Gigi Vorlaufer

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 After having lead compliance teams at various non-banking financial institutions, Gigi established the company towards the end of 2014, to add value to, and assist, financial institutions to comply with their legislative, and regulatory, obligations. Gigi holds the following qualifications/designations: Honours Bachelor of Commerce (Business Management in Financial Management); Bachelor of Commerce (with specialisation in Law); Bachelor of Accounting Science; Compliance Practitioner (CPrac). She has 31 years’ experience in the financial sector, with the last 22 of those years in the compliance and risk management field. Gigi has excelled in creating order out of chaos. Her specialties include solving crises, and optimising teams, to function efficiently. She has succeeded in implementing regulatory compliance frameworks and investment compliance monitoring systems, from scratch. She confidently interacts well at executive level, with industry bodies, and regulators. She provides compliance-related training services to companies, and industry bodies, has an exceptional eye for detail, and has developed an understanding of the specific needs of people, and companies. 

Vorlaufer Compliance (October 2014 - Present)

• Director (sole)
• Shareholder (sole)

University of the Free State (January 2019 – present (part-time)) (January 2016 – December 2016 (part-time))

• Examiner/Moderator for Post-graduate Diploma in Financial Planning

Alexander Forbes Investments (previously known as Investment Solutions) (October 2011 – February 2015)  

• Head: Compliance (March 2013 – February 2015)  
• Head: Portfolio Compliance and Reporting (October 2011 – March 2013)   

Momentum Asset Management (previously known as RMB Asset Management) (July 2007 – October 2011) 

• Manager: Compliance  

STANLIB (September 1998 – June 2007) (established by merger during 2002 between SCMB Asset Management & Liberty Asset Management)  

• Compliance Manager (February 2005 – June 2007)  
• Risk Manager (September 2003 – February 2005) 
• Deputy Head of Business Practice (May 2002 – August 2003)  
• Manager: Performance Reporting (November 2001 - May 2002)  
• Project Team Member (August 2001 – November 2001)  
• Head of Client Reporting (September 1998 – August 2001)  

Nedgroup Investments (01 September 1995 – 31 August 1998) (established by merger during 1998 between UAL Merchant Bank, Syfrets & Nedbank Investment Bank)  

• Institutional Client Manager  

Other roles include that of Money Market dealer, Equity dealer and Property administrator.

University of South Africa (UNISA) 

• Honours Bachelor of Commerce (Business Management in Financial Management) 
• Bachelor of Commerce (with specialisation in Law) 
• Bachelor of Accounting Science 

Compliance Institute of Southern Africa

• Compliance Practitioner (CPrac)

Financial Services Conduct Authority (FSCA)

• First Level Regulatory Examination (RE1): FSPs (sole proprietors) and Key Individuals in categories I, II, IIA, III and IV 
• First Level Regulatory Examination (RE3): FSPs (sole proprietors) and Key Individuals in categories II & IIA 
• First Level Regulatory Examination (RE4): FSPs (sole proprietors) and Key Individuals in Category III

South African Institute of Financial Markets (SAIFM) 

• Registered Persons Examinations: JSE Derivatives Compliance Officer Exam
• Registered Persons Examinations: Long-term debt module
• Registered Persons Examinations: Equity module