Charles Kariuki Ngugi

CHARLES ANTONY KARIUKI NGUGI P.O. Box 12027 – 0100, Nairobi, Kenya Tel: - Email:- PROFILE SUMMARY As a purpose driven and goal oriented professional with experience in managing operations within the investment sector. My competencies lie in; team leadership, operations management, administration and customer relations. The roles I have undertaken have seen me successfully acquire the necessary skills to manage operations, ensure compliance and interact with customers. I am currently seeking to secure a role in the Information Technology field with a view to expand my knowledge and horizon as well. PERSONAL DETAILS • Year of birth: 1978 EDUCATION • • Studying Bachelor of Science in Information Technology at Mount Kenya University (Second Year) Managing Projects Coursework - Project Management Body of Knowledge (PMBOK); November 2011 PROFESSIONAL QUALIFICATIONS • • • PRINCE2, Foundation Course LEAN SIX SIGMA, White ATS (Automated Trading System) Certification KEY SKILLS AND COMPETENCIES • • • • • Personnel management: Experienced in managing the performance of the staff under my supervision, acting as the uniting force for the new business team and successfully making a positive impact on the sales team by mentoring and motivating them. Operations Management: Experienced in improving operational system processes and best practices within the company to guarantee the company’s well-being and ensuring the smooth running of the day-to-day business. Marketing Skills: I excelled in monitoring market conditions from the trading floor and building relationships with trading departments of other brokerage firms in addition to monitoring the provision of market information and advice to Sales and Customer. Compliance and Quality Assurance: Experienced in making certain all transactions fully comply with the guidelines in the bank's Operations Policy Manual and that there is strict compliance to banking guidelines. Flexibility: Capable of handling many roles at the same time ensuring that all duties accorded to me are all well performed even if it means putting in more of my time. Ability to handle pressure. 1 • • Team working skills: Ability to ensure timely delivery of results and ensuring the participation of other colleagues. I have successfully excelled in; improving feedback in both downward to upward communication and vice versa and performance as well among employees. ICT Competence: Good command of Microsoft Office tools and the internet. WORK HISTORY KYC Officer Operations - Dyer & Blair Investment Bank, November 2014 to November 2015 Duties and Responsibilities • Supervision and coordination of the document’s digitization exercise by MFI. • Maintained detailed records on clients and knows how to analyze the client data. Team Leader - Operations, SBG Securities Ltd. (SBGSL), April 2011 to May 2014 Duties and Responsibilities • Back-up to the Operations Manager. • Part of the team that managed the rebranding of the organization from CfC Stanbic Financial Services to SBG Securities Limited (SBGSL) in 2013. • Reduced lead time on CDS Accounts and KYC Compliance processing to 48 hours upon receipt of documentation in Operations. • Managed an SBGS Nominees’ analysis project of 2,137 accounts that identified 58 accounts with cash belonging to SBGSL totaling to Kshs 3.6 million. • Developed a procedural manual for the generation of Bond Trades Contract Notes. • Was one of the two people that acted as the back-up to the Bond’s Dealer. • Collaborated with ChellaSoft to develop an in-house upload tool and procedure for M-pesa receipts from clients. • Supervised the mapping and generation of procedural manuals for the various departments in the organization. • Selected as the Business Continuity Management (BCM) Champion for the organization and supervised disaster recovery site functional exercises done in 2013 and 2014. • Revised and updated the organization’s disaster recovery manual. • Managed the organization’s UAPHL OTC end to end and developed a trade confirmation tool to generate Trade Contract Notes to clients. • Managed, coordinated and reconciled IPO’s/Rights Issues with the assigned receiving banks leading to the elimination of processing errors and client’s missing out on shares as we had 100% reconciliation. • Selected as part of the team that supervised the testing and implementation of system enhancements for Clearvision. • Class ‘B’ (up to 2 million) Signatory for client payments. • Signatory for SBGSL’s various CDSC documentation that included 4ABs, Private Transfers, Share Certificate Immobilization. • Provision of IT support for Operations Department. Dealing Department - SBG Securities Ltd. (SBGSL), March 2009 to March 2011 Duties and Responsibilities • Execution of Equities and Bonds trades and the provision of timely feedback regarding the same. • Provision of market information and advice to Sales and Customer Experience Departments on available opportunities in the market 2 • • • Generated, disseminated and archived daily, weekly and monthly trading reports. Handled the administration of Equity Order File and Executions File. Monitored market conditions from the trading floor and building relationships with trading departments of other brokerage firms increasing executions of orders. Operations - SBG Securities Ltd. (SBGSL), November 2007 to March 2009 Duties and Responsibilities • Countrywide branch operations and support officer • Internal funds transfer officer and Liaison person with registrars • Management and coordination of IPO related activities namely; Kenya Re IPO, NIC Rights Issue, DTK 2007 • Rights Issue, Safaricom IPO, HFCK Rights Issue, KCB Rights Issue, Co-op Bank IPO and Resolution of problem cases. REFEREES Daudi Mputhia P.O. Box 62699 – 00200 Nairobi, Kenya Tel: - Email:-Daniel Chege P.O. Box- Thika, Kenya Tel: - Email:-John Paul Ochieng P.O. Box 8857 – 00100 Nairobi, Kenya Tel: - Email:- 3