Groenewald - Compliance Officer - Johannesburg, South Africa

Karen Groenewald

Johannesburg, South Africa

Services

Compliance Officer

Summary:

Monthly Report writing to Management and Approval Committee regarding suppliers (Introducers) /Business Initiators status and progress.
Responsible for drafting documentation regarding Termination, Suspension and Cancellation of supplier facilities.
Keep staff informed of any supplier facility changes
Responsible for arranging ATFS Supplier Approval Committee (ASAC) meetings, held monthly, to table supplier reviews due and new applications.
Occasionally arrange and facilitate training sessions with marketing staff, to ensure that staff is educated on the supplier processes and procedures according to policy.
Examples of daily duties include:
1. Checking of Credit vetting documents: KI, CIPC, Sanctions screening (CASA),
Experian, CIF (internal bank history information), Bank Codes.
2. Complete checklist with all relevant information to inform ATFS Supplier Approval Committee (ASAC) of all relevant specifications required to make an informed decision.
3. Summarise Supplier's base history information for comparison.
4. Request Financials from sales/marketing and check relevant criteria.
5. Check that Agreements are signed and completed correctly and supporting
information meets the legal requirements, Introducer policy, etc.
6. Update all information on Acquire (internal IT system)
7. Maintain system folders of Suppliers on the local area network.
8. Update Sales & Marketing department and ASAC committee members

Work History

SUPPLIER APPLICATIONS (GOVERNANCE) OFFICER, FRAUD RISK AND COMPLIANCE DEPT.

ABSA TECHNOLOGY FINANCE SOLUTIONS PTY LTD

From February 2009

LOCATION: BRYANSTON, JOHANNESBURG
POSITION HELD: SUPPLIER APPLICATIONS OFFICER, FRAUD RISK AND COMPLIANCE DEPARTMENT
DUTIES SUMMERY: Preparation of Supplier applications within the context of the credit policy, applicable legislation and administrative
procedures - High risk position.

Responsibilities:
Monthly Report writing to ATFS Management and Supplier Approval Committee regarding suppliers (Introducers) /Business Initiators status and progress.
Responsible for drafting documentation regarding Termination, Suspension and Cancellation of supplier facilities.
Keep ATFS staff informed of any supplier facility changes and keeping the internal system updated.
Responsible for arranging ATFS Supplier Approval Committee (ASAC) meetings, held monthly, to table supplier reviews due and new applications.
Occasionally arrange and facilitate training sessions with marketing staff, to ensure that staff is educated on the supplier processes and procedures according to policy.
Duties: Review process duties:
1. Checking of Credit vetting documents: KI, CIPC, Sanctions screening (CASA),
Experian, CIF (internal bank history information), Bank Codes.
2. Complete checklist with all relevant information to inform ATFS Supplier Approval Committee (ASAC) of all relevant specifications required to make an informed decision.
3. Summarise Supplier's base history information for comparison.
4. Request Financials from sales/marketing and check relevant criteria.
5. Check that Agreements are signed and completed correctly and supporting
information meets the legal requirements, Introducer policy, etc.
6. Update all information on Acquire (internal IT system)
7. Maintain system folders of Suppliers on the local area network.
8. Update Sales & Marketing department and ASAC committee members of
progress/status of suppliers.

PAY-OUTS CLERK (SECURITIES)

ABSA TECHNOLOGY FINANCE SOLUTIONS PTY LTD

June 2008 - February 2009

DUTIES SUMMERY: To adhere to all aspects of procedures and processes in the
Payouts department - High risk position

Ensure that quality work is delivered within agreed SLA. Entrusted with mandate to the value of R1 000 000.00 on deals.
To adhere to set guidelines and standards to make sure that security documents and supporting information conforms to legal requirements within policy.
To follow up on any outstanding documents / information noted in register.
To ensure data on transaction files are correct for capturing by the Data Capturing
department.

Client Relationships
To deliver high level customer service

Teamwork
Contributing to effectiveness on intra and inter team work.

REASON FOR LEAVING: Seeking growth opportunity within the company.


