| FINANCIAL
SERVICES COMPLIANCE cc t/a COMPLIANCE CONSULTING
May 2003 to date:
CEO
-
Compliance Risk Management & Advisory Services
- Compliance
Outsourcing
-
Regulatory Assistance
- Compliance
Audits
- Compliance
Documentation
- Compliance
Training
- Recruitment
HSBC INVESTMENT SERVICES (AFRICA) (PTY) LTD GROUP
August 2000 - April
2003: Director, Head of Compliance (incl. Legal
& Internal Audit), which responsibilities included:
-
Area Compliance Officer – Africa: HSBC plc Group
-
Local Compliance Officer – South Africa and Namibia
-
Money Laundering Control Officer: HSBC plc Group
- JSE
Securities Exchange of South Africa compliance
-
Registered SAFEX (Derivatives Division of the JSE) Compliance
Officer
-
Registered Bond Exchange of South Africa Compliance Officer
-
Registered Financial Services Board Compliance Officer
- Audit
Committee membership
- Risk
Management Committees membership
- Reporting
to HSBC plc Group, UK
- Reporting
to senior management
- All
Compliance Officer activities
- Legal
& Internal Audit functions
- Business
areas included stock broking, wealth management, asset/investment
management and corporate finance.
NEDCOR LIMITED GROUP
July 1999 - July
2000: Group Chief Compliance Officer, which responsibilities
included:
-
Implementing a Nedcor Group compliance function
- Implementing
a Nedcor Group Compliance Plan involving subsidiaries e.g.
Cape of Good Hope Bank Limited and NIB, as well as off-shore
business including Hong Kong, London and Mauritius
- Representing
Group Compliance at strategic Mancos, EXCO, OPCOS and Group
Audit Committee
- Interacting
with holding company, Mutual plc
- All
Compliance Officer activities
- Consulting
across Nedcor Group to management on strategic issues.
NEDCOR BANK LIMITED
January
1999 - June 1999: Chief Compliance Officer
July
1997 -December 1998: Chief Compliance Officer,
Treasury Division.
Responsibilities
included:
- All
activities of a Compliance Officer.
December
1991 – July 1997: Legal Advisor, Corporate
& International, which responsibilities included:
- Servicing
AAA clients of the Corporate, Credit, International, International
Financial Institutions and Relationship Divisions
- Legal
Advisor specially designated to the Treasury Division and
responsible for all their legal requirements including OTC
derivatives (ISDA, ISMA and IFEMA master agreements).
ATTORNEYS WEBBER WENTZEL
February 1989 – November
1991: Attorney, Corporate Services Department
November 1987 – January 1989:
Articled Clerk
ATTORNEYS DE KLERK & LE ROUX
February
1987 – October 1987: Articled Clerk
DEPARTMENT OF JUSTICE
August 1986 – January
1987: Public Prosecutor
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