Kuki Carol Kowa-Mophuting MSc. Strategic Management, BSc. Finance

**** **** ******** **** ***. 200

Alexandria

Virginia, 22311

www.linkedin.com/in/kukikowamophuting

Cell: 571-***-****

OBJECTIVE

To become part of an organization that has a high-performance culture, is professional and has a supportive work environment that one can assist in implementing its AML/CFT Framework and compliance of same successfully, whilst being provided the opportunity to grow and further develop my career.

PROFESSIONAL PROFILE

•Goal-driven, Finance and Strategic Management degree holder trained in Project Management, Operational Risk and Financial Regulation and a currently a Candidate for CAMS certification – 12 Credit hours

•Dedicated patron with proficiency in maintaining company standards and working within the legal framework.

•Computer and conceptual capabilities as demonstrated in the use of various Microsoft resource management software for planning.

•Accomplished visionary leader with motivational management style and collaborative skills in fostering multi-disciplinary team performances as demonstrated by being appointed to Chair a plenary committee and EXCO member at Committee of Insurance, Securities and Non-Banking Financial Authorities (CISNA) of SADC.

•Client focused communicator with proven abilities of clear, effective and persuasive articulation in order to secure buy-in and commitment, corroborated by time spent in the Projects Department, Strategy department, and Capital Markets Department, directing executives and junior staff as well as external contractors such as Architects, Engineers, and Capital Markets industry participants.

•Enthusiastic, goal-oriented achiever with a reliable track record of aggressive goal-setting, work planning and control.

•Excellent meeting facilitation skill, evidenced in the successfully chairing of Capital Markets Sub-Committee at CISNA.

•Energetic finance professional with problem solving abilities, multi-tasking talents and a strong work ethic who builds and thrives in dynamic, demanding and challenging environments, achieving high returns on assets.

PROFESSIONAL EXPERIENCE

Education Accounts Officer – Embassy of Botswana June 2022 – to date

Provide timely and accurate recording of the mission’s expenditure and to ensure that suppliers are paid timely, accurate recording of the mission’s expenditure and to ensure that suppliers are paid in a timely, accurate and efficient manner consistent with the overall delegation of authority and segregation of duties guidelines and regulations.

In charge of receiving, processing and payments of invoices, and expense forms

Reconciliation of accounts for customer accounts

Maintaining customer spreadsheets – their database and votes ledgers

Responding to customer inquiries, maintaining good customer relations, and solving their problems

Head of Financial Crime (Money Laundering Reporting Officer) Absa Bank of Botswana February 2017 to December 2021

Investigated and Reported money laundering suspicious transactions via GoAML to the Financial Intelligence Agency

Reported CTR every 48 hours to the FIA

Advised the business on Anti-Money Laundering and Counter Terrorism and Financing matters

Conducted and ensured annual staff training on matters regarding AML/CTF framework

Prepared Board presentations for approval of reviewed AML/CFT framework policies

Prepared presentations for approval to the Executive Team for approval of the AML/CFT standards

Conducted the review and ensured the roll out and implementation of AML/CTF framework and policies to all staff annually

Conducted and ensured the review and monitoring of the Anti-Bribery and Corruption policy for staff annually

Reviewed new banking products to ensure they were aligned to policy and legislative requirements, and performed gap analysis and suggested controls for the new environment

Ensured sanctions training for staff in first, second and third line of defense annually

Ensured the Financial Crime Risk Assessment was conducted annually

Managed and reported the monthly Key Risk Indicators including trends analysis, and monitoring risk mitigation and emerging risks

Managed, coached and mentored a team of five, including their talent management program

Conducted check and challenge on a monthly basis regarding financial crime performance with the First of Line of Defense Operation team

Closing out audit findings or issues.

Acting Director Capital Markets Non-Bank Financial Institutions Regulatory Authority (NBFIRA)

March 2011 to October 2013

- Acting Chief Executive Officer NBFIRA - June 15 - 3 July 2012, 14 - 24 July 2012, and 5 -11 November 2012

Deputy Director Capital Markets (NBFIRA) March 2011 to January 2017

•Spearheaded the attainment of Associate Membership Status for NBFIRA to the International Organization of Securities Commissions (IOSCO)

•Ensured implementation of the strategy for the NBFIRA - Capital Markets Division including completion of all on-sight examinations, compiling the annual report and status of the Capital Markets in Botswana, timely issuance of Capital Markets licenses

•Ensured implementation of the RISK BASED SUPERVISORY methodology on all Capital Markets regulated entities including Micro Lending entities during the time Micro Lending was part of Capital Markets Division

•Participated and recommended the development and amendments of regulations and rules for the regulated Capital Markets entities and Micro Lending entities

•Ensured timely reporting of enforcement to Board via Deputy Chief Executive Officer Regulatory (DCEO-R)

•Periodic reporting to Executive management team on STRATEGIC tasks

•Prepared Board papers for Deputy Chief Executive Officer Regulatory

•Reviewed staff skills gap and recommend training and attachments to international regulators to Chief Executive Officer (CEO) and DCEO-R

