CV 15 May 2015 Linked In
- 1. 88 Katherine Street Sandown +27845978629 Farzanam02@gmail.com MAY 15, 2015 Dear Sir/Madam Curriculum Vitae – Chief Compliance Officer I have required qualifications, competencies and expertise which would make me an ideal fit for this position. I am an admitted attorney and a certified fraud examiner with the following degrees, B Com Law, B Proc, H Dip (Tax), LLM. My academic expertise is complemented with vast practical experience in regulatory compliance and forensic investigations over a broad range of industries. I am able to up skill myself in regulatory matters which I am unfamiliar within a relatively short period. My specialism is anti-corruption compliance – in particular US, UK, Kenya and South Africa anti-corruption legislation. My expertise was enhanced after spending more than a year in Germany at a multi-national engineering company on a FCPA compliance remediation project. Throughout my career I became a trusted advisor to the business by supporting their business initiatives in a practical way but ensuring that it was not at the expense of regulatory compliance. My ability to solve problems by investigating issues at hand, examining the information and providing insights allows her to adopt sensible business focused solutions. I thrive on being challenged and I believe I have a well-developed ability to adjust myself to changing conditions and priorities. I am able to maintain a high level of work performance even under mounting pressures. I am self-directed and will tackle problems head on. Warm regards, Farzana Mohomed
- 2. Page 2 88 Katherine Street Sandown +27845978629 Farzanam02@gmail.com FARZANA MOHOMED OVERVIEW Farzana is an admitted attorney and certified fraud examiner specializing in regulatory compliance with a focus on anti-corruption (inter alia FCPA and UK Bribery) and competition law compliance programs. She has extensive experience in forensic investigations and has assisted in the South African “Arms Deal”, Kenyan Anglo-leasing corruption investigations as well as the German Siemens anti-corruption remediation project. To date she has prepared and presented anti-corruption and ethics training in South Africa, Australia, China, Germany, USA, Egypt, Kenya, Nigeria, Pakistan, Saudi Arabia, UAE, Zambia, Tanzania, Tunisia, Morocco, Algeria, Uganda and Madagascar. She has been invited by the Danish Government through Transparency International to present on anti-corruption challenges in Africa which will culminate in a Ted Talk. SKILLS & ABILITIES Regulatory compliance, Fraud investigations, Presentations, Communications, Forensic Analysis, Corporate Governance, Enterprise Risk Management, Due Diligence, FCPA and anti-corruption compliance, Management, Internal Controls, Legal Issues, Business Ethics, Litigation Support and Leadership. EXPERIENCE GROUP COMPLIANCE OFFICER AVENG (AFRICA) (PTY) LTD July 2013 – Present Creating and managing the day to day operation of the compliance programme on behalf of the CEO; Implementing and monitoring the annual Compliance Plan on behalf of the CEO with particular focus on the anti-corruption and competition law compliance programmes; Overseeing the review, risk analysis and prioritisation of operating group compliance obligations; Developing, initiating, maintaining, and revising policies and procedures for the general operation of the Compliance function and its related activities to prevent illegal, unethical, or improper conduct; Developing and periodically reviewing and updating the Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees;
- 3. Page 3 Identifying potential areas of compliance vulnerability and risk and developing controls and measures to mitigate that risk; Providing reports on a regular basis, and as directed or requested, to keep the CEO, Audit Committee, Social and Ethics Committee and executive management informed of the operation and progress of compliance efforts; Performing a gap analysis to understand firm-wide compliance and legal risks and current control gaps; Understanding key laws and that the compliance program must cover and compiling a compliance universe; Creating and implementing the Policy Management Framework; Identifying compliance requirements in terms of key laws and regulations in the compliance universe and meeting with functional heads to identify critical policy gaps; Engage with functional heads to ensure business unit integration / alignment of policies and procedures; Creating and implementing a Compliance and Ethics charter outlining program purpose and objectives; Reviewing and updating the anti-corruption, competition law and fraud policies; Instituting a forensic investigation protocol and supporting and directing sensitive and high profile investigations, as needed; Making accessible an inventory of key compliance and ethics policies, procedures, and guidelines via a central repository on the intranet; Creating and overseeing gift, competitor interaction and conflicts of interest register; Creating a third party