Letlhogonolo Thubane

• Develop and maintain governance, risk, and compliance frameworks aligned with
regulatory requirements.
• Ensure proactive compliance with FAIS, FICA, POPIA, TCF, and other applicable
legislation.
• Prepare and submit monthly, quarterly, and annual governance, risk, and compliance
reports.
• Engage with regulators including the FSCA and Prudential Authority regarding
regulatory submissions and notifications.
• Conduct compliance monitoring, risk assessments, and internal evaluations across the
organisation.
• Maintain and monitor organisational risk registers and internal control frameworks.
• Draft and review policies, procedures, agreements, and governance documentation.
• Support combined assurance, internal audit planning, and regulatory compliance
initiatives.
• Maintain statutory registers including FAIS Representative and Competency Registers.
• Provide compliance advisory support and training to business units and operational
teams.
• Assist with disciplinary and debarment processes relating to representatives and key
individuals.

• Supported the execution and maintenance of the organisations compliance and ethics
framework.
• Prepared quarterly and annual compliance reports presented to EXCO, REMCO, and
Board Committees.
• Conducted compliance monitoring reviews across business units in line with approved
monitoring plans.
• Performed independent compliance assessments and reported on the adequacy and
effectiveness of internal controls.
• Developed Compliance Risk Management Plans (CRMPs) for legislation including
POPIA, Insurance Act, EEA, OHSA, PAIA, and STIA.
• Maintained a clean compliance record with zero audit and regulatory findings.
• Conducted due diligence, enhanced due diligence (EDD), and AML/KYC assessments on
clients including PEP/PIP reviews.
• Led ethics awareness initiatives, ethics risk assessments, and whistleblowing
monitoring processes.
• Drafted and reviewed compliance policies, compliance charters, strategies, monitoring
plans, and codes of ethics.
• Provided compliance guidance and legislative updates to management, staff, and
business units.
• Participated in regulatory inspections and maintained relationships with the FSCA, FIC,
Prudential Authority, SAIA, and DTIC.
• Coordinated compliance and ethics training sessions, newsletters, and awareness
programmes across the organisation.
• Attended Audit & Risk, Social & Ethics, Employment Equity, and Board Committee
meetings.
• Managed complaints registers and monitored adherence to TCF principles and
complaint resolution timelines.