TENDAI ZVOBGO
Summary
- I’m a proactive and detail-oriented legal and compliance professional with more than 5 years of work experience.
- I currently work in an advisory role as a Compliance, Conduct and Operational Risk Officer at JP Morgan. My role includes being the Code of Conduct Specialist for the Corporate Function departments such as Legal, Corporate Responsibility, Human Resources, Corporate Strategy, Audit, Global Real Estate, Global Security etc. As a result, I provide advisory services to employees concerning conflicts of interest, gifts and entertainment and personal investments.
- I provide training regarding the Code of Conduct and Personal Account Dealing to employees in the aforementioned departments.
- I am seasoned at reviewing policies and guidelines, interpreting them and providing accurate written or verbal responses to employees and their senior managers.
- I assist the Global Security department with investigations related to employee infractions.
- Prior to my current role, I worked as a Compliance Analyst at JP Morgan for more than 4 years. In that role, I investigated entities and individuals and detected money laundering, bribery and other offences. I also trained new employees on how to conduct investigations.
- I am accustomed to managing projects, managing expectations and delivering results in a timely manner.
Overview
13
13
years of professional experience
Work History
CORPORATE FUNCTIONS COMPLIANCE CONDUCT & OPERATIONAL RISK OFFICER
JPMORGAN CHASE & CO
Manhattan, New York
04.2020 - Current
- As a Code of Conduct Specialist, I provide advisory services to all employees of the Corporate Functions.
- The firm has more than 10 Corporate Function departments.
- I create PowerPoint presentations which I utilize for the training sessions that I hold for employees based on aspects of the Code of Conduct or the Personal Account Dealing policy.
- I conduct risk assessments concerning various groups that I cover such as Corporate Strategy, Audit and Corporate Communications, and I have meetings with senior managers so I can share my findings.
- I assist the Global Security department with investigations pertaining to whether or not an employee has violated a policy of the firm by engaging in an outside activity such as taking on a second job or establishing a company without disclosing it to the firm.
- I interpret the guidelines concerning outside activities and I provide a clear written response which states whether or not the employee under investigation should have precleared the activity.
- I also worked as an Anti-Corruption Compliance Officer for several months and reviewed and approved submissions regarding third party intermediaries, which were submitted by relationship managers.
- In all instances, I ensured that the anti-corruption language, which correlated with the risk associated with the third party intermediary was included in the contract.
- I contribute towards the updating of policies and procedures and I inform senior managers in the Corporate Function departments of any changes that are applicable to them.
JP Morgan
Brooklyn, New York
12.2016 - Current
- Reviewed alerts that were dispositioned by other analysts and checked to ensure that the analysts had detected and escalated material negative media when necessary.
- The analysts reviewed alerts to determine whether the client engaged in money laundering, terrorism financing, insider trading, drug trafficking, corruption, or other illicit behavior.
- Researched relationships between new and existing clients for parent/subsidiary relationships to facilitate accurate reporting.
- Identified red flags and drafted advisory memorandums/templates for the lines of business after utilizing internal tools such as the Client Onboarding Lifecycle Tool and external tools such as LexisNexis and Google to conduct enhanced due diligence and make a risk based decision concerning the client.
- Worked as the primary negative media analyst for the Consumer and Investment Banking (CIB) project in a system called Bridger.
- Dispositioned alerts for the CIB line of business and communicated findings or inquiries to the line of business representative in Malaysia.
- Worked as the primary analyst for the Line of Business project for negative media which was executed in the Global Sanctions Manager system.
- This project entailed communicating with the lines of business and obtaining information that was required by myself or other analysts to disposition and close alerts for all lines of business.
- Dispositioned sanctions alerts and alerts pertaining to special persons of interest.
- Managed data inventory.
- Served as a Subject Matter Expert on a project whereby the Chief Administrative Office assessed the quality of media provided by five competing vendors.
- The purpose of the project was to identify a vendor with high quality media, which may potentially replace the vendor that currently provides negative media to JPMC.
