Mary-Anne Rossouw Email & Phone Number

New Zealand

Gold Coast, Queensland, Au

Green Point, Western Cape, Za

London, London, Gb

Duties include:· Acting as the operational compliance support contact· Identifying, assessing and reporting on UK regulatory standards required by the Financial Conduct Authority (FCA)· Ensuring that all regulatory risks are appropriately identified and assessed· Developing and implementing AML risk assessments· Conducting and reviewing AML screening· Developing, initiating and revising compliance policies and procedures · Developing and implementing a compliance monitoring programme· Responsible for ensuring regulatory training is completed by all staff

Responsibility for compliance functions of the Group including:· Acting as the Anti-Money Laundering Reporting Officer· Identifying, assessing and reporting on key legal and regulatory obligations under various acts including FICA, FAIS, Long Term Insurance Act, Pension Funds Act, FATCA and CRS, POPIA, etc. · Developing, initiating, maintaining, and revising policies and procedures for the general operation of the compliance framework· Providing reports on a regular basis, and as directed or requested, to keep the Board and senior management informed of the operation and progress of regulatory compliance efforts· Designing and conducting training on key regulatory obligations· Providing compliance advice and support to business units· Interaction with the regulators including statutory reporting · Promoting a compliance culture

Johannesburg, Gauteng, Za

Duties include:· Designing, development and implementation of compliance frameworks· Identifying, assessing and prioritising the applicable regulatory requirements that the organisation is required to comply with· Determining the compliance impact of current and new legislation, rules and regulations, current/new projects and products· Management and enhancement of the Compliance Monitoring Department· Developing and implementing a monitoring programme matched to the regulatory universe· Monitoring compliance with applicable regulatory requirements relevant to the organisation and its products and/or services· Establishment and management of the Regulatory Analysis Department· Liaising with with other assurance functions on compliance related issues as well as non- compliance with internal policies, legislation, rules and regulations· Communicating key aspects of the compliance policies and/or charters and manuals to business units· Designing and implementing improvements in communication, monitoring and enforcement of compliance standards· Providing compliance advice and services to business units· Preparing, updating and reviewing Group policies, procedures and work manuals as required· Conducting research on regulatory requirements in terms of new, updated and pending statutory and regulatory requirements that can have an impact on the organisation’s business activities· Developing and conducting training with staff on key regulatory obligations· Managing the Group's BBBEE verification process

Johannesburg, Gauteng, Za

Reviewing business activities to determine compliance with applicable regulatory requirements; Performing monitoring reviews in line with Compliance Methodology, Guidelines and Standards; Drafting and producing finalised working papers and evidence for all components of work, as per standards set in the Compliance Methodology; Ensuring that working papers are appropriate and include and supporting evidence/documents.

Za

Duties include:· Trade mark prosecution and maintenance· Drafting pleadings for litigation matters in the Trade Marks Tribunal, Companies Tribunal, Magistrate’s Court and High Court· Legal research· Corresponding with associates and clients

Za

Dealing with trade mark applications, maintenance of trade marks, drafting documents for litigation, drafting correspondence to clients and associates.

Providing assistance to the Head of Compliance by preparing documents for cession agreements, drafting FICA Compliance manual, designing and maintaining FICA accounts database, staff training and assisting portfolio managers and other ad hoc duties

Analyzing microbiological samples, assisting with quality control, ad hoc sampling and providing standby services over the weekend (unsupervised)

Investment Management Administration & Client Servicing Course

Iso 37301:2021 Compliance Management

Collective Investment Scheme Short Course, Asisa Academy

Fais Regulatory Exams: Re3 And Re4

Llb, Majoring In Private Law

Certificate Of Legal Practice

B.Sc, Microbiology, Psychology

Senior Certificate