•Ensured implementation of the PMS within Capital Markets

•Attended bilateral industry meetings with Chief Executive officer and DCEO-R

•Chaired industry meetings and apprised the industry on the latest regulatory developments

•Developed and ensured compliance to divisional budget

•Reviewed divisional structure and recommended changes for effective supervision and monitoring of regulated Capital Markets entities

•Chairperson for regional technical committee and later Capital Markets sub-committee for the Committee of Insurance, Securities and Non-Banking Financial Authorities (CISNA) 2013-2015

Manager Investment Institutions Capital Markets (NBFIRA) December 2009 to February 2011

•Drove the implementation of the strategy for the Non-Bank Financial Institution Regulatory Authority within the Capital markets Investment Institution unit

•Prepared for investigations examinations and inspections for regulated Capital Markets entities

•Ensured timely reporting by regulated Capital Markets Investment Institutions on periodic reporting as per the rules and regulations

•Reviewed and recommended enforcement action to Director on regulated Capital Markets entities

•Participate in the development and recommendation of rules and regulations for regulated capital markets entities

•Designed and implemented as per the divisional strategy the contracts for staff within Investments Institutions

•Reviewed and assessed staff performance as per the contracts in Investment Institutions

•Identified Investment Institutions staff skills gap and recommended training to Director Capital Markets

•Weekly, and monthly reporting on operational tasks to Director

•Mentored and coached staff within Investment Institutions

•Implemented the Investment Institutions budget

Strategy Coordinator Local Enterprise Authority (LEA) October 2008 to Nov 2009

•Coordinated the design and ensured the implementation of the strategy for the Local Enterprise Authority on behalf of the CEO

•Coordinated and planned the annual strategy review

•Reviewed and monitored organizational performance to make recommendations to CEO

•Produced reports at agreed intervals to the Local Enterprise Authority Board on behalf of the CEO

•Planned and coordinated the communication of the reviewed annual performance to all staff

•Ensured all staff members had calibrated performance contracts

•Coordinated the design, development and implementation of the on-site monitoring tool for the Local Enterprise Authority clients

•Produced the company profile with regards strategy for the annual report

•Ensured that any new policies are in line with the strategic intent of the Local Enterprise Authority

Regional Coordinator Local Enterprise Authority (LEA) April 2008 to September 2008

•Coordinated the communication to branches from Head office and vice versa

•Ensured timely reporting of branch performance and produced monthly reporting to the Executive team

•Ensured staff complied to all laid down LEA policies

•Ensured skills gaps identified at branch level were closed to ensure effective and efficient service delivery

•Ensured that audit report findings were closed

Unit Operational Risk Manager Standard Chartered Bank May 2007 to March 2008

Act as a consultant between the Sales Unit and the Support units in Small Medium Enterprise(SME) -Consumer Banking (CB) Department by producing Service Level Agreements and arranging meetings to ensure stakeholders discuss and agree on processes.

•Reviewed existing processes for the SME-CB to ensure improvement of operations and control.

•Assisted in the design and ensured effective implementation of control measures and monitoring plans for compliance and operational risk management within SME unit - CB Department

•Planned and undertook, as well as coordinated periodic business monitoring (self-assessment) activities within the SME Unit - CB, and escalate findings and or breaches to SME Unit Head and Business Operational Risk Manager

•Produced reports at agreed intervals of all identified risks then planned and monitored the resolution of risks and issues in an appropriate and timely manner.

•Implemented the Operational Risk framework or other relevant Operational Risk initiatives, within SME-CB

•Identified gaps and arranged for training on compliance and or Operational Risk for staff within SME-CB.

•Prepared Suspicious Transactions Reports and Early Alert Reports on non performing accounts within SME-CB.

•Ensured staff understood and complied with the laid down banking policies via training and presentations.

•Ensured compliance with local regulation within SME-CB.

Senior Project Manager Barclays Bank October 2001 to April 2007

•Consistently produced practical monthly and weekly project plans for Barclays Bank on different projects evidenced by the use of Project IN a Controlled Environment 2 (PRINCE 2) methodology. Took cognizance of major risks that could occur whilst ensuring that business continuity would not be compromised.

•Project Plans included the facilitation of workshops such as risk management, inception, implementation, post project and benefits management.

•Chaired daily and weekly project progress meetings, and produced implementation reports for local and Barclays Africa management.

•Produced monthly action plans in compliance with PRINCE 2 standards.

•Conducted presentation to staff at various levels – Executives and junior staff members.

•Constant communication with Executives to ensure buy-in and accountability.

•Acting as a consultant for the business in identifying areas of improvement for customer service and satisfaction whilst looking at cost cutting measures.

•Produced business cases for the projects to be implemented, and

•Assessed project viability of new projects.

•Ensuring that a Benefits manager is assigned to projects to track benefits realization stated in the business case.

Projects undertaken: Barclays Bank ALL PROJECTS COMPLETED WITHIN TIME AND ON BUDGET

•Project Manager – Setting up/Opening Tsabong branch.

