Summary
Overview
Work History
Education
Skills
Certification
Accomplishments
Affiliations
References
Timeline
Generic

Kuki Carol Kowa-Mophuting

Potomac,USA

Summary

Results-driven professional with extensive project management and compliance experience at Barclays Bank. Proven ability to lead teams and implement strategies that enhance operational efficiency. Proficient in Microsoft Office Suite and skilled in maintaining strong client relationships while ensuring regulatory compliance.

Overview

29
29
years of professional experience
1
1
Certification

Work History

Experienced Associate

CLA
Arlington, VA
10.2022 - Current
  • Collaborated with clients and team members to execute compliance and internal audit engagements for financial institutions.
  • Developed and finalized audit workpapers in a paperless environment.
  • Conducted pre-audit planning and prepared fieldwork documentation with clients.
  • Drafted audit findings and recommendations to enhance compliance processes.
  • Maintained strong client relations through effective communication and support.
  • Resolved technical compliance issues in partnership with team members and clients.
  • Monitored latest banking industry compliance developments through formal education and self-study.
  • Provided ongoing technical assistance support to team members and clients.

Head of Financial Crime (Money Laundering Reporting Officer)

Absa Bank of Botswana
Gaborone, Botswana
02.2017 - 12.2021
  • Investigated and reported suspicious money laundering transactions via GoAML to Financial Intelligence Agency.
  • Submitted CTRs every 48 hours to FIA for compliance.
  • Advised business on Anti-Money Laundering and Counter Terrorism Financing matters.
  • Conducted annual staff training on AML/CTF framework compliance.
  • Prepared Board presentations for approval of revised AML/CFT framework policies.
  • Developed presentations for Executive Team regarding approval of AML/CFT standards.
  • Oversaw implementation of AML/CTF framework and policies across all staff annually.
  • Reviewed new banking products for alignment with policy, legislative requirements, and gap analysis.

Deputy Director Capital Markets

Non-Bank Financial Institutions Regulatory Authority (NBFIRA)
03.2011 - 01.2017
  • Achieved Associate Membership Status for NBFIRA with IOSCO through effective leadership.
  • Oversaw strategy execution for Capital Markets Division, ensuring license issuance and examination completion.
  • Implemented RISK BASED SUPERVISORY methodology among all regulated entities, including Micro Lending operations.
  • Recommended regulatory developments and amendments for supervised Capital Markets entities.
  • Ensured prompt enforcement reporting to Board through Deputy Chief Executive Officer Regulatory.
  • Provided ongoing strategic updates to Executive management team on key tasks.
  • Prepared comprehensive Board papers for Deputy Chief Executive Officer Regulatory.
  • Assessed staff skills gaps and proposed international training opportunities to Chief Executive Officer and DCEO-R.

Acting Director Capital Markets

Non-Bank Financial Institutions Regulatory Authority (NBFIRA)
03.2011 - 10.2013
  • Acting Chief Executive Officer NBFIRA - June 15 - 3 July 2012, 14 - 24 July 2012, and 5 -11 November 2012

Manager Investment Institutions Capital Markets

Non-Bank Financial Institutions Regulatory Authority (NBFIRA)
12.2009 - 02.2011
  • Led implementation of strategy for Non-Bank Financial Institution Regulatory Authority in Capital Markets Investment Institutions unit.
  • Coordinated preparation of investigations and inspections for regulated Capital Markets entities.
  • Facilitated timely reporting by regulated Capital Markets Investment Institutions in accordance with regulations.
  • Recommended enforcement actions regarding regulated Capital Markets entities to Director after thorough review.
  • Collaborated on rule development and recommendations for regulated capital markets entities.
  • Developed contracts for staff within Investments Institutions, ensuring alignment with divisional strategy.
  • Evaluated staff performance within Investments Institutions and identified skill enhancement opportunities.
  • Coached and mentored staff to promote growth and enhance operational effectiveness.

