DIANA AMPOMAH
MALLAM
Summary
A responsible, intelligent and honest individual, with extensive background in branch compliance activities. Currently a senior compliance manager with 8+ years’ experience, ensuring the compliance department fulfills its responsibility as a second line defence in the business environment. She seeks an opportunity for a challenging role. Has the ability to relate well with staffs and various stakeholders, ensuring quality is sustained in laid down processes and procedures, and also giving feedbacks to appropriate units.
Seasoned compliance manager bringing several years of experience managing activities, programs and resources to meet institutional needs. Flexible and adaptable with superior communication, relationship management and influencing skills. Proven history of identifying issues, acquiring data and drawing conclusions to support resolution. Strong aptitude for leading teams to effectively address client needs and implement changes by supporting strategic initiatives.
Overview
19
19
years of professional experience
Work History
SENIOR COMPLIANCE MANAGER
Opportunity International Savings and Loans Limited
01.2016 - Current
- Responsible for ensuring the institution complies’s with applicable regulatory policies, internal processes and procedures. Mitigating risk through the implementation of risk management process
- Responsible for the successful organization and implementation of risk management activities.
- Reports to the Head of Compliance; risks identified in various branches and help instill a stronger risk culture across the entire business.
- Ensure that policies, processes and procedures within the businesses are fully adhered to and exceptions are rectified on time.
- Support in the training and development of staff to appreciate regulations and policies that affect their day to day work and has the propensity to affect regulations.
- Generates monthly compliance report and presentation; present findings and proposed solutions to management.
- Direct and guide the compliance team in the delivery of compliance responsibilities.
- Works closely with operations and credit department on risk prevention programs
COMPLIANCE OFFICER
Opportunity International Savings and Loans Limited
01.2011 - 01.2016
- Responsible for branch’s adherence to institutional policies and procedures through reviews, observations and snap checks
- Following up and ensuring that controls proposed by business managers in the Self-Assessment Templates (SAT) are effectively implemented.
- Assists the compliance manager in setting up controls to resolve risk issues within the business.
- Conducting reviews of operational risk activities.
- Conducting investigations into all highlighted & potential areas of concern.
- Ensure all audit exceptions are rectified on time.
- Monitor loan quality within their zone and report on all delinquent loans above 15 days
RELATIONSHIP OFFICER
Opportunity International Savings and Loans Limited
09.2007 - 12.2010
- Responsible for growing and managing loan portfolios in accordance with company’s credit delivery procedures
- Make suggestions to the manager concerning lending procedures and policies
- Training Loan Applicants in Loan Management
- Conduct credit and background investigation of eligible Loan Applicants
- Analyze financial statement and cash flow of Loan Applicants
- Appraise and recommend loan applicants to Approving Authority
- Give the necessary credit advice to clients
- Monitoring of clients project, follow up on delinquents loans and recommend remedial measures for delinquents borrowers
Teller/Cso (NATIONAL SERVICE)
Opportunity International Savings and Loans Limited
07.2006 - 08.2007
- Responsible for opening new accounts, receiving and making payment to customers
- Account Opening for customers and handling general enquiries
- Cash and Cheques payment
- End of day Balance of till and Vault
- Processing Money Transfer (Western Union)
Education
MBA - FINANCE
Central University College
B.A (HONS) - GEOGRAPHY, Religion
University of Ghana
SENIOR SECONDARY SCHOOL CERTIFICATE -
Accra Girls Secondary School
AccraSkills
- Microsoft Office
- Banking software T24
- Document review
- Attention to details
- Problem Solving
- Decision making
- Analytical skills
- Organizational skills
Volunteering Activities
- Member of Planning Committee, West Africa Single Conference (ICOC Ghana), 07/01/10, 08/01/12
- Member of Prefectorial Board, Accra Girls Secondary School, 01/01/99, 01/01/00
- Member of hockey team, Accra Girls Secondary School, 01/01/98, 01/01/99
Courses And Seminars Attended
- Risk Summit Africa 2022, 07/13/22, 07/14/22, Accra, Ghana, Disrupting status quo: identifying new ways for Resilience and innovation to increase business value.
- Training for financial institutions on the Revised FATF Recommendations, 08/28/13, 08/29/13, Lagos, Nigeria
- 10,000 Women Emerging leaders Program sponsored by Goldman Sachs and Opportunity International, 01/11/10, 02/05/10, Strathmore University, Nairobi, Kenya
Personal Information
Gender: Female
References
- Dr. Francis Takyi, Chief Risk Officer, Opportunity International Savings And Loans Ltd, 054-4334959
- Dr. Rosemond Aboagye, CEO, Rand Medical Imaging, 020-1897245
- Mr. Bernard Sarfo Kantanka, Head of Treasury, SIC Life Savings And Loan, 024-3266878
Hobbies and Interests
- Researching
- Sightseeing
Languages
- English
- Twi
- Ga
Attributes
- Committed
- Versatile
- Detailed-oriented
- Interest in continuous learning
- Geared towards independent and team-play goal achievement
- Able to liaise with persons of varying socio-economic backgrounds
Research
- The impact of group based lending of microfinance institutions on micro and small scale entrepreneurs, 2010, Central University College, Accra, Ghana
- Environmental Effects of Stone quarrying in Gbawe, GA District, 2005/2006, University of Ghana, Legon
Languages
English
First Language
Timeline
SENIOR COMPLIANCE MANAGER
Opportunity International Savings and Loans Limited
01.2016 - Current
COMPLIANCE OFFICER
Opportunity International Savings and Loans Limited
01.2011 - 01.2016
RELATIONSHIP OFFICER
Opportunity International Savings and Loans Limited
09.2007 - 12.2010
Teller/Cso (NATIONAL SERVICE)
Opportunity International Savings and Loans Limited
07.2006 - 08.2007
MBA - FINANCE
Central University College
B.A (HONS) - GEOGRAPHY, Religion
University of Ghana
SENIOR SECONDARY SCHOOL CERTIFICATE -
Accra Girls Secondary School
Similar Profiles
DORIGEN ADENAYORDORIGEN ADENAYOR
Station Manager at Ghana Oil Public Limited Company (GOIL PLC)Station Manager at Ghana Oil Public Limited Company (GOIL PLC)
THEODOCIA FRIMPOMAA OHENETHEODOCIA FRIMPOMAA OHENE
Accountant at D-Linkinn Solutions LimitedAccountant at D-Linkinn Solutions Limited
FRED ADDO KYEIFRED ADDO KYEI
Assistant Manager/Engineer, IT Infrastructure at OPPORTUNITY INTERNATIONAL SAVINGS & LOANS LIMITEDAssistant Manager/Engineer, IT Infrastructure at OPPORTUNITY INTERNATIONAL SAVINGS & LOANS LIMITED
Prince Nana Yaw SARFOPrince Nana Yaw SARFO
Production Worker at Safeway Meat ProductionProduction Worker at Safeway Meat Production
LEONARD OBENG-TUUDAHLEONARD OBENG-TUUDAH
Project Manager at Airport View HotelProject Manager at Airport View Hotel