and business partner questionnaire; Assisting the Rest of Africa Expansion team with country, regulatory and third party due diligence; Creating and implementing the conflict of interest policy. Rolling out the annual conflict of interest declarations; Overseeing the implementation of the Protection of Personal Information Act; Managing the JSE Social Responsibility Index reporting; Creating and rolling out the Annual Ethics Survey; Creating relevant training modules. Customising it to Aveng using examples. Developing a compliance and ethics training calendar for all employees; and Determining a corporate communications strategy that aligns with training and Group communications calendar. MIDDLE EAST AND AFRICA TRUST AND COMPLIANCE OFFICER - IBM June 2010 – June 2013 Leading the integrity tone and business ethics initiatives; Driving the development and implementation of Business Unit Leader Integrity Plans and ongoing integrity communication initiatives;
- 4. Page 4 Helping embed Foreign Corrupt Practices Act (FCPA) awareness throughout the MEA organization, with particular focus on key control points / staff; Overseeing, testing and continuously enhance IBM MEA’s FCPA compliance program using best practice, including performing risk assessments, tone at the top awareness, training, communications, due diligence and monitoring and reporting) Organizing and help driving business leaders’ Compliance Summits, local Business Partner and Suppliers compliance forums; Helping to identify other risks and emerging issues requiring assessment and, as appropriate, help initiate and oversee any needed actions to respond to particular risks and issues; Analyzing allegations, investigations and audit reports and data to determine trends, set compliance and integrity priority focus areas and test compliance and integrity program effectiveness; Tracking and reporting on progress of compliance and integrity initiatives; Supporting and directing privileged investigations, as needed; Managing the IBM South Africa BBBEE Equity Equivalence submission to the Department of Trade and Industry; ASSOCIATE DIRECTOR - PRICEWATERHOUSE COOPERS (PWC) JANUARY 2001 – MAY 2010 Joined PwC as a senior consultant (2001) and by 2010 was promoted to Associate Director; Conducting forensic investigations in South Africa and other African countries (see attachment with a list of investigations for more detail); Managing and initiating the formation of a forensic practice in Tanzania; Heading the regulatory compliance practice at PwC; Recognised as the subject matter expert in respect of the following legislation AML, FCPA, UK Bribery Bill, FAIS, National Credit Act, Consumer Protection Act, Protection of Personal Information Act, National Environment Management Act, BBBEE and the Competition Act; Prepared and presented a five day forensic training course for investigators/internal auditors of Tanzania Revenue Authority, Prevention of Corruption Bureau, Konkola Copper Mine and Auditor General Zambia; Presenter – Tanzania National Board of Auditors and Accountants on anti- corruption risks in emerging markets; Presenter – AMC International Conference – Fraud Awareness and Special Investigations and Interview techniques; Facilitator and contributor to “Board strategies for effective governance and regulatory compliance” workshop; South African Representative on the PwC Global AML Forum; Leading the implementation of the anti-corruption internal controls at high risk and medium entities, together with a Siemens counterpart, in Germany; and
- 5. Page 5 Contributing to revenue and profits, managing the profitability of a client portfolio, billing and fee realization, managing the effective organization and deployment of staff within the practice, and assisting the Solution Leader in the strategic development of the business. PROGRAMME MANAGER – GAUTENG LEGISLATURE JANUARY 2000 – DECEMBER 2000 Managing the office of the Chief Whip of the ANC of the Gauteng Legislature; Attending to both legislative and executive council meetings which related to the ANC and attending to any matters arising on behalf of the Chief Whip; Liaising and engaging with Members of the Provincial Legislature and Members of the Executive Council on ad hoc matters; Providing legal expertise to the legal task team of the Local Government Elections 2000; Conducting a workshop on motions, questions and interpellations; and Assisting the MPL and MEC’s in drafting motions, questions and interpellations. ATTORNEY – HARVEY NORTJE ATTORNEYS JANUARY 1997 – DECEMBER 1999 Heading the administration of deceased and insolvent Estates department; Consulting and furnishing expert legal advice to clients; Engaging in general commercial work as well as drafting of contracts; Practicing civil litigation in the magistrate’s court; Practicing family law (divorces, restraint orders, maintenance), third party law (RAF claims) and labour relations (disciplinary issues); and Incorporating and managing a Section 21 Housing Company. EDUCATION HIGH SCHOOL St. Thomas Aquinas High School – Witbank, South Africa University exemption - 1992 TERTIARY EDUCATION Baccalaureus Commercii – Nelson Mandela Metropolitan University – 19 April 1997 Baccalaureus Procurationis - University of South Africa – 28 April 1999 Higher Diploma in Tax Law – University of Johannesburg – 8 March 2002 Master of Laws - University of South Africa - 21 May 2007 INDUSTRY ASSOCIATIONS Association of Certified Fraud Examiners – 2005