- I hold a JPMorgan Chase & CO 2017 M + rating for achievements as a Compliance Analyst.
- To my knowledge, this honor was shared by four other analysts in the department.
- I also hold a JPMorgan Chase & CO 2018 & 2019 O rating as a Compliance Analyst.
- This rating was awarded to analysts who had less than a two percent error rate for all alerts worked and reviewed.
- It was the highest rating available to employees that are not team leads in the Compliance department.
- I received an O rating last year, which was great after a few months of working in an associate role.
COMPLIANCE ANALYST (Contractor)
JPMORGAN CHASE & CO
Brooklyn, New York
11.2015 - 12.2016
- Analyzed and resolved alerts about suspicious activity and negative media concerning clients.
- That included money laundering, terrorism financing, bribery, tax evasion and other predicate offenses.
- Maintained high throughput and quality while processing alerts.
- Wrote advisory memorandums and templates for key stakeholders concerning political figures and other high-risk clients.
- Remained up-to-date regarding the latest standards, developments and best practices for regulatory developments and analyzing alerts.
- Trained and served as a Subject Matter Expert for new and experienced personnel.
LEGAL REPORTER
ASSOCIATION OF CERTIFIED ANTI-MONEY LAUNDERING SPECIALISTS, ACAMS
New York City, New York
07.2015 - 11.2015
- Analyzed news articles, policy reports and Sanctions List Monitor (SWIFT) updates concerning Office of Foreign Assets Control (OFAC), Her Majesty's Treasury (HM Treasury) and the Department of Foreign Affairs and Trade (DFAT) sanctions.
- Informed financial institutions about the developments of my analysis by writing articles or editing notices for publication on the ACAMS website.
- Wrote news articles concerning anti-money laundering controls including Know Your Customer (KYC) publications for the ACAMS website.
- Updated country reports on the ACAMS website with information derived from the International Narcotics Control Strategy Report (2015).
- Wrote articles concerning companies that were required to pay fines by OFAC due to sanctions violations for publication on the ACAMS website.
- Wrote articles about the enforcement actions of the Financial Industry Regulatory Authority (FINRA) against corporations and banks as a result of Anti-money-laundering (AML) and Bank Secrecy Act (BSA) violations or deficiencies.
- Proofread and edited articles which were drafted by other legal reporters.
- Updated excel sheets with information about various assignments/projects.
COMPLIANCE ASSOCIATE INTERN
INTERNATIONAL RELIEF AND DEVELOPMENT
06.2012 - 08.2012
- Reviewed agreements funded by the World Food Program and the World Bank and determined the extent to which they contained disclosure requirements similar to Federal Acquisition Regulations 52.203-13.
- Drafted memorandums to reminded the head quarters and the field staff of (International Relief and Development (IRD) policies.
- Regularly updated electronic reference materials.
- Analyzed hotline report and formulated methodology for verifying allegations against IRD staff.
- Composed case studies for ethics training discussions on gift giving and conflicts of interest.
- Scheduled meetings for the head of the compliance department.
- Summarized policies by creating charts using Visio.
FOREIGN LEGAL SPECIALIST
PUBLIC INTERNATIONAL LAW AND POLICY GROUP
Columbia
01.2011 - 06.2012
- Wrote memorandums about the structure of decentralization of power in South Africa.
- Analyzed best practices and weaknesses for the Ministry of Justice in Kenya.
- Researched and drafted comparative analysis memorandums about executive powers for the Ministry of Justice and Constitutional Affairs in Tanzania.
- Wrote memorandums concerning the implementation of the right to an adequate standard of living for the Commission on Human Rights and Good Governance (CHRAAG), Tanzania.
- Selected research topics for the Syrian National Council in the Middle East.
- Undertook research about the rights of women and minorities for the Syrian National Council.
- Attended meetings on Capitol Hill and produced reports about them CENTER FOR AMERICAN PROGRESS, ENOUGH PROJECT, Washington, District of Columbia.
