Rose Maina Email and Phone Number
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“Laws continue to be enacted, and the regulatory environment has become more complex due to unacceptable conduct remediation. Consequently, entities continue to be compelled to demonstrate compliance with legal mandates through documented assurance assessments.” - Robert E. DavisA Knowledgeable Risk Management & Compliance Officer with a demonstrated history of working in the financial services industry. A dedicated manager, proficient in reviewing digital and physical data for risk and compliance issues. Highly analytical, organized and detail-oriented with excellent critical thinking skills. Experienced in HR Policies, Risk Management, strategy development, Employee Training, Corporate Governance, Document Drafting, and Institutional Investments. Proficient in setting in place strong and successful policies to mitigate risk at each level and establish clear procedures for assessments, prevention, and containment. Effective in training team members to proactively identify and highlight potential risks. Dedicated to long-term risk management by building strong internal protocols and instilling a culture of responsibility and attentiveness. Familiar with regulatory requirements and able to maintain strict controls.Proven success in leadership, operational excellence, and organizational development. Recognized for inspiring management team members to excel and encouraging creative work environments.
Lofty-Corban Investments Limited
View- Website:
- loftycorban.com
- Employees:
- 30
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Risk And Compliance ManagerLofty-Corban Investments LimitedKenya -
Senior Risk And Compliance OfficerGenghis Capital Ltd Jun 2022 - PresentKenya -
Legal & Compliance ConsultantSelf-Employed Jan 2020 - May 2022
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Risks And Compliance OfficerStanlib Jan 2017 - Dec 2019Nairobi , KenyaResponsibilities;● Vet and oversee implementation of multi-party agreements, including financing documents and those relating to strategic alliances as well as lease agreements, loan agreements, and other contractual agreements and correspondence for the company.● Work with the Head of Risk and Compliance & Senior management team to define strategic goals and organizational needs, and influence appropriate ethical standards and legal considerations which must be considered when decisions are made and in developing the strategic plan.● Conduct research on laws, rules, regulations and legal precedents and stay current on any legal changes that are made that apply to the company.● Reviewing the legislation and regulatory requirements and advising the organization on any changes in the compliance requirements.● Reviewing and maintaining up to date legal documents.● Handling registration, new legislation and gazetted matters affecting the company.● Work with the Head of Risk and Compliance in the training of staff members on company policies and governance frameworks.● Drafting and participating in the review of risk management and compliance frameworks.● Work with the Head of Risk and Compliance in policy development and implementation.● Managed quality programs to reduce overdue compliance activities.● Managed the full life cycle of assigned audits in alignment with departmental procedures, delivering progress as well as closing reports to senior management and clients.● Improve risk and governance capability improvement across the organization through● Mentoring and coaching staff and management expectations on changes within risk and governance.● Improve organizational understanding of what pro-active risk management is and how it is appropriate to individual areas that are pro-active asset management.● Ensure risk management is included in the overall strategic business planning process on an ongoing basis. -
Intern- Risk And ComplianceStanlib Apr 2016 - Dec 2016Nairobi, KenyaResponsibilities;● Arranging and training of employees on company policies● Constant monitoring of departments to ensure they adhere to regulatory provisions.● Aid in the development of processes to identify risks in the firm● Proofread contracts of various clients.● Aided in the enhancement of risk profiling structures in the business.● Acted as the custodian of the maintenance of client records and all contracts signed by the company.● Continuous monitoring of the exposures and breaches in daily dealings and investments.● Managed quality assurance program, including on-site evaluations, internal audits, and customer surveys.● Drove operational improvements which resulted in savings and improved profit margins.● Review monthly files.● Assess and report to the Board risks arising from the internal and external environments as well as risks arising from remuneration and incentive structures.● Ensure the implementation of an effective risk management system within the company that is adequate to nature, scale, and complexity of the organization.
Rose Maina Skills
Rose Maina Education Details
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On-Going -
Kenya School Of LawAdvocates Training Program
Frequently Asked Questions about Rose Maina
What company does Rose Maina work for?
Rose Maina works for Lofty-Corban Investments Limited
What is Rose Maina's role at the current company?
Rose Maina's current role is Risk and Compliance Manager.
What is Rose Maina's email address?
Rose Maina's email address is ro****@****lib.com
What schools did Rose Maina attend?
Rose Maina attended The Catholic University Of Eastern Africa, Kca University, Kenya School Of Law.
What skills is Rose Maina known for?
Rose Maina has skills like Risk Management, Regulatory Compliance, Compliance Management, Legal Assistance, Hr Policies, Legal Compliance, Employee Training, Statutory Compliances, Institutional Investments, Regulatory Submissions, Corporate Governance, Policy Development.
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