- 6. Page 6 COMMUNICATION Contributor to the NBI/UN Global Compact Mainstreaming Integrity in Business Practice – Chapter 8: Education, Training and Awareness: a Key Pillar of a Compliance Programme. Founder and co-ordinator of External Compliance Forum for multi-nationals in Johannesburg to benchmark and share best practice anti-corruption strategies. Presenter - Kenya IBA, Organisation for Economic Co-operation and Development (OECD) and the United Nations Office on Drugs and Crime (UNODC) anti-corruption workshop. Presenter - Southern Africa Anti-Corruption Summit – Engaging with Government Owned Entities (2014). Panelist - NBI/UN Global Compact anti-corruption panel discussion on implementing internal measures & controls to Manage Anti-Corruption Risk. Presenter – Intelligence Transfer Compliance Conference - Anti-Corruption considerations by SA companies. LEADERSHIP Farzana was promoted to Associate Director in the Compliance Management Solutions department of PricewaterhouseCoopers. She was part of the Executive Committee at IBM reporting to the General Manager and is currently part of the senior management team at Aveng, reporting to the Head of Commercial and Risk with a dotted line to the CEO and Audit Committee. Farzana was also identified as a Future Business Leader by the PwC Advisory leadership and was highly regarded amongst her partners and peers. Through the quality of her work and the respect she gained from clients, she had the ability to create business opportunities for the firm. IBM leveraged off this experience during the period she was appointed as initially their South African Trust and Compliance Officer and thereafter the MEA Regional Compliance Officer. Farzana was in the process of being promoted to a higher grade before she moved to Aveng. REFERENCES ZIAAD SULEMAN Sub-Saharan Africa Legal Counsel – IBM +27 825 584 894
- 7. Page 7 LIONEL VAN TONDER Partner – Pricewaterhouse Coopers South Africa +27 834 442 044 TESTIMONIALS PWC PARTNER TESTIMONIAL: “Although her field of expertise was traditionally forensic investigations, she has developed her regulatory compliance expertise during her secondment on the Germany project. This is going to be her focus going forward and I believe she has the experience and expertise to excel in this field. I believe she has all the requisites to operate as an Associate Director as she has, inter alia, managed complex and high level projects, communicates with authority to both senior management and juniors, has demonstrated advanced business development and technical skills in her field of expertise. Farzana has consistently demonstrated a great level of maturity and professionalism her ability to excel, even beyond the South African practice, as demonstrated by her successes in the Europe secondment, further vindicates the solid character she has. She enjoys the respect of her peers and partners alike, both within Forensics and outside”. PEER TESTIMONIAL – PAUL ZIETSMAN (FORMER CHIEF COMPLIANCE OFFICER OF SASOL LTD) “Farzana and I am members of a Compliance Forum which we established with the view of getting the Chiefs of Compliance of multinationals in South Africa to share their best practices in managing their Anti-Bribery and Corruption (ABAC) risks. Farzana lead this forum for the past two years with distinction. Not only has she shown her mastery of organizing high level events like our compliance forum, but she also distinguished herself as one of the most knowledgeable ABAC experts in South Africa. Farzana is razor sharp onto the detail of the topics at discussion at the forum and is always willing to share her expert knowledge” DISCUS PERSONALITY PROFILE “Ms Mohomed has indicated that she is an assertive and controlled type of candidate which can be described as being a Driver. This type of personality relates to the DISC factor of Dominance, and describes a direct, demanding type of person who is highly motivated to succeed and somewhat competitive in their dealings with others. Profiles of this general style are typified as urgent, driving and self-motivated, and this person certainly possesses the ability to act in these ways herself. In this particular example, these dynamic personality aspects are balanced of acting in more restrained and considerate ways where the circumstances warrant it. She has the ability to take account of others’ needs, without allowing this to unduly influence her decisions. A strong decision-maker who can balance accuracy and concentration with a more rapid and decisive style, Farzana adapts to meet the needs of a situation.”