•Project Manager – Broadhurst branch relocation and refurbishment.

•Project Manager – Selebi Phikwe branch refurbishment.

•Project Manager – Lobatse Branch relocation and refurbishment.

•Project Manager – Strategic Wide Area Network – facilitating the enhancement of communications through information technology.

•Project Manager – Local Business – enhancing service via research and implementation of customer requirements in the small business sector.

•Project Manager - Cheque crossing – enhancing security features to reduce customer fraud and improve a section of customer service.

•Project Manager – Voucher Processing – enhancing and automation of accounting systems for voucher processing.

•Project Manager – Card and Pin – introducing the instant card issuing to customers as a result of benchmarking and research indicating that customers service could be enhanced whilst advancing and catching up to competitors.

•Project Manager – Echannel – managing the introduction of internet-based banking for Corporate customers, to ensure customer satisfaction and retention whilst attracting new potential customers and achieving growth.

•Project Manager – Automation of Inward and Outward Payment – implementing the automation of inward and outward international payments, to enhance customer service.

•

Custody Manager in Training Barclays Bank July 2000 to August 2001

•Ensured compliance to Industry standards and disciplines by assisting Custody Manager

•Responsible for acquiring new business for Barclays Custody Services

•Ensured timely issuance of: Corporate Actions, settlement of share transactions, and information relating to local financial market;

•Generated monthly reports for client status update on securities held as well as ensuring collection of fees from client is executed

•Delivered training on MS Excel for the team members

•Produced Status Updates on the Barclays Portfolio for the Local & UK Based Teams.

Personal Branch Manager Barclays Bank July 1999 to June 2000

•Led coached and mentored a team of over 20 including 1 assistant manager and 4 supervisors

•Planned for, coordinated and controlled resources

•Managed a portfolio of high value customers including high ranking government officials

•Produced monthly updates of customer leads, customer visits and service satisfaction

•Managed daily exceptions reports for clients within the branch

Management Trainee – Management Development Programme

Barclays Bank In-house Branch Training January 1998 to June 1998

•Foreign Exchange, Customer Service, Advances and Securities,

Retail Department June-July 1998

•Tasked with responsibility of producing a brochure with all Retail products.

Risk Management Department August 1998 – October 1998

•Assessed middle to large business loans

•Reviewed appeals by Relationship managers for their loan submissions

Project Management Oct. 1998 – June 1999

•Communication officer – Head Office and Gaborone cluster Centralization project.

Assistant Supervisor Bank of Botswana September 1996-December 1997

•Ensured that assigned commercial bank adheres to the recommended Capital adequacy rate via assessment of the periodic reports and reporting to the Supervisor

•Supervised and monitored assigned commercial bank with regards to compliancy with the Banking Act 1995 via periodic report and reported to the Supervisor

•Assessed the lending sector of the assigned commercial bank via the periodic report and reported to the Supervisor

•Produced monthly updates on assigned commercial bank performance, and reported to the Supervisor

•Undertook inspections/examinations on regulated entities

EDUCATION

Bachelor of Science in Finance. Alabama Agricultural and Mechanical University, Alabama U.S.A. 1993-1996.

Master of Science in Strategic Management, University of Derby, April 2004 – November 2005

PROFESSIONAL CERTIFICATIONS

•CAMS candidate

•Executive Development Program

•Management Development Program – Joint best project award Business Driven Action Learning project

•Trained Prince 2 Practitioner – APM Group due for renewal.

•Managing by Projects.

•Business Performance Improvement

•International Capital Markets Qualification (ICMQ)

•Association of Certified Compliance Professionals in Africa

TECHNICAL TOOLS AND SKILLS

•Windows xp

•Microsoft Project

•Internet Explorer

•Microsoft Excel

•Microsoft Outlook

•Visio

REFEREES

Hilda Mocuminyana

Companies Intellectual Property Authority

Registrar Companies and Business Names

Tel: +267-*******

Cell: +267-********

Refilwe Ncube

Head of Regulatory Affairs

Yodit Molisi

Citizenship Manager

Absa Bank Botswana

Gaborone

Cell: +267-********

Oaitse Ramasedi

Botswana Power Corporation

Finance Director

Gaborone

Cell: +267-********

Absa Bank Botswana

Gaborone

Cell: +267-********

AWARDS AND POSITIONS HELD

•Presidents Cup Award – awarded in recognition of high academic achievement with a Grade Point Average of 4.0 for two consecutive semesters – 1993.

•National Deans List – Awarded in recognition of a Grade Point Average 3.5. - 1994

•Honour Roll – Awarded in recognition of a Grade Point Average of 3.3. – 1993-1996

•Deans List – Awarded in recognition of a Grade Point Average 3.0.- 1993-1996

•Botswana National Team Player – Softball 1992

•Chairperson Vikings Softball club – 2001

•Chairperson Capital Markets sub-committee CISNA 2013-2015

•EXCO member CISNA committee 2013-2015

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