Compliance Analyst

DEBORAH LUGAZIVA MAKAMA

P.O BOX 259**-***** NAIROBI

MOBILE: +254-*********

Email: ********@*****.***

http://linkedin.com/in/deborah-lugaziva-75b4a5189

CURRICULUM VITAE

CAREER

OBJECTIVE

Dedicated and highly accountable professional with strong ethical code pertaining verification and identity of clients.

Result oriented professional with strong teamwork skills to meet targets. Excellent interpersonal and presentation with ability to clearly communicate. SKILLS &

ABILITIES

Good communication and analytical skills.

Ability to interact effectively within a multicultural setting.

Ability to perform duties effectively in a busy environment.

I can approach work with energy and a positive constrictive attitude.

Thorough knowledge and use of computer software such as Ms. Word, excel and internet.

Ability to quickly gain information of work, new assignments and delegated work.

EXPERIENCE COMPLIANCE ANALYST, EGM SECURITIES LIMITED MARCH 2022 TO DATE

Reviewing of clients transactions and information for identifying potentially suspicious activities and coming up with Suspicious Transaction Reports(STRs)

Call monitoring on Account Managers’ to ensure they are in line with regulation.

Assisting in monitoring EGM Securities’ compliance with the Capital Markets Act, rules, regulations, circulars, notifications and guidelines issued by regulatory authorities.

Assisting in preparation of reports as required by relevant regulatory authorities.

Assist in compiling the clients complaints register on a monthly basis for regulatory reporting in line with the regulations.

Assisting in tracking compliance with CISI and other e-learning courses among staff.

Conducting ongoing monitoring on Clients accounts approved for compliance with regulatory requirements and internal policies and procedures.

Monitoring and maintaining the PEP register and other high risk individuals including their transactions patterns.

Assisting in reviewing internal policies and procedures for continuous Page 2

improvement.

Assisting in investing fraud reports and cases from clients and members of staff and coming up with solutions.

KYC ANALYST, EGM SECURITIES LIMITED

SEPTEMBER 2019 TO FEBRUARY 2022

Ensuring proper documentation of all relevant identification documents for all clients.

Conducting relevant checks for individuals and identification documents on the KYC 6 Database to verify the authenticity and validity of documents;

Ensuring that all persons onboarded as clients for the Company meet the criteria set out under the Company’s Customer Due Diligence Manual.

Ensuring that all persons onboarded as clients for the Company provide all relevant identification documents as required under the regulations and company policies.

Timeously reporting any suspicions for money laundering and/or terrorism financing detected while undertaking duties to the Head of Compliance(MLRO) for review.

FINANCE INTERN, MINISTRY OF PUBLIC SERVICE, YOUTH AND GENDER AFFAIRS

JULY 2017-NOVEMBER 2017

Preparing a summary on recurrent and development expenditure.

Data entry in the Integrated Financial Management Information System (IFMIS).

Budget preparation

Putting accounts on vouchers for cash processing. INDUSTRIAL ATTACHMENT, NAIROBI CITY COUNTY HEALTH SERVICES APRIL 2015 TO JUNE 2015

I attended some of the interview sessions conducted.

I was taken through the promotion process.

I learnt how they did their appraisal process on employees.

I also went through the training and development process. Page 3

EDUCATION MOI UNIVERSITY – BACHELOR’S DEGREE IN BUSINESS MANAGEMENT WITH SPECIALIZATION IN FINANCE AND BANKING

JANUARY 2016- AUGUST 2019

I graduated with second class upper division honors. KENYA INSTITUTE OF MANAGEMENT (KIM)

JULY 2013 TO NOVEMBER 2015

I qualified with a Diploma in Human Resource Management COMPUTER PRIDE – INTERNATIONAL COMPUTER DRIVING LICENSE (ICDL) MARCH 2013 – AUGUST 2013

Modules covered include;

Microsoft Office

Windows 7 (Word, Excel, Access, PowerPoint, Internet) CERTIFICATIONS

& COURSES

International Introduction to Securities and Investment (Kenya) – CISI I Regulation and Market Practice (Kenya) – CISI II

Thompson Reuters Courses (Client Assets, Treating Customers Fairly, AML, Code of Conduct, Compliance Induction, General Data Protection Regulation, Information Security & Cyber awareness and Preventing Financial Crime) CCLAcademyCourses(Anti-bribery and Corruption, Cyber Crime Awareness, Data Protection, Fraud Prevention, Introduction to AML & CTF, Introduction to CASS, Market Abuse and Treating Customers Fairly)

LEADERSHIP I represent my department in the Social Committee where we organize office social catch ups and give opinions and feed back to the team and members. REFERENCES

MR. BONIFACE MUTINDA

Head of Risk and Compliance, Sanlam Investment East Africa Tel: +254-***-******

EMAIL: ***********@*****.***

Page 4

MS. ANN KATULE

Project Officer, KEPSA

Tel: +254-*********

Email: ******.******@*****.***

MR. ERIC KIRUI

Finance Officer, National Treasury

Tel: +254-*********

Email: ***********@*****.***

Contact this candidate