Tarryn Ford

Conducted onboarding calls for RMCP and created RR for enterprise deals and standard clients.

Reviewed customer documents to ensure compliance with RMCP guidelines.

Managed email roster rotation to maintain effective communication.

Responded to inquiries via Slack to provide timely support.

Attended meetings with account managers and clients to address sales-related queries.

Developed training courses and represented company in webinars.

Supported junior colleagues through mentoring and knowledge sharing.

Contributed to marketing initiatives, including blogs, articles, and video content checks.

• Collaborated with cross-functional teams to ensure adherence to compliance protocols.
• Provided training sessions on compliance procedures to staff across various departments.
• Advised management on best practices in compliance-related matters.
• Assessed the effectiveness of existing processes and procedures related to compliance.
• Identified gaps in existing controls and recommended corrective actions as needed.

• Building close relationships and proactively owning interactions with Corporate Client key stakeholders (compliance, leaders, front line and support staff) to provide services around their specialist client base
• Gaining a deep understanding of the Corporate Client target market, business, client base and their products and services
• Developing AML understanding in order to pro-actively and confidently advise the business around potential or actual risks
• Annual review of existing high-risk client base (including PIPS and PEPS) in order to identify and assess true high-risk relationships by conducting enhanced due diligence and investigations for each of these clients and their related parties
• Assess the risk associated with new clients by conducting enhanced due diligence and investigations for each of these clients and their related parties
• Conduct investigations on alerts generated by the automated anti-money laundering systems to determine whether the alert is genuine or a false positive and conduct enhanced due diligence for each of these true hit clients and their related parties
• Where necessary, escalate findings to senior management on clients with adverse information and/or that pose a higher AML risk for the bank
• Conduct ad hoc client reviews as required by the business
• Report any suspicious activity (SAR) or suspicious transactions (STR) through the established reporting channels
• Actively engage with the business and all branches to develop information flows in relation to client activity, transactions and other relevant information
• Interact with various business units regarding shared clients
• Assist the business to make risk-based decisions in relation to clients
• Provide occasional training to the various business units as and when required
• Assist leaders with ad-hoc requests as required

Assessed quality and execution of service by analysts, ensuring standards compliance.

Reviewed processed work for accuracy and guideline adherence.

Conducted spot checks on high-risk processes to mitigate potential issues.

Compiled and published periodic performance reports against targets.

Collected feedback on consultant performance based on QA measurements.

Monitored adherence to Procedure Manuals to ensure compliance.

• Collaborated with teams to identify process improvements in assurance practices.
• Facilitated training sessions on compliance protocols and best practices.

• Continued with responsibilities of Client Onboarding Consultant (Verifier)
• Analysis of the KYC/FICA requirements at the final stage and authorising the client to make the client KYC Compliant
• Performed authorisation of tasks accurately and timeously
• Performed quality assurance such as assess quality and execution of service provided by consultants against set standards and measurement criteria
• Assist and support team members in dispute sessions
• Updating and monitoring of regulatory standards (keeps up to date with latest changes and requirements from a KYC perspective)
• Knowledge share with the team including new starters. Assist and support with training and upskilling of new staff
• Identification of gaps in training
• Effectively assist with ad hoc requirements, requests, or projects (Shared Client Project, Pegasus Testing, etc.)
• Contribute to continuous improvement of process and delivery
• Escalate issues to Leadership, Risk and or Compliance in a timely manner
• Ensure that all business is conducted in accordance with the rules, guidelines and expectations of the FSA and ensure the business is aligned to the Investec values
• My role requires excellent communication, teamwork, analytical and methodical, and being reliable and being able to step up when required

• My role included an in-depth analysis/verification of KYC documentation for existing, new individuals and large corporates (local and foreign) to ensure that the entity is compliant with/and meets FICAA regulatory requirements
• Performed analysis of complex company Organograms to evidence the natural person(s) (Ultimate Beneficial Owner(s)) that benefit from the entity
• Worked closely with the Compliance function when onboarding 'exception' based entities
• Provided FICA advice to Internal Consultants, Private Bankers and clients
• Involved in company projects (eg. Shared Client Alignment Project, Pegasus Testing, participated in the Interviews for FSB, Assisted OCP with Process Analysis spreadsheet)

• Continued responsibilities if a Compliance Officer
• Supervise and co-ordinate the Incoming workload and queries relating to Compliance legislation
• Advise/respond to incoming queries from partners, fee earners, support staff and other members of the firm in relation to the requirements of Compliance legislation and the interpretation and application of the firm's AML/CDD policy
• Assist the Manager/Supervisors in co-ordinating incoming work and workload management
• Provide support to team members in their day-to-day tasks
• Review New and Existing Business Intake Forms
• Liaise with support departments, notably the Finance (Client Maintenance, Client Matter Finance, CRP Changes, and Billing Administration), Research, Conflicts and IT departments
• Participate in discussions with Supervisors and Manager in improving processes

• Continued responsibilities of a Junior Compliance Officer
• Responsible for training, reviewing of peers work and induction of new joiners to the compliance department
• Consider and implement anti-money laundering legislation (AML) and sanctions issues to ensure compliance with regulatory obligations for existing and potential firm clients
• Perform private and confidential research/analysis on entities concerning financial transactions
• Assist in the development of compliance policies governing the firm
• Liaise with partners and senior management about compliance policies, exceptions and best courses of actions to follow
• Keep abreast of regulatory legislation and amendments, specifically within the AML field
• Drafting of Memorandums which document the research conducted in a clear and concise manner
• Responsible for the provision of guidance and advice to the firm as part of the New Business Intake process

• Conduct a degree of personal research from public sources and utilise external subscription databases to screen clients
• Conduct risk rating reviews on clients
• Update and maintain client records (on-going monitoring) and maintain databases /Participate in administrative projects under the supervision of more senior Compliance Officers
• Provide advice and guidance to partners
• Ensuring that the relevant policies and procedures to which the firm subscribes to and are always adhered to

• Submitted claims to medical aid and billed patients using Medi Mass and Healthbridge Medical Systems.
• Drafted referrals and letters for efficient communication.
• Managed practice accounts and remittances to ensure financial accuracy.
• Monitored stock levels, placed orders, and handled stock reception.
• Executed faxing, copying, filing, and managed doctor’s emails and personal phone.
• Managed daily scheduling for medical staff and patient appointments.
• Coordinated communication between patients and healthcare providers.
• Organized medical records and ensured accurate documentation.
• Ran errands to help with daily tasks, enabling employer to focus on more pressing duties.
• Addressed medical aid related queries and assisted patients with inquiries.

• Performed role as a Part-Time Sales Assistant.
• Assisted customers with product selection and inquiries in a fast-paced pharmacy environment.
• Trained new team members on pharmacy procedures and customer service protocols.