Summary
Overview
Work History
Education
Skills
Accomplishments
Timeline
Generic

Magok A. A. MAJOK

Senior Compliance Manager
Nsambya, Kampala,102

Summary

Accomplished compliance professional with nine years of expertise in risk management, policy development, and strategic planning. Led the development of compliance and legal frameworks at Stanbic Bank, improving risk management and operational efficiency. Skilled in promoting employee safety and achieving compliance excellence through innovative training programs and strong advisories. Proficient in regulatory compliance with a track record of collaborating with executives to address vulnerabilities and implement corrective actions. Establishes strategic partnerships to enhance company reputation.

Overview

9
9
years of professional experience

Work History

Senior Compliance Manager

Stanbic Bank
01.2021 - 12.2023
  • Reviewed documents, files, transcripts and other records to assess compliance and potential risk.
  • Managed compliance efforts, reporting and audits.
  • Maintained effective working relationships with regulatory bodies, suppliers and customers.
  • Prepared and presented comprehensive reports to upper management and audit team, covering issues and recommendations.
  • Prepared records and data for regular audits.
  • Spearheaded annual compliance training programs to all employees on ethics, risk and compliance issues.
  • Played instrumental role in company-wide risk assessment efforts, supporting enhancements in business processes and controls.
  • Delivered subject matter expertise on compliance best practices and quality controls.
  • Evaluated customer complaints, processes and all other aspects of operations to assess compliance.
  • Defined and developed policies and procedures on data privacy practices.
  • Delivered and tracked program training for associates and supervisors to safeguard continuing business relationships.
  • Consulted with clients on best practices and served as project manager for all process improvements and regulatory initiatives.
  • Advised division leaders of regulatory risks in business processed and provided recommendations for improvement.
  • Managed full life cycle of assigned audits in alignment with departmental procedures, delivering progress as well as closing reports to senior management and clients.
  • Drove optimization of regulatory risks management, control testing and process improvements.
  • Collaborated with HR and IT to develop and implement code of business and ethics and anti-harassment policies and related personnel training.
  • Liaised with business units to identify and target inefficiencies in areas of risks and business controls, process gaps and workflow discrepancies.
  • Formulated detailed recommendations based on audit findings to support annual planning and definition of goals.
  • Supported marketing team in review and submission of regulatory articles and newsletters.
  • Collaborated with contract team to review client contracts and facilitate personnel compliance training.
  • Backed data security and information privacy efforts.
  • Kept new and modified products and services in conformance with security and compliance regulations.
  • Performed regular compliance reviews and audits, identifying non-compliance issues.
  • Addressed compliance issues by developing and implementing corrective action plans.
  • Implemented effective compliance policies and procedures to meet regulatory requirements.
  • Analysed and identified risk areas to determine compliance with applicable laws and regulations.
  • Established and monitored compliance procedures to provide consistent implementation across departments.
  • Investigated potential compliance violations and reported findings to senior management.
  • Developed compliance training initiatives and materials, educating staff on regulations.
  • Kept up to date on compliance trends and rulings using meticulous research and study.
  • Devised and maintained compliance record-keeping processes to support initiatives.

Legal and Compliance Manager

Stanbic Bank
05.2017 - 12.2020
  • Collated relevant legislative and regulatory instruments, and prepared Compliance Risk Management Plans (CRMPs).
  • Reviewed documents, files, transcripts, contracts, and letters to assess legal and compliance and potential risk.
  • Managed legal and compliance efforts, reporting and audits.
  • Maintained effective working relationships with regulatory authorities, suppliers and customers.
  • Developed and delivered training programs to inform new and current employees about legal and compliance issues.
  • Provided quality/effective advisories to senior management on aspects of legal and regulatory compliance.
  • Acted as a liaison between business and corporate functions to ensure effective and efficient clients service.
  • Engaged regulatory authorities on legal and regulatory compliance for effective management of legal and compliance issues.
  • Provided quality management reports on legal and regulatory compliance.

Compliance Officer

Stanbic Bank
10.2014 - 04.2020
  • Maintained effective and cordial working relationship with relevant Regulators, suppliers, and stakeholders.
  • Put in place risk mitigating controls to safeguard the bank reputation.
  • Acted as a liaison between the bank and various regulatory authorities.
  • Provided compliance advisories in strict adherence to regulatory requirements and / or industry standards.
  • Provided interpretive guidelines on mundane applicable regulatory directives.
  • Supported various business units and corporate functions in seamless operation of banking business.
  • Reviewed documents, files, transcripts, contracts, and letters to assess potential compliance risk.
  • Developed and delivered training programs to inform new and current employees about legal and compliance issues.
  • Provided quality/effective advisories to senior management on aspects of legal and regulatory compliance.
  • Acted as a liaison between business and corporate functions to ensure effective and efficient clients service.
  • Engaged regulatory authorities on legal and regulatory compliance for effective management of legal and compliance issues.
  • Provided quality management reports on legal and regulatory compliance.

Education

Master of Laws (LLM) - LLM Generic

University of Sussex
East Sussex, Brighton, England
01.2015 - 01.2015

Bachelor of Laws (LLB) - Bachelor of Law (LLB)

Dr. John Garang Memorial University of Science & Technology
Bor, South Sudan
01.2013 - 01.2013

Skills

  • Regulatory documentation adherence

  • Employee safety adherence

  • Efficient record management

  • Coaching and mentorship

  • Effective regulatory relationship management

  • Team development

  • Effective stakeholder engagement

  • Skilled in reviewing and negotiating contractual terms

Accomplishments

  • Established the Compliance function by developing the Compliance Risk Management Plans (CRMPs) in order to mitigate compliance risks with accuracy and efficiency.
  • Provided ethical and compliance leadership across all business spectrums.
  • Maintained effective regulatory compliance landscape for proper management of legal and compliance issues.
  • Documented and resolved complex customer complaints which led to improved customer experience.
  • Proactively established better working relationship with all relevant regulators.
  • Provided consistent and effective advisories to business and corporate functions on better management of regulatory compliance issues.

Timeline

Senior Compliance Manager

Stanbic Bank
01.2021 - 12.2023

Legal and Compliance Manager

Stanbic Bank
05.2017 - 12.2020

Master of Laws (LLM) - LLM Generic

University of Sussex
01.2015 - 01.2015

Compliance Officer

Stanbic Bank
10.2014 - 04.2020

Bachelor of Laws (LLB) - Bachelor of Law (LLB)

Dr. John Garang Memorial University of Science & Technology
01.2013 - 01.2013

Similar Profiles

CREATE PROFILE
Magok A. A. MAJOKSenior Compliance Manager