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; • Responsible for client sign offs, adherence to KYC/AML/FICA checks as part of new client account requests; • Maintaining registers including the breaches and gifts and entertainment logs;• Facilitating compliance and regulatory training across the business as and where necessary;• Ad hoc compliance project work.Settlement Officer• Registered with the JSE as Settlements Officer;• Providing settlement support and guidance to the Front Office staff and EMEA Head of Settlements; • Dealing with all JSE settlement queries and advising the JSE of any issues that may potentially impact the settlement of a transaction;• Ensuring appropriate internal settlement policies and procedures are in place to facilitate the settlement of all transactions in accordance to the settlement rules and directives;• Ad hoc settlements project workAdditional Responsibilities• Providing Finance support and guidance to the Front Office staff and EMEA Finance Director, Assist Human Resources Department• Review of monthly balance sheet and income statements and querying discrepancies;• Maintaining relationships with various departments of Tullett Prebon;• Maintaining relationships with office service providers i.e. IT system providers, equipment and stationary provisions;

• 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; • Responsible for client sign offs, adherence to KYC/AML/FICA checks as part of new client account requests; • Maintaining registers including the breaches and gifts and entertainment logs;• Facilitating compliance and regulatory training across the business as and where necessary;• Ad hoc compliance project work.

• 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• Work on Selector for risk management.• Correspond and organize all JSE training requirement for members like MIT and SRP and MSS• Receive and advice Equity traders of Gazettes• Submit information required by the JSE.• Implement new policies and procedures required by the JSE for member firms.

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)• Monitored all incoming and outgoing share certificates• Was accountable for in transit air bags to and from branches• Settlement of deals with various Institutions and Banks• Confirmed and issued out cheques for sales.• Close down sale positions and handed over script to allocators• Completed the JSE HH Report

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 solved various queries for registration, assisted auditors with queries.

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• Passed entries for purchases and sales of various stocks and complied with dealers instructions.• Validated deals IBM• Recorded details of sales and purchases in the Tax Computer system.• Passed ZAR entries for forex and ensured validation were completed.• Ensured maturing ordinary and coupon NCD’s cheques were made out as well as banked.SARB Clerk• Provided Dealing operations and an effective back-up service to enable Dealers to trade competitively in the market.• Ensured accuracy by checking daily entries on dealing information that was supplied to clients, dealing room staff and local banks.• Ensured that the clearance account at the Reserve Bank balances on a daily basis.