Ogochukwu Mba

Ogochukwu Mba Adaba Mews – 2 Merret Road, Yaba Assurance Services Professional - 234 - Ogochukwu Mba Experienced compliance and internal control professional and certified banker with an average of fourteen (14) years of vast andprogressive expertise across several industries including banking and securities exchange. Able to lead organisations at management capacity towards sustainable leadership and direction, impactful transformation, and profitable growth. Expertise Internal Control Business Operations Audit Finance Banking Reporting Counselling Securities Compliance Conflict Management Reconciliation Selected Experience JUNE 2021 - Till Date Chief Compliance Officer | Berkshire Finance Company Limited § § § § § § § § § § Responsible for setting up the operations of the Company ahead of obtaining the operating licence for the Company Developed the Company’s Compliance Register in line with all related regulations and ensuring that all obligations are dulymet as at when due Assisted Management with special projects, investigations and other duties as assigned Ensures that the Company has adequate internal controls in place to measure and manage the risks it faces Achieve the Management’s goal of zero tolerance to fraud and compliance issues Facilitated training to raise compliance awareness amongst staff within the Company Managed ad-hoc tasks and generated reports for Management’s use Developed the Company’s Risk Register, Key Risk Indicators, etc. Actively involved in the Group’s annual audit exercise – reconciliation, accounting approach validation, investment valuation, etc. - and was one of the key contacts for auditor’s engagement Periodic filing and reporting to Central Bank of Nigeria (CBN) and other relevant statutory bodies NOVEMBER 2018— MAY 2021 Team Lead –Compliance and Internal Control Professional | FMDQ Holdings PLC § § § § § § § § § § § § § § Discovered, analysed and documented areas of potential risks within the Group Performed risk identification, assessment, reporting and monitoring operations Developed risk management plan across the value chain of the Group Identified project risks and communicated identified risk to Project owners Ensured Periodic filing and reporting to SEC and other relevant statutory bodies Oversaw the adoption of the compliance culture within the Group and fostered good working relationships with regulatory offices Verified adequacy of internal controls, the accuracy and propriety of transactions and the level of compliance with operational policies, institutional policies, government laws and regulations Drove awareness of all Staff on the current and new regulations, practices and requirements Provided periodic reports on exceptions raised from daily review of activities raised and late filings from the process reviews to Management and the Board Implemented risk control recommendation of business units’ areas in accordance with timelines Conducted Vulnerability and Penetration Tests (VAPT) on new Projects and Systems Effectively tracked and monitored regulatory returns across the Group to ensured rendition of returns Managed ad-hoc tasks and generated reports for Management’s use Reviewed Information Technology (IT) controls (Physical and Logical access) of the Company and ensured adherence to its IT Policies OCTOBER 2014— NOVEMBER 2018 Reconciliation Specialist | Guaranty Trust Bank PLC § § § § § § § § Maintained a zero sanctioned position with respect to regulators Mediated with one of the big four auditors, PWC, on the half-yearly and yearly financial audit Liaised with KPMG auditors for quarterly control audit Reconciled (1) Nostro accounts to ensure transparency with the Bank’s books (2) the Bank's account domiciled with CBN (3) VISA Card and MasterCard settlement account (4) T.bills position with custodian to ensure that all customers’ T-bills are moved within the specified SLA period Reconciled the Bank’s FCY placement position with Blotter align with the offshore position. Liaised with corresponding banks (Citibank, Deutsche, ABSA, amongst others) to ensure that the Bank’s position aligns with the offshore Bank Liaised with CBN examiners during FX audit, risk-based audit and spot checks by providing the requested information and assisting with the audits Prepared the CBN quarterly returns OCTOBER 2013— OCTOBER 2014 Regional Control Officer | Guaranty Trust Bank PLC § § § § § § § § § § § Coordinated internal control activities with other functions and process owners, shared information and created synergies to reinforce internal control Planned and executed internal control reviews through peer reviews and any other assessments by understanding organization objectives, structure, policies, processes, internal controls, and external regulations; identifying risk areas; prepared the scope and objectives around the processes assigned Assessed compliance with all applicable regulations by ensuring that the controls in place cover the risks assessed by the regulators around the processes assigned Assessed risks, reviewed, and assisted in the development of policies and procedures, their implementation and monitored compliance around the processes assigned Closely monitored internal controls around the following processes assigned Reviewed ATM proofs and related reports of branches under my purview Reviewed and responded to inquiries, (embassies, auditors, banks and regulatory/law enforcement agencies) Reviewed of Ledger monitoring reports Conducted cash count exercise, sweeps and spot checks Liaised with External auditors by providing required information Investigated customer complaints on overdraft/loans/COT JUNE 2012— OCTOBER 2013 Head Office Control Officer | Guaranty Trust Bank PLC § § § § § § § § § Coordinated internal and external auditing activities Reviewed head office settlement proofs, processes and procedures Implemented control activities across head office and settlement functions Investigated and resolved system errors Conducted Quarterly ledger audit Reviewed the ledger creation process by the Bank Detected and investigated frauds Conducted sweeps, spot checks and the prepared audit reports Reviewed mid-month and month end proofs OCTOBER 2008— JUNE 2012 Internal Control Officer | Heritage Bank Limited (Formerly Spring Bank) § § § § § § Provided Assurance services on the purchases process on behalf of the Bank, reviewed general ledgers, conducted call over of transactions consummated, ensured compliance with management policies, reviewed fixed accounts Reconciled the inter-bank books i.e. CBN, RTGS and UBA clearing accounts Reviewed staff salary, ex-staff files and computation of staff exit package Reconciled NIBSS (Nigerian Inter-Bank Settlement Systems) account Reviewed interest on short and long-term deposits Verified the consistency of the bank records with supporting documents of receipts, bills, contracts, load papers etc Notable Achievements § § CEO’s Recognition Award - Championed the migration of the Company’s financial data from legacy system - SAGE 50 to SAGE 300 CEO’s Recognition Award – Launch of the Company’s new website Education and Continuing Education 2015 M.Sc. Finance — University of Lagos. 2008 B.Sc. Business Administration — Covenant University. 2003 SSCE Renics College, Lagos Certifications Associate Member, Chartered Institute of Bankers of Nigeria (CIBN) QA Certified ISO27001 Practitioner SEC Sponsored Individual Training - Completed Six Sigma Yellow Belt Skills Level, Institute of Chartered Accountants of Nigeria (ICAN) – in-view Interests and Hobbies Reading | Research | Writing