Sharon Guma
Dubai
Summary
Accomplished professional with expertise in internal audit, risk management, and regulatory compliance. Proven ability to conduct risk assessments, implement control systems, and ensure compliance with industry regulations. Experienced in analyzing financial data and leading teams to enhance operational efficiency and governance. Committed to leveraging skills in compliance and strategic problem-solving to drive organizational success.
Overview
12
12
years of professional experience
Work History
Senior Compliance Officer
AMAL TRUSTEES
09.2022 - 08.2025
- Managed a team of 6 compliance officers and analysts
- Identified and documented compliance violations; recommended corrective measures to address issues.
- Conducted breach assessments and maintained comprehensive documentation.
- Developed and managed compliance database for tracking activities and documents.
- Assisted with internal and external audits, ensuring adherence to laws and regulations.
- Maintained current knowledge of evolving compliance regulations to inform practices.
- Reviewed and updated compliance policies and procedures to ensure ongoing compliance.
Internal Auditor
Deloitte Touche Tohmatsu Limited
01.2021 - 08.2022
- Prepared reports detailing production analysis for lead auditor.
- Verified AFSL audit engagement documents for each client.
- Developed understanding of company audit methodology under senior supervision.
- Executed audit phases and entered data into EMS software for analysis.
- Examined reports and processes to ensure compliance with internal procedures.
- Conducted client meetings to discuss findings under guidance of seniors.
- Performed breach assessments, identifying compliance shortfalls and reporting issues.
- Maintained stakeholder relationships through regular communication with auditors and clients.
Senior AML Analyst
Commonwealth Bank
01.2019 - 12.2020
- Conducted investigations of institutions and individuals to enforce laws and regulations.
- Assisted in preparing Suspicious Transaction Reports for regulatory compliance.
- Maintained strong investigative skills while collaborating effectively with team members.
- Performed detailed analyses to identify patterns, trends, and anomalies in transactions.
- Participated in specialized high-risk projects, including Money Service Business and Service Australia initiatives.
Junior Compliance Officer
Africa Royal Group
02.2014 - 11.2016
- Identified and reported compliance issues, ensuring adherence to regulations.
- Produced comprehensive risk and compliance reports for stakeholders.
- Recommended methods to enhance internal controls and operational efficiency.
- Trained new employees on company processes, procedures, and deadlines.
- Evaluated policies to ensure alignment with best practices.
- Investigated discrepancies identified during review processes.
- Documented recommendations for improving internal controls.
- Coordinated with senior compliance officers to document process reviews.
Education
Master of Applied Finance - Commerce
The University of Newcastle
Newcastle, NSW12.2018
Master of Business Administration - Business Administration And Management
University of Newcastle
Newcastle, NSW12.2018
Bachelor of Commerce - Finance
University of Newcastle
Newcastle, NSW08.2017
Diploma in Business And Commerce - Business And Commerce
Newcastle International College
Newcastle, NSW12.2015
Skills
- Regulatory Compliance & Governance
- Risk assessment and compliance monitoring
- AML/Sanctions screening, suspicious transaction reporting
- KYC/ CDD/ ECDD
- Policy development and implementation
- Audit and regulatory inspections
Affiliations
- Chartered Accountants Australia and New Zealand (CA)
- Member of The Newcastle University Postgraduate Students' Association (NUPSA), 2017 to 2019
- Employment Connect mentorship program (2018 - 2019)
Timeline
Senior Compliance Officer
AMAL TRUSTEES
09.2022 - 08.2025
Internal Auditor
Deloitte Touche Tohmatsu Limited
01.2021 - 08.2022
Senior AML Analyst
Commonwealth Bank
01.2019 - 12.2020
Junior Compliance Officer
Africa Royal Group
02.2014 - 11.2016
Bachelor of Commerce - Finance
University of Newcastle
Diploma in Business And Commerce - Business And Commerce
Newcastle International College
Master of Applied Finance - Commerce
The University of Newcastle
Master of Business Administration - Business Administration And Management
University of Newcastle
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