Wambui Waithaka

Duties and Responsibilities: • Overall delivery of the Risk Management and Compliance Framework to the Life and General Business units. • Developing risk management and compliance strategies, policies, framework, and procedures. • Implementing the Risk Management Framework and Compliance Manual. • Creating risk management awareness and improving the risk culture. • Coaching, training, and supervision of risk champions. • Performing risk assessments of processes, products, channels, and markets. • Developing relevant key risk/compliance indicators and associated appetite thresholds. • Monitoring overall compliance status and advising on regulatory and compliance matters. • Designing the compliance, risk management plans/obligation registers highlighting all obligations including controls, returns and policy statements. • Designing risk and control self-assessments across all businesses. • Assessing the adequacy and effectiveness of the control environment and governance structures. • Identifying risks using data analytics including transaction monitoring. • Developing of a robust system to record and maintain of all risks, incidents & issues including tracking of all risks, incidents to closure. • Establishing a proactive risk monitoring system for swift response to emerging risks. • Presenting of risk and compliance reports to Management and the Board. Achievements: • Developed Risk Management policies and Operational Risk Appetite Dashboard. • Established the Management Risk Committee to drive accountability and inclusivity. • Led culture transformation through training and policy socialization. • Embedded/Integrated risk management in processes and operations through workshops and controls self-assessments.

• Developed pitch decks to prospective clients. • Provided insights on bi-weekly newsletters. • Designed and developed training content on risk management.

• Launched the Risk Management and Compliance department in the Business. • Developed and implemented the Risk and Compliance Framework. • Performed risk assessments and developed key risk/compliance indicators. • Monitored overall compliance status and advised on regulatory matters. • Led the compliance initiative for digital products customer journeys. • Implemented robust reporting mechanisms, presenting detailed risk profiles at the Management and Board level. • Established a proactive risk monitoring system for swift response to emerging risks.

• Implemented the Financial Controls Policy across East Africa. • Developed the East Africa FORM forum. • Developed templates that were rolled out across East Africa, driving standardization. • Spearheaded impactful risk management training initiatives across the entire bank. • Improved the financial control environment and integrity of the general ledger. • Led compliance checks and standardized processes across East Africa.

• Led comprehensive process reviews including process mapping and identified strategic risk mitigation measures. • Led risk reviews of the operations at the Head office departments and all the branches. • Developed comprehensive reports on the audit findings that led to process/control improvements. • Notable success in the 2011 branding initiative, contributing to the bank's distinctive identity.

• Managed audit fieldwork and liaised with clients and ensured that audits were carried out within the set timelines. • Performed audit planning, execution and reporting within the set timelines. • Performed data analytics during the audits using IDEA and identified any unusual trends. • Documented all audit findings comprehensively addressing all queries raised by Audit Manager and Partner. • Ensured audit procedures adhered to International Standards on Auditing and KPMG Audit Methodology. • I was the Lead Audit senior on key clients in the financial, consumer industries and NGOs.