FICA Compliance
Resume:
SIMPHIWE
LUPHOKO
adhcn8@r.postjobfree.com
DIEPKLOOF, SOWETO
LINKEDIN.VOM/IN/SIMPHIWE-
LUPHOKO-2B8562198
OBJECTIVE
Junior Analyst
TECHNICAL SKILLS
Strong knowledge of FAIS &
FICA
Technical Analysis
Strategic Planning, Organizing
& implementing of Risk
control measures
Fixed Asset Reporting
Familiarity
Structured Data Analysis
EXPERIENCE
FICA COMPLIANCE & RISK JUNIOR(INTERNSHIP)
OFFICER/LUCRATIVE EXCHANGE
01/04/2020 – 30/09/2020
• Ensuring company complies with the AML
regulations and the requirements for FICA.
• Responsible for record keeping of client
information and monitoring client activities.
• Ensure company carries out enhanced due
diligence when sourcing and verifying client
information.
• Building ‘KYC’ processes and Risk assessments to limit risk exposure.
• Assess clients according to risk ratings and sort in different risk classes.
EDUCATION
BCOM ECONOMICS AND RISK MANAGEMENT
NORTH WEST UNIVERSITY – POTCHEFSTROOM
CONCEPTS FAMILIAR WITH
• IFRS, FICA & FAIS
• Enterprise Risk Management
• KYC & Customer Due Diligence
• Cash Threshold Reporting
• Foreign Exchange Markets
• Risk Management and Compliance programmes
2
COVER LETTER
Allow me to introduce myself. I am an ambitious, self-driven hardworking individual with an innovative way of thinking.
Completing my Economics & Risk Management degree has given me a deeper understanding on a range of topics from macroeconomics and Risk management to International trade and financial markets. I would say my passion in the finance industry grew even more when I started my position as a FICA compliance and Risk junior officer, at Lucrative Exchange, a financial services intermediary. Working as a compliance officer has made me familiar with financial regulations such as FICA, FAIS & FSRA.
Working for a financial service provider has given me exposure to foreign exchange, stock market, investment and wealth management. I’ve learned a range of skills such as opening or closing client accounts, dormant activation procedures for clients who have been inactive and pre- populating client Balance of Payment forms for approval. I was pleased to find the role as I’ve always had the highest level of respect for the organization.
I believe the skills I possess would qualify me an asset for the role and contribute to broadening my skillset.
Thank you for your time and consideration, I look forward to hearing from you.
Kind regards
3
BACHELOR OF COMMERCE
4
NATIONAL SENIOR CERTIFICATE
5
DRIVERS LICENSE
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