National Retirement Fund for all Security Industry

FAIS Compliance and business operations compliance in a Fiduciary department. My role as a compliance officer is to make sure that the Fiduciary Department is conducting its business in full compliance with all national and international laws and regulations that pertain to its particular industry, as well as professional standards, accepted business practices, and internal standards.DutiesDevelopment, review and updating of Fiduciary's existing compliance policy to ensure that it is up-to-date and in compliance with current standards of regulatory agencies.Reviewing and revising internal policies to prevent unethical, illegal or improper conduct within the company.Daily collaboration with internal and external stakeholders to address issues regarding compliance violations and recommend courses of action to resolve the issues.Constant monitoring of stakeholders activities to ensure that compliance is in line with the company's existing policies.

•Process applications; •Apply legislation with specific framework;•Analysis of special rules, new rules, revised special rules submitted by Funds;•Perform administrative activities relating to Pension Funds rules i.e. effective filing and management of documents,(workflow and hummingbird) maintain and update administrative procedures; .Analysis of legislation/regulations;.Review legal agreements and other legal documentation to adequately manage legal and compliance risks;•Attending to requests for exemptions to administrators;•Supervision of Pension Funds; •Perform periodical visits to administrators;•Take on new business and amendments to Pension fund rules; •Cancelations and terminations of pension funds; •Attend to queries, enquiries and compliance;. Conduct ad hoc compliance reviews in respect to different pieces of applicable legislation and put controls in place to manage the compliance breaches identified during these reviews;•Valuate exemptions and extensions;. processing 13B applications;. registration of new funds;•Identify, analyse, and assist in implementing process improvements; and•Attending to compliance in respect of SARS.

•Receiving and acknowledging receipt of section 32 reports, section 51 and 14 manuals, and to promote and maintain compliance;•Monitor compliance with the provisions of the PAIA;•Drafting client letters to both Private and Public stakeholders; •Issuing of audit notices, conducting audits and writing audit reports;•Logging requests for assistance , updating existing logs and maintaining electronic logs; •Attending to all PAIA related complaints from affected private bodies, individuals and public institutions;•Deal with all PAIA related complaints and do follow ups and give feedback;•Responding to basic section 32, 51 and 14 (Compliance)enquiries or any PAIA related queries;•Making presentations at workshops about the background of the PAIA legislation, Interpretation, Application and compliance;•Apply legislation with specific framework ;•Compiling weekly, monthly statistics;•General assistance and information sharing on PAIA related issues; and •Attended to all PAIA related interventions with different stakeholders’ i.e. National, Provincial and Local Governments.

•Attended to new Company and Close Corporations registrations at Cipro, drafted various company documents including but not limited to Articles of Associations and Memorandum of Association & s21 memos;•Reviewed and proof read various commercial agreements;•Drafted particulars of claim, pleas, letters of demand, notices of intention to defend, affidavits and discoveries,•Drafted letters appointing Counsel and preparing briefs to Counsel and acting as a liaison between Counsel, Principal and clients;•Doing research on comparative law and assisted in drafting and researching on the Supreme Council by-laws for the Royal Bafokeng Nation in line with the King Code Report 2 on Corporate Governance;•Drafting of commercial agreements such as: Shareholders’ Agreement, Subscription Agreements, Service Level Agreements, Sale of Shares Agreements, Non- Disclosure Agreements, Memorandum of Understanding, Lease Agreements, Letters of intent, Joint Venture Agreements, Partnership Agreements and Contracts of Employment to mention but a few;•Conducted due diligence with regards to sale of business as a going concern and compiling report of findings in matters related to BEE and BBBEE transactions; •Attended to arbitration matters;•Doing legal research and writing memos based on the research findings;•Was instrumental in our firm’s success of being awarded a tender to be in a panel of legal advisors for PIC (Public Investment Corporation);•Drafting of legal opinions;•Attended special court review hearings,meetings and consultations;•Did legal research on Capital Gains Tax, Unbundling, Competition Act, Companies Act and Municipal Financial management Act;•Liaising with clients for status report on matter and for further instructions;•Assisted in collating documents for close of company financial year;•Attended court and represented clients, dealt with all matters that dealt with courts preparations in litigious matters.