Strategy Coordinator

Local Enterprise Authority (LEA)
10.2008 - 11.2009
  • Coordinated design and implementation of strategy for Local Enterprise Authority on behalf of CEO.
  • Conducted annual strategy review planning and coordination.
  • Monitored organizational performance, providing recommendations directly to CEO.
  • Produced regular reports to Local Enterprise Authority Board representing CEO's interests.
  • Coordinated communication of reviewed annual performance results to all staff members.
  • Ensured calibration of performance contracts for all staff members.
  • Designed and implemented on-site monitoring tool for Local Enterprise Authority clients.
  • Developed company profile regarding strategy for annual report.

Regional Coordinator

Local Enterprise Authority (LEA)
04.2008 - 09.2008
  • Coordinated communication between branches and Head office for seamless information flow.
  • Produced monthly performance reports for Executive team, ensuring timely delivery.
  • Monitored compliance with LEA policies across all branches.
  • Identified and addressed skills gaps at branch level to enhance service delivery.
  • Closed all findings from audit reports to maintain operational integrity.

Unit Operational Risk Manager

Standard Chartered Bank
05.2007 - 03.2008
  • Facilitated collaboration between Sales and Support units in SME-CB by producing Service Level Agreements and coordinating stakeholder meetings.
  • Reviewed SME-CB processes, identifying opportunities for operational improvements and enhanced control measures.
  • Designed and implemented effective controls and monitoring plans for compliance and operational risk within SME-CB.
  • Coordinated periodic self-assessment activities, escalating findings to SME Unit Head and Business Operational Risk Manager.
  • Compiled reports on identified risks, ensuring timely planning and monitoring of resolutions.
  • Executed the Operational Risk framework and relevant initiatives within SME-CB to enhance risk management practices.
  • Identified training needs and arranged compliance and Operational Risk training for SME-CB staff.
  • Prepared Suspicious Transactions Reports and Early Alert Reports on non-performing accounts within SME-CB.

Senior Project Manager

Barclays Bank
10.2001 - 04.2007
  • Produced practical monthly and weekly project plans for Barclays Bank using PRINCE 2 methodology.
  • Facilitated workshops on risk management, implementation, and benefits management.
  • Chaired daily and weekly progress meetings, delivering reports to local and Barclays Africa management.
  • Developed action plans in accordance with PRINCE 2 standards to drive project success.
  • Presented project updates to staff, ranging from executives to junior team members.
  • Maintained continuous communication with executives to secure buy-in and accountability.
  • Evaluated customer service enhancement opportunities while assessing cost-cutting measures as a consultant.
  • Created business cases for proposed projects, ensuring viability and benefits realization.

Custody Manager in Training

Barclays Bank
07.2000 - 08.2001
  • Ensured compliance to Industry standards and disciplines by assisting Custody Manager
  • Responsible for acquiring new business for Barclays Custody Services
  • Ensured timely issuance of: Corporate Actions, settlement of share transactions, and information relating to local financial market;
  • Generated monthly reports for client status update on securities held as well as ensuring collection of fees from client is executed
  • Delivered training on MS Excel for the team members
  • Produced Status Updates on the Barclays Portfolio for the Local & UK Based Teams.

Personal Branch Manager

Barclays Bank
07.1999 - 06.2000
  • Coached and mentored team of over 20, including one assistant manager and four supervisors.
  • Planned, coordinated, and controlled resources to optimize operational efficiency.
  • Managed portfolio of high-value customers, including senior government officials.
  • Produced monthly reports detailing customer leads, visits, and service satisfaction metrics.
  • Oversaw daily exceptions reports for branch clients to ensure prompt resolutions.

Management Trainee – Management Development Programme

Barclays Bank In-house Branch Training
01.1998 - 06.1998
  • Produced a comprehensive brochure detailing all retail products.
  • Assessed business loans for middle and large enterprises to evaluate risk.
  • Reviewed loan appeal submissions from relationship managers for accuracy.
  • Served as communication officer for centralization project across Head Office and Gaborone cluster.

Assistant Supervisor

Bank of Botswana
09.1996 - 12.1997
  • Ensured compliance with Capital adequacy rate through assessment of periodic reports.
  • Supervised assigned commercial bank's adherence to Banking Act 1995 via regular reporting.
  • Evaluated lending sector performance through comprehensive analysis of periodic reports.
  • Generated monthly performance updates for assigned commercial bank and communicated findings to Supervisor.
  • Conducted inspections on regulated entities to ensure regulatory adherence.

Education

International Diploma - Anti-Money Laundering

International Compliance Association
U.K.
06.2025

Master of Science - Strategic Management

University of Derby
United Kingdom
11.2005

Bachelor of Science - Finance

Alabama Agricultural and Mechanical University
Alabama, U.S.A.
12.1996

Skills

  • Windows XP and Microsoft Office Suite
  • Project management
  • Regulations enforcement
  • Compliance reviews
  • Compliance monitoring
  • Policy analysis
  • Policy design
  • Time management
  • Policy development
  • Leadership techniques
  • Regulatory compliance
  • Anti-money laundering
  • Diagramming and visualization
  • Risk assessment
  • Sanctions compliance
  • Training delivery

Certification

  • Certified Anti-Money Laundering Specialist CAMS 2025
  • Executive Development Program
  • Management Development Program – Joint best project award Business Driven Action Learning project
  • Trained Prince 2 Practitioner – APM Group due for renewal.
  • Managing by Projects.
  • Business Performance Improvement
  • International Capital Markets Qualification (ICMQ)
  • Association of Certified Compliance Professionals in Africa

Accomplishments

  • Presidents Cup Award, awarded in recognition of high academic achievement with a Grade Point Average of 4.0 for two consecutive semesters, 1993
  • National Deans List, Awarded in recognition of a Grade Point Average 3.5., 1994
  • Honour Roll, Awarded in recognition of a Grade Point Average of 3.3., 1993-1996
  • Deans List, Awarded in recognition of a Grade Point Average 3.0., 1993-1996
  • Chairperson, Capital Markets sub-committee CISNA, 2013-2015
  • EXCO member, CISNA committee, 2013-2015

Affiliations

  • Botswana National Team Player, Softball, 1992
  • Chairperson, Vikings Softball club, 2001

References

References available upon request.

Timeline

Experienced Associate

CLA
10.2022 - Current

Head of Financial Crime (Money Laundering Reporting Officer)

Absa Bank of Botswana
02.2017 - 12.2021

Deputy Director Capital Markets

Non-Bank Financial Institutions Regulatory Authority (NBFIRA)
03.2011 - 01.2017

Acting Director Capital Markets

Non-Bank Financial Institutions Regulatory Authority (NBFIRA)
03.2011 - 10.2013

Manager Investment Institutions Capital Markets

Non-Bank Financial Institutions Regulatory Authority (NBFIRA)
12.2009 - 02.2011

Strategy Coordinator

Local Enterprise Authority (LEA)
10.2008 - 11.2009

Regional Coordinator

Local Enterprise Authority (LEA)
04.2008 - 09.2008

Unit Operational Risk Manager

Standard Chartered Bank
05.2007 - 03.2008

Senior Project Manager

Barclays Bank
10.2001 - 04.2007

Custody Manager in Training

Barclays Bank
07.2000 - 08.2001

Personal Branch Manager

Barclays Bank
07.1999 - 06.2000

Management Trainee – Management Development Programme

Barclays Bank In-house Branch Training
01.1998 - 06.1998

Assistant Supervisor

Bank of Botswana
09.1996 - 12.1997

International Diploma - Anti-Money Laundering

International Compliance Association

Master of Science - Strategic Management

University of Derby

Bachelor of Science - Finance

Alabama Agricultural and Mechanical University

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