I ensure the organization complies with the industry laws, regulations and standards by acting as a liaison between regulatory bodies on policy and compliance issues, review of operational processes and enforcement of compliance controls to actively shape a favorable regulatory risk environment.

Key Contributions and Results:I. Assisted in the drafting of revised policies to align to changes in regulations;II. Conducted regulatory Risk Assessments on the company to identify gaps and impact;III. Introduced additional system and documentation controls in order to mitigate the risk of regulatory non-compliance;IV. Increase regulatory awareness through regulatory trainings and monthly e-shots on different regulatory requirements;V. Review transactions on a daily basis to establish high risk customers who require enhanced due diligence;VI. Filing of some regulatory reports related to my docket;VII. Ensure implementation of requirements by advising and doing follow ups with the action owners;VIII. Always on the lookout for new/amended legislation/regulation and prepare summaries on the same for sharing with the various stakeholders;IX. Periodically verify that all Regulatory and Internal obligations are done and on time;X. Review of contracts to ensure they are compliant with regulations and company policy.XI.Coordinated the company’s Data protection implementation actions under the guidance of the group Data protection officer.

Ensured the newly licenced company was complying with the regulatory registration requirements as per the road map set.

Key Contributions and Results:I. Identified Business and Compliance risk exposures from emerging changes in laws, business trends (including competitors’ activities and economic and political change) and supported stakeholders in actions towards mitigating the risks.II. Assisted with developing and implementing a risk based compliance monitoring program, identifying, assessing, monitoring and reporting all material compliance risk.III. Ensured that compliance procedures, systems and controls were up to date and effective.IV. Introduced additional KYC and Due diligence system and documentation controls in order to mitigate the risk of ML/TF.V. Reviewed and Recommended amendments to the internal policies, procedures and processes, where applicable based on the identified and assessed gaps associated with the Company’s business activities.VI. Coordinated and maintained relationships with various internal and external stakeholders, including regulators, to ensure ease of communication, information sourcing, and achievement of timely responses to queries and ensuring that the company’s views are appropriately representedVII. Increased regulatory awareness through regulatory trainings on different regulatory requirements.VIII. Periodically verified that all Regulatory and Internal obligations are done and on time.

Key Contributions and results; I. Securities Risk Assessment and Quality Compliance;II. Credit Administration;III. Credit Risk Monitoring and registers.IV. CBK Reports & Preparation of Management Reports.