Training courses attended while working at Absa Technology Finance Solutions:

* Absa Financial Education Summative Assessment

* Reputation Risk Control

* Barclays Introducer Policy key stakeholder training

* Anti-bribery and Corruption

* Business English

* Stress Management

* Money Laundering Control

* New Intermediate Risk

* Treating Customers Fairly Principles

* Business Continuity Management

* Comply with code of Banking Practice

* Occupational Health & Safety Act Training

* Performance development for Team Leaders

* Basic Financial Crime Concepts

CLIENT LIAISON OFFICER (Sales/Marketing)

ABSA TECHNOLOGY FINANCE SOLUTIONS PTY LTD

September 2007 - June 2008

DUTIES SUMMERY: Preparation of files within the context of the credit policy,
applicable legislation and administrative procedures -
Customer facing position.

Completion of files including all relevant documentation and confirmations/validations to enable payments to suppliers.
Manage end to end process with respect to Client Service (i.e. both internal and external) and turnaround times.
Manage outstanding information
Check legalities on contracts
Ensuring deals are paid out to suppliers within turnaround time period
Responsible for any follow ups

Client Relationships
To provide excellent service by addressing supplier queries and needs.
Manage stability
Build a professional relationship with suppliers
Manage contracted turnaround times
Liaise directly with client, Landlords, insurance and courtesy calls to customers
Proof of payment to suppliers with breakdown, if necessary

Reporting and Administration
Reporting on monthly performance activities
Communicate with BDO on all deal status
Direct communications with pay-outs department
Preparation of packs to Securities department for payouts process.

REASON FOR LEAVING: Seeking growth opportunity within the company.

TOUR OPERATOR

GOLDEN EAGLE TOURS

January 2003 - December 2004

PERIOD EMPLOYED: JANUARY 2003 - DECEMBER 2004
LOCATION: JOHANNESBURG SOUTH
POSITION HELD: TOUR & TRAVEL OPERATOR
DUTIES SUMMERY: Administration of client bookings and general office administration

Creating and co-ordinating tour packages/programmes.
Marketing tour packages to individuals and corporate groups.
Booking transport, tours and accommodation for tourists.
Arranging airline tickets.
Booking guides and local tours for groups (e.g. Soweto tours, Cradle of Humankind tours etc.)
Arranging airport transfers for local and international delegates.
Invoicing and collection.
Assisting Webmaster in creating the website for Golden Eagle Tours.

REASON FOR LEAVING: The company down-sized.

Public Relations Officer

IRENE COUNTRY LODGE

April 2002 - December 2002

TYPE OF ORGANISATION: 5 STAR COUNTRY LODGE
PERIOD EMPLOYED: APRIL 2002 - DECEMBER 2002
LOCATION: IRENE, CENTURION
POSITION HELD: Public Relations Officer
DUTIES SUMMERY: Liaise with clients

Welcoming guests to Lodge.
Assisting guests with general requests.
Arranging local tours for guests.
Marketing the lodge to the local market.
Assist the General Manager with creating a new brochure.
Responsible for arranging marketing events at the Lodge for the Group Head Office sales team.
Responsible for arranging special day events and gifts for the guests (eg. Mother's day, Father's day etc)

REASON FOR LEAVING: Relocated to Johannesburg.

CONFERENCE CONSULTANT

CONFERENCE CORNERSTONE

February 2001 - March 2002

TYPE OF ORGANISATION: PROFESSIONAL CONFERENCE ORGANISERS
PERIOD EMPLOYED: FEBRUARY 2001 - MARCH 2002
LOCATION: ROOIHUISKRAAL, CENTURION
POSITION HELD: CONFERENCE CONSULTANT
DUTIES SUMMERY: Co-ordinating events and client liaison

Event co-ordination.
Travel and conference reservations on behalf of corporate clients.
Facilitate communication between local/international delegates and local venues to ensure a successful conference/event.
Arranging airline tickets.
PA to Director and Sales & Marketing Manager.
Computer package & experience:
Microsoft Excel
Microsoft Word
Outlook Express
Internet

REASON FOR LEAVING: Looking to further my career in the hospitality / Corporate industry.

BANQUETING CO-ORDINATOR

ENTABENI GAME RESERVE - LEGEND LODGES

October 1999 - January 2001

TYPE OF ORGANISATION: GAME LODGE (HEAD OFFICE)
PERIOD EMPLOYED: OCTOBER 1999 - JANUARY 2001
LOCATION: ROODEPOORT
POSITION HELD: BANQUETING CO-ORDINATOR
DUTIES SUMMERY: Conference and accommodation reservations

Responsible for reservations at 3 Lodges within the Game Reserve as well as 2 lodges at Country Lodge (Zebra Country Lodge).
Reserving conference facilities and accommodation for groups.
Ensure prompt and courteous response and follow up on all enquiries.
Clients included:
FIT (individual / couples)
Corporate clients
Professional Conference Organisers
Tour Operators
Travel Agents

Booking and co-ordinating the following:
Conference groups
Tour groups
Individual / Travel guests
Educational groups

Responsible for all related correspondence for the above.
All involved:
Co-ordinating dates
Booking venues for each event (eg. Conference facilities, meal venues,
Teambuilding, accommodation etc.)
Rooming lists
Activity Programmes
Invoicing
Reporting

Weekly function sheets and financial updates.
General filing duties.
Testing new internal IT system (Lodge Res.)

REASON FOR LEAVING: Head Office relocated.

CONFERNCE CO-ORDINATOR / PA / TRANSPORT MANAGER

VENUE FINDERS

February 1995 - October 1999

LOCATION: SANDTON, JOHANNESBURG
POSITION HELD: CONFERNCE CO-ORDINATOR / PA / TRANSPORT MANAGER
DUTIES SUMMERY: Co-ordinating events and client liaison

Updating and maintaining corporate database. Keeping clients updated with services available at Venue Finders.
Booking conference venues.
Liaising with both, corporate clients and venues with specific requirements.
Sales to corporate clients:
Calling on existing clients.
Market venues to clients which include presentations, delivering brochures and accompany clients on site inspections.
Assist with all aspects of conference planning/co-ordination.
Additional services such as arranging transport, motivational speakers, entertainment, teambuilding etc.
All correspondence and bookings done on the following computer packages:
Microsoft Word
Microsoft Office
MS Outlook Express
VIPER (Specially designed package for Venue Finders)
Assist Computer Programmer with the implementation of computer package VIPER.
Training all Venue Finders staff on VIPER system.

REASON FOR LEAVING: To work closer to home.

ASSISTANT LEGAL SECRETARY

SYMINGTON & DE KOK ATTORNEYS

May 1994 - July 1994

TYPE OF ORGANISATION: ATTORNEYS, NOTARIES AND CONVEYANCERS
PERIOD EMPLOYED: 1 MAY 1994 - 31 JULY 1994
LOCATION: BLOEMFONTEIN
POSITION HELD: ASSISTANT LEGAL SECRETARY
DUTIES SUMMERY: General typing and filing duties

General typing of legal documentation.
Dictaphone typing.
Calculating and balancing outstanding account of debtors.
General filing.
General administration and telephone duties.

REASON FOR LEAVING: Relocated to Johannesburg.


ABSA TECHNOLOGY FINANCE: Annemarie Booysen
Fraud Risk and Compliance Manager
011 745 9300

ABSA TECHNOLOGY FINANCE: DUSTY ELOFF
TEAM LEADER - Securities
(Dusty is currently employed by an IT company)
083 440 4042

CONFERENCE CORNERSTONE: William McLean
Director
(William is currently Marketing Director of Isizwe Hospitality)
011 681 1561

GOLDEN EAGLE: Adele van Rooyen
Managing Member
(Adele is currently business partner at Bangy Travel)
082 746 7913 (cell)

VENUE FINDERS: Gayle Defranceski
Business Partner - Sales Manager
(Gayle is currently Director/owner of Jo'burg Conferences)
011 467 0454

Projects

Special projects

1. Reporting to Barclays Group Compliance regarding due diligence processes of the Barclays Introducer Policy, which includes: Risk assessment according to Barclays Risk Model and regulators (countries), Sanctions screening (according to Anti-bribery and corruption standards), contractual documentation (mandatory contract clauses included in documentation),etc.
2. Summarise entire company's (ATFS) historical base information regarding Total business received, current exposures, off balance-sheet book, written-off and Legal business.

FILES ARE THE PROPERTY OF ABSA BANK LTD

Qualifications & Certifications

JBM HERTZOG, BLOEMFONTEIN

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