Group Compliance Officer
Resume:
*********@*******.***
Pretoria
OBJECTIVE
My legal and compliance experience
gained over 10 years has enabled me
to strengthen my theoretical and
practical understanding of the
regulatory environment in South
Africa. I am a focused, reliable
employee who is seeking an
opportunity to display my attention to
detail and logical approach to any
task.
PERSONAL DETAILS
IDENTITY NR:
GENDER:
Male
NATIONALITY:
South African
LANGUAGES:
English
Afrikaans
DRIVERS LICENSE:
Code 8
EXPERIENCE
GROUP COMPLIANCE OFFICER • IEMAS FINANCIAL SERVICES • MAY 2013 CURRENT
Interpretation and implementation of the compliance risk management process
Creation and refinement of compliance framework and policy
Explaining and communicating implications of regulatory items to compliance stakeholders in the form of compliance and legal opinions
Research regulatory items applicable to the organisation and prioritise the regulatory items based on impact analysis efforts
Apply compliance risk management methodologies in assisting management to deal with compliance risk
Management of contracts for compliance function
Providing advice as to contracts and agreements from a legal and compliance perspective
Reporting to Exco committee and Audit and risk committee
Co ordination of annual B BBEE verification and provide advice on B BBEE strategy
Provide advice for potential new business structures or ventures so as to attain strategic agendas
Supporting a culture of compliance within the organisation
Creation and facilitation of compliance risk management plans
Developing compliance monitoring plans to monitor and report on compliance findings
Consulting with external counsel for legal and compliance matters
Compile compliance reports after conducting compliance monitoring
Engaging with applicable regulators on an ongoing basis so as to maintain the organisations reputation and to manage compliance risk
Attending industry forums for organisational application and relationship management
Contributing and coordinating to compliance reports submitted to governance structures
Compilation of annual compliance budgets for Exco approval
Alignment and proposal of budgetary items that assist the organisation reaching strategic agendas
Part of implementation team for combined assurance
Provide input as to annual integrated report
Co ordination of the implementation of risk management and compliance software
Preyesh Nundkisun
*********@*******.*** / Centurion, Pretoria / 079-***-**** *********@*******.***
43 Mulder Street, Centurion,
Pretoria
PROFESSIONAL
ASSOCIATIONS
COMPLIANCE INSTITUE OF SOUTH
AFRICA, 2019
LAW SOCIETY OF SOUTH AFRICA,
FROM 2008
REFERENCES
ADV ANDRE DECLOEDT
Head of Legal, MMI Africa
MR FRANCOIS MEINTJIES
Compliance Officer – Moonstone
Compliance & Risk Management
Deputy chairperson of organisational legal and compliance forum
Creating, reviewing and updating of policies
Engaging with compliance stakeholders including, regulators and industry bodies as to escalated complaints, including legal responses to these parties FORENSIC AUDITOR • BAYPORT FINANCIAL SERVICES • NOVEMBER 2011 – APRIL 2013
Assist management in developing companywide fraud risk framework
Perform risk analysis, audits and reviews based on the risk framework
Giving legal opinion as to fraudulent matters and drafting of policies
Attending court on behalf of company for criminal cases
Assisting investigators at company with investigations
Doing forensic reviews for loan approvals
PROPERTY CONSULTANT • OLD MUTUAL FINANCE • NOVEMBER 2009 – OCTOBER 2011
Determining retail climates in cbd’s, malls & centres by regular visits to various national provinces
Negotiations with listed property groups, managing agents and landlords for retail space and building client relationships
Project management duties using excel
Following legal protocol & procedure
Presenting new deals for Exco approval
CANDIDATE ATTORNEY • VAN ZYL, LE ROUX ATTORNEYS • JANUARY 2008 – OCTOBER 2009
Magistrates court appearance for Section 65 procedure
High court and master of the high court administration
Attending foreclosure auctions on behalf of one of big five banks
Case diarising & administration
Briefing of advocates and consulting with clients *********@*******.***
43 Mulder Street, Centurion,
Pretoria
EDUCATION
ATTORNEY OF THE HIGH COURT OF SOUTH AFRICA • 2009 • NORTH GAUTENG HIGH COURT
LLB • 2008 • UNIVERSITY OF PRETORIA
BCOM LAW • 2006 • UNIVERSITY OF PRETORIA
MATRIC • 2001 • HIGHVELD PARK HIGH SCHOOL
TRAINING
COMPLIANCE OCCUPATIONAL CERTIFICATE COURSE • 2015 • KNOWLEDGE AND PRACTICAL MODULES COMPLETE
RE 1 EXAMINATION CERTIFICATE • 2017 • FPI
POPIA TRAINING CERTIFICATE • 2015 • COMPLIANCE ONLINE EXCLAIM COMPLIANCE SOFTWARE • 2018 • Exclaim
COMMERCIAL LAW PROGRAME • 2012 • BLACK LAWYERS ASSOCIATION LEASE RENEWAL AND LEASE AGREEMENT TRAINING • 2010 • OLD MUTUAL FINANCE (IN HOUSE TRAINING)
GENERAL TRAINING (RETAILERS IN SA, OFFERS TO LEASE, LEASE AGREEMENTS, MEASURING PREMISES FOR SITE SURVEYS, NEGOTIATIONS SKILLS • 2010 • OLD MUTUAL FINANCE (IN HOUSE TRAINING) CERTIFICATE IN LEGAL PRACTICE • 2009 • LAW SOCIETY OF SOUTH AFRICA & UNISA
CERTIFICATE FOR SCHOOL OF LEGAL PRACTICE • 2008 • LAW SOCIETY OF SOUTH AFRICA & UNISA
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