Sauda Vallee Email & Phone Number

• Registered with the Johannesburg Stock Exchange (“JSE”) as Compliance Officer;
• Maintaining a pro-active relationship with the JSE and any other governing body or agency as is required;
• Responsible for ensuring staff are kept up to date with and regulatory changes and developments which may affect them or the firm.
• Responsible for overseeing the Compliance Monitoring Programme and escalating any findings to the Board;
• Review any business initiatives to develop the business in ensuring these are in accordance with all legal and statutory provisions, JSE and FSB requirements and internal policies and procedures;
• Ensuring the firm has adequate and appropriate internal policies and procedures;

• Registered with the Johannesburg Stock Exchange (“JSE”) as Compliance Officer;
• Maintaining a pro-active relationship with the JSE and any other governing body or agency as is required;
• Responsible for ensuring staff are kept up to date with and regulatory changes and developments which may affect them or the firm.
• Responsible for overseeing the Compliance Monitoring Programme and escalating any findings to the Board;
• Review any business initiatives to develop the business in ensuring these are in accordance with all legal and statutory provisions, JSE and FSB requirements and internal policies and procedures;
• Ensuring the firm has adequate and appropriate internal policies and procedures;

• All month end reports to the JSE i.e. CAPAD, JSE nominee form, ERD forms, Talx month-end form and STC tax
• Carry out all admin functions on BDA as well as Scrip lending and borrowing.
• Check settlement of trades
• Send out daily Equity Traders Profit and Losses
• Allocate all trades at the end of day
• Monitor and manage 15 JSE Equity traders

Illovo

• Serviced various local Institution clients was involved in buy-backs for the companies.
• Advertised Trades on Bloomberg’s
• Prepared Morning Note or Represented Sales Trading team in the morning meeting.
• Worked on Talx and Gtc (in house order routing system to traders)

• Traded on Jet system
• Check blotter
• Basket trades
• Allocations as well as checked brokers notes
• Reconcile bank reconciliation, pass Safex Mtm entries and checked brokerage analysis report on a daily basis.
• Systems worked on Hermes(Peregrine)Institutional JSE Equity Settlement Officer/Alternate Equity Compliance Officer (Oct 1997 – May 2001)

JSE-Diagnol Street

• Responsibilities ensured all middle office responsibilities were carried out like checking of share balancing of the daily float, all sales are contra’ d for settlement, monitored all incoming and outgoing script, and.

Jse -Diagnol Street

• Allocations, registrations and certification of share certificates-dealt with the entire process of allocations and ensured float balanced on a daily basis.

Bankcity

• Safe-Custody Portfolio and Kruger Rands Supervisor
• Money market instruments were sold to clients and held in safe –custody on their behalf-these instruments were correctly and timeously inputted by supervisors.Clerk in South African payments system
• Reconciled Finrand and Comrand accounts.
• Solved queries from branches.Clerk in Interbroke Back-up department
• Reconciled call bonds and loans for corporate clients.Capital Market Clerk
• Reconciled Money Market account