FOREIGN POLICY INTERN
01.2012 - 05.2012
- Researched and drafted reports about human rights in northern Uganda.
- Produced comparative analysis memorandums on the demobilization, disarmament and reintegration in Sierra Leone, Liberia, Rwanda and Uganda.
- Researched and analyzed the extent to which the Uganda’s Amnesty Act of 2000 deviated from international law standards.
- Wrote news-related blog posts for the Enough Project website.
- Managed administrative matters as required by Policy Analysts.
INTERNATIONAL EDITOR
SUSTAINABLE DEVELOPMENT LAW AND POLICY JOURNAL,WASHINGTON COLLEGE OF LAW, AMERICAN UNIVERSITY
Columbia
09.2011 - 05.2012
- Edited articles produced by academics and legal practitioners for the journal.
- Analyzed articles for legal and factual accuracy.
- Researched and provided additional references for articles.
AMERICAN UNIVERSITY, WASHINGTON COLLEGE OF LAW, DEAN’S FELLOW - ALUMNI RELATIONS OFFICE
Columbia
01.2011 - 05.2011
- Answered enquiries from international students about classes, social activities and networking opportunities at the college.
- Directed international students to online resources that would provide more information about classes and off campus accommodation near the university.
- Interviewed law students from many different countries for an audio project which was uploaded onto the international legal studies website.
- Educated prospective international students about classes at the law school and life as a student at American University, Washington College of Law.
- Managed the International Legal Studies alumni Facebook page.
Education
LLM -
American University, Washington College of Law
2012
Bachelor of Laws (LL.B. with Honors) -
University of Cape Town
2007
Master of Laws - International Law
Skills
- Client Lifecycle Onboarding Tool(s)
- Excel
- Global Sanctions Manager
- Legal Regulatory Change Management Tool
- LexisNexis
- Microsoft PowerPoint
- Microsoft SharePoint
- Microsoft Word
- Visio
- World-Check
- Page 1 of 5
- Administrative, PROGRESS
- Analyst, Publication
- Audio, Publications
- Change Management, Quality
- Charts, Reporting
- Corporate Communications, Research
- Council, Strategy
- Clients, SWIFT
- Client, Tax evasion
- Due diligence, Treasury
- Editing, Visio
- Financing, Website
- Financial, Written
- Inventory, Articles
- Investment Banking
- Legal
- Law
- Materials
- Meetings
- Excel
- Money
- Office
- PowerPoint presentations
- Microsoft PowerPoint
- 2000
- Microsoft Word
- Networking
- Personnel
- Policies
Timeline
CORPORATE FUNCTIONS COMPLIANCE CONDUCT & OPERATIONAL RISK OFFICER
JPMORGAN CHASE & CO
04.2020 - Current
JP Morgan
12.2016 - Current
COMPLIANCE ANALYST (Contractor)
JPMORGAN CHASE & CO
11.2015 - 12.2016
LEGAL REPORTER
ASSOCIATION OF CERTIFIED ANTI-MONEY LAUNDERING SPECIALISTS, ACAMS
07.2015 - 11.2015
COMPLIANCE ASSOCIATE INTERN
INTERNATIONAL RELIEF AND DEVELOPMENT
06.2012 - 08.2012
FOREIGN POLICY INTERN
01.2012 - 05.2012
INTERNATIONAL EDITOR
SUSTAINABLE DEVELOPMENT LAW AND POLICY JOURNAL,WASHINGTON COLLEGE OF LAW, AMERICAN UNIVERSITY
09.2011 - 05.2012
FOREIGN LEGAL SPECIALIST
PUBLIC INTERNATIONAL LAW AND POLICY GROUP
01.2011 - 06.2012
AMERICAN UNIVERSITY, WASHINGTON COLLEGE OF LAW, DEAN’S FELLOW - ALUMNI RELATIONS OFFICE
01.2011 - 05.2011
LLM -
American University, Washington College of Law
Bachelor of Laws (LL.B. with Honors) -
University of Cape Town
Master of Laws - International Law
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