Oracle Compliance was formed in 2004 in response to the enactment of the Financial Advisory and Intermediary Services Act (FAIS) and the Financial Intelligence Centre Act (FICA). It was also formed as a result of the growing need for Corporate Governance principles and practices necessitating a greater need by public and private companies to implement Risk Management procedures.
We have assisted a wide range of clients from listed entities to smaller boutique firms in all areas of the financial sector including:
- Discretionary Fund Managers
- Insurance Companies
- Independent Financial Advisers
- Retail Direct Marketers
- Insurance Brokers
- Private Equity Fund managers
- Hedge Fund Managers
WHY ORACLE COMPLIANCE?
- Legal expertiseOracle Compliance is headed by specialised industry personnel, accredited by the Compliance Institute of SA and approved by the FSB. In addition, Oracle Compliance is associated with a leading firm of attorneys providing specialist advice on legal matters ancillary to the regulatory and compliance environment.
- Years of experienceOracle Compliance was founded in 2004 in response to the enactment of the Financial Advisory and Intermediary Services Act (FAIS) and the Financial Intelligence Centre Act (FICA). Together, the directors of Oracle Compliance have over 50 years of experience working in the financial, legal and corporate sectors. Since then, the scope of service has had to broaden given the more stringent regulations being imposed by regulators.
- Personalised serviceOur team takes pride in our dedicated service and our close relationships with our clients. We take the needs of our clients seriously and realise the importance of tailor-made solutions for every situation.
- Up-to-date, in-depth knowledgeOracle Compliance prides itself in constantly staying updated on the latest laws and regulations regarding compliance and financial risk management. We constantly research the topic, attend relevant events and conferences and have a close working relationship with the FSB, the main regulator in this industry, with whom we meet regularly to stay up-to-date in matters of compliance.
- Keeping you ahead of the gameOur compliance services go beyond helping our clients comply with the legal requirements of the regulators. At Oracle Compliance we recognise that regulatory compliance is not just about following systems. It also offers an opportunity to consistently strengthen your organisation through strategic, proactive measures, such as best practices, employee training, internal controls, and benchmarking appropriate for your industry and size.
Leonardo began his compliance career at Liberty Life in 2000 where he worked as a Compliance Officer in the distribution division of the group.
In 2004 he left and founded Oracle Compliance. Leonardo has been appointed as the Statutory Compliance Officer for many Financial Services Providers and has advised both local and foreign providers on their compliance processes over the past 12 years.
His areas of expertise include Private Equity, Asset Management, all types of insurance, stock broking, online trading platforms, commodity brokers, bond originators, call centres and direct marketers.
Leonardo is a registered Compliance Officer with the FSB and is authorised by the Compliance Institute of South Africa as a Compliance Practitioner.
- BA (Wits); MBA (University of West London (UK) 2001; Certificate in Compliance Management (UCT) 2003.
Daniela has been working in the Compliance and Financial Advising Industry for over five years. Prior to this, Daniela gained over 14 years’ experience in the management consulting industry at Accenture Consulting, where she held the position of Senior Manager Financial Services and headed up the Change Management Division at Accenture.
She specialises in Change Management, Project Management, FAIS Compliance, ERP Systems implementations and Human Resources (Recruitment and HR Operations).
Daniela has worked for various clients within the financial and banking services, consumer goods industry and the SA Government. She is adept at managing the “change” throughout a project and business life cycle, facilitating sessions, managing teams, creating and maintaining project plans and schedules, and preparing and presenting project briefings and status to executives and steercoms.
- Bcomm Honours (Wits); FAIS Regulatory Exams
Thandiwe began her career as a communications consultant working for various local and international companies in the film and entertainment industry in Zimbabwe and Botswana.
Following this she moved to the United Kingdom, where she attained her LLB from the University of London. She is a qualified attorney admitted in Botswana where she practised law before relocating to South Africa. She is also a qualified company secretary, a member of Chartered Secretaries South Africa and a member of the Institute of Risk Managers South Africa.
Before venturing into compliance, Thandiwe worked with distressed companies in relation to business rescue process flows. She is currently studying towards an LLM in corporate Law with the University of South Africa.
- Diploma in communications; LLB (University of London) Attorney (Botswana) non-practising;
- Post Graduate Diploma (Chartered Secretaries South Africa).