Anna Nyaundi
George Town,Grand Cayman
Summary
knowledgeable Compliance Manager with a 15 year record of success in policy development, program management, risk mitigation and operational planning. Proficient in maintaining regulatory compliance and correcting systemic issues in collaboration with business managers. Team-focused, consistent and diplomatic with a focus on building strategic alliances and enhancing company standing.
Overview
16
16
years of professional experience
Work History
Compliance Manager and AMLCO/MLRO
Vantage International Group Ltd.
Cayman Islands
08.2018 - Current
- Responsible for managing all compliance, risk and legal matters, setting up the business from scratch, implementing business practices, policies and procedures
- Prepare compliance reports, manage back office team, and deliver regulatory training.
- Prepared and presented comprehensive reports to upper management and audit team, covering issues and recommendations.
- Delivered subject matter expertise for internal and external customers on compliance best practices and quality control.
- Prepared records and data for regular audits.
- Reviewed documents, files, transcripts, and other records to assess compliance and potential risk.
Compliance Officer and AMLCO/MLRO
Carey Olsen
George Town, Grand Cayman
2016 - 2018
- Responsible for compliance