Personal Information
Nationality : South African
Languages : English and Afrikaans
Professional Memberships
Compliance Institute, SA
Professional Qualifications
SECURITIES INSTITUTE, UK
International Capital Markets Qualification (2001)
BOND EXCHANGE OF SOUTH AFRICA
Compliance Officer (1998)
SOUTH AFRICAN FUTURES EXCHANGE
Compliance Officer (1997)
TRANSVAAL PROVINCIAL DIVISION
Attorney (1989) and Notary (1990)
Education
SECURITIES INSTITUTE, UK
International Capital Marks Qualification (2001)
RAND AFRIKAANS UNIVERSITY
LLM (Banking Law) (1992 - 1993)
H Dip Tax (1990 – 1991)
UNIVERSITY OF STELLENBOSCH
LLB (1984 - 1986)
BA (Law) (1980-1983)
HOËRSKOOL LINDEN
Matric (1979)
Career Overview

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