- Supervised team of 11 staff members.
- Documented compliance and risk mitigating tool and resolve vetting issues which led to reducing the merchants/customer onboarding time.
I have managed to register or onboard my organization customers unique short name on time when Debicheck was rolled out as the customers were moved from the AEDO payment stream. This included compiling and submitting correct customer data and making sure that each customer is linked to the correct sector that they operate within.
Timeline
Bcom Business Management - Accounting And Business Management
Da Vinci Institute
2019.07 - Current
Compliance,Risk and General Admin Supervisor
Altron FinTech (NuPay)
2018.04 - Current
Branch Operations /Risk Administrator
First National Bank
2013.03 - 2018.03
Branch Team Leader(Front Line)
First National Bank
2010.01 - 2012.12
Customer Service & Business Consultant
First National Bank
2007.01 - 2009.12
Bank Teller
First National Bank
2005.01 - 2007.01
National Diploma: Cost And Management Accounting - Accounting and Business Management
Vaal University of Technology
2000.01 - 2002.12
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