Purity Mugo
Compliance & Risk Management Professional
Nairobi,Nairobi County
Summary
A solution oriented Compliance and Risk Management professional with over eight years' experience in management consulting and the Fintech sectors. Experienced in working collaboratively with top leaders and staff to optimize adherence to policies, procedures, standards and regulations. Well-versed in comprehensive analysis of operations and use of Lean methodology to implement world class best practice processes and policies. Certified in Six Sigma(White Belt) and leveraging this to bring Total Quality Management to Risk Management and Compliance processes.
Overview
5
5
years of post-secondary education
9
9
years of professional experience
Work History
Compliance Officer
DPO Group
11.2019 - 05.2021
- Duties and Responsibilities: (Handling compliance for 18 African countries)1.Review, formulation of CFT/AML/BYOD policies and adapting GDPR & PCI DSS requirements for DPO policies and guidelines for staff.
- 2.Training of staff on various policies, guidelines e.g., GDPR and PCI DSS, BYOD, AML/CFT/ABC3.Review of staff access to the various Systems and applications on a quarterly basis.
- 4.Offering third eye review of contracts being entered into and other contractual obligations.
- Being part of project lifecycles in each division to ensure adherence to PCI DSS, GDPR, Internal and external regulations e.g.
- By ensuring DPIAs are filled for each project.
- 5.
- Scrutinizing and contributing to existing policies and testing that they are robust, customer friendly and adequate under applicable regulations, by internal review and working with external reviewers (E.g.
- Card schemes) and ensuring any audit findings are addressed.
- 6.Building the compliance profile across the group by holding monthly adhoc sessions with regional and various business teams.
- 7.Handling all compliance issues via ZOHO desk tickets and using other avenues to resolve them.
- 8.Being the conservatoire of all company licenses and other regulatory documents and ensuring they are up to date in each jurisdiction the company operates in.
Business Consultant-Risk Management,Compliance,IA
Freelance
Nairobi, Nairobi County
08.2018 - 09.2019
- Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
- Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
- Monitored compliance with processes, policies, procedures and standards in regards to collection and management of annual contributions from shareholder companies.
Senior Associate
Pricewaterhousecoopers Limited, Revenue Assurance Services& Advisory Services
09.2015 - 08.2018
- (Team leader in below assignments)1.
- Internal audits for the below clients since 2011 to date:.
- De La Rue Kenya, Renaissance Capital Kenya, IPSTC, ATI, Swissport Kenya Ltd, UAP Ltd, Mumias Sugar Company, IDB Capital Kenya, Blue Microfinance Ltd2.
- Internal control reviews for Kenya Wildlife Services (KWS), Kakuzi Ltd & UAP Old Mutual Group 3.
- Anti-Money Laundering and CMA guidelines compliance reviews for Renaissance Capital Kenya 4.
- Enterprise Risk Management (ERM) frameworks formulation and trainings for KETRACO, Kivu Energy (Rwanda),Nation Media Group, Council of Legal Education and KPLC Kenya Ltd.
- Risk Management & monitoring project risk for Financial Sector Deepening Africa (FSDA)5.
- Project evaluation and monitoring for National Aids Control Council (TOWA, Ministry of Industrialization, Ministry of Planning (OBA project) and USAID PEPFAR project.
- 6.
- Employee and Risk culture survey formulation, administration and results analysis for Swissport Kenya on an annual basis since 2013.
- 7.
- Promotional Assurance for East African Breweries (On-going since 2012), Coca-Cola East, Central and West Africa and Nokia East and Central Africa.
- 7.
- External Quality Review of the Internal Audit function for the Industrial & Commercial Development Corporation (ICDC) & Insurance Regulatory Authority (IRA).
Associate
Pricewaterhousecoopers Limited, Revenue Assurance Services& Advisory Services
09.2011 - 01.2015
- (Team member in below assignments)1.
- Internal audits for the below clients since 2011 to date:.
- Renaissance Capital Kenya, ATI, Mumias Sugar Company, IDB Capital Kenya, Blue Microfinance Ltd2.
- Enterprise Risk Management (ERM) frameworks formulation and trainings for KETRACO.
- 3.
- Project evaluation and monitoring for National Aids Control Council (TOWA, Ministry of Industrialization, Ministry of Planning (OBA project).
- 4.
- Promotional Assurance for East African Breweries (On-going since 2012), Coca-Cola East, Central and West Africa and Nokia East and Central Africa.
Quality Assurance Intern
Coca Cola Nairobi Bottlers
Nairobi, Nairobi County
06.2010 - 10.2010
- Determined overall product quality by accurately conducting and evaluating various QA tests.
- Assisted with planning of quality assurance testing projects following functional specifications.
- Prepared QA evaluation reports and submitted to management.
- Interpreted analytical data, converting to technical documentation for use in training manuals and standard operating procedures.
Education
Bachelor Of Science - Chemistry And Zoology
University of Nairobi
01.2006 - 01.2011
Six Sigma White Belt Certification
Six Sigma Council
Skills
Investigations skills
Affiliations
- International Association of Risk and Compliance Professionals (IARCP)
- Association of Compliance Professionals in Africa (ACCPA)
Accomplishments
· Using a self-made template to conduct AAFDI compliance and improvement reviews to get IDB Capital a score of A for 2 years leading to them being awarded a KES 1.5Bn line of credit form the Indian Government.
· Compliance reviews, trainings formulation of various policies for DPO group. Formulated in DEC 2019 a BCM policy that helped the company weather the COVID-19 downturn as in it I proposed diversifying business models by targeting online sales.
· Compliance reviews for CMA compliance for Renaissance Capital, BCLB reviews for EABL on promotion assurance, Mwongozo code of governance for state corporations & AAFDI reviews for IDB Capital.
· ERM framework formulation for KPLC, KETRACO and Kivu Energy.
· Risk assessments and annual audit plan formulation for ATI, IDB Capital Ltd, Swissport Kenya and UAP limited.
Timeline
Compliance Officer
DPO Group
11.2019 - 05.2021
Business Consultant-Risk Management,Compliance,IA
Freelance
08.2018 - 09.2019
Senior Associate
Pricewaterhousecoopers Limited, Revenue Assurance Services& Advisory Services
09.2015 - 08.2018
Associate
Pricewaterhousecoopers Limited, Revenue Assurance Services& Advisory Services
09.2011 - 01.2015
Quality Assurance Intern
Coca Cola Nairobi Bottlers
06.2010 - 10.2010
Bachelor Of Science - Chemistry And Zoology
University of Nairobi
01.2006 - 01.2011
Six Sigma White Belt Certification
Six Sigma Council
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