Mercy Nkambule ** Baronwood Court Brampton ON L*V 3H7

Tel: 647-***-****

adacdc@r.postjobfree.com

SKILLS SUMMARY

A Bachelor of Commerce graduate with over 8 years’ experience in a leading Financial Institution and over 10 years in the Casino and Gaming Industry. Extensive expertise in Database Management, Financial Management, Regulatory Investigations as well as analyzing reports, matrices and charts, data mining, data modeling and problem analysis. I can maintain high levels of productivity by managing multiple competing priorities and working effectively under the pressure of time constraints.

High level of proficiency in software skills: Microsoft Office Suite (Excel, MS Word, PowerPoint, SAP, SQL, Access, Outlook) SharePoint and MS Project.

EMPLOYMENT HISTORY

SR Compliance Operations Analyst, Document & Regulatory Control July2013- Present

Scotiabank, Toronto

Act as a key resource in providing expert advice and recommendations in the implementation of all codes, regulations and other initiatives from regulatory authorities in order to ensure that the Investment Industry Regulatory Organization of Canada (IIROC) corporate compliance (REG 1300) is in adherence.

REG 1300 requires the identification of beneficial owners of all “Non-Individual Accounts when opening an account and when any changes in ownership in the account occur.

The purpose of this regulation is to enforce anti-money laundering and anti-terrorism legislation by ensuring that the identities of all individuals with a significant interest in legal entity accounts are known to the investment dealer. Information regarding the identity of individuals whose beneficial ownership or interest exceeds the 10% threshold must be obtained prior to opening an account or the account cannot be opened.

Assist with maintaining the relevant policies to ensure they reflect current regulatory requirements throughout the bank.

Participate in the development and implementation of change initiatives for the Compliance & Operational Risk Control Department.

Conduct research as required including analysis of reports and policies with respect to financial models, regulatory performance measures, government policy and other stakeholder issues i.e. (QI) –Qualified Intermediary accounts.

Pull information from proprietary systems to conduct quantitative analysis and use this data to draw insights and help identify opportunities for growth and improvement

Perform daily, weekly and monthly reviews and analysis of current processes using operational metrics and reports

Review forms from the branch and make sure that the documents are in adherence to IIROC and AML standards.

Senior Operations Administrator February 2011 – June 2013

Scotiabank Toronto

Ensured compliance regulations are adhered to.

Served as administrative contact to bank personnel, broker/dealers or trustees in the daily settlement of job functions or the reconcilement of discrepancies.

Reconciled, Researched and provided area proof differences. Prepared reports, spreadsheets for proof and control or management review.

Assisted management in the development and delivery of new solutions and improved processes which allow branches to focus on customer service and business growth.

Provided assistance and support to online access for branches on policy, procedure, and compliance issues, completing ongoing quality control reviews of system data, operational processes and distribution of exceptional reporting to branches.

Research problems using ADP, Visions, COLD, OAM, MS Office (Word, Excel, PowerPoint, Access, AS/400 Query and/or by contacting account owners.

Monitored e-mail inquiries or reports received into adacdc@r.postjobfree.com and answered requests promptly.

Guaranteed corrective action was taken and escalated as appropriate to Operations Analyst or Manager.

Shift Manager

Canadian National Exhibition, Toronto (Every Summer)

Jul – Sep (2011 -2019)

Supervised the gaming floor which consist of five pits averaging ten tables in each pit, ensured they were running smoothly.

Monitored the gaming floor and ensured regulations and procedures of the games were followed.

Supervised pit managers to ensure procedures were followed accurately.

Supervised opening and closing of gaming tables; scheduled the breaks for all pit managers.

Settled disputes between players and employees in a calm manner.

Handled problems and complaints quickly and efficiently.

Maintained alertness for players and gaming stuff making sure all procedures are adhered to.

Authorized cash-outs, fills, and credit slips.

I can deal multiple games roulette, blackjack, dice, mini baccarat, Caribbean stud poker, three card and let it ride.

Pit Manager Sep 2003 – May 2010

Gold Reef Resorts & Casinos, South Africa

Supervised 6-15 games tables and ensured they were running smoothly.

Monitored pit and ensured regulations and procedures of the games were followed.

Supervised dealers and tables supervisors to ensure procedures were followed accurately.

Opened and closed gaming tables; scheduled the breaks for all pit personnel.

Settled disputes between players and employees in a calm manner.

Handled problems and complaints quickly and efficiently.

Maintained alertness for players and dealers attempting to cheat.

Authorized cash-outs, fills, and credit slips.

EDUCATION

Business Analysis Certificate

George Brown College

*Technical Writing & Analysis (2015)

*Writing for Software products (2015)

*Technical Editing & Productions – (2016)

*Managing Documentation & Services – (2017)

Middle Management Development Certificate January 2009 - Dec 2009

WITS University (South Africa)

Bachelor of Commerce February 1998 – Nov 2001

University of KwaZulu-Natatal (South Africa)

References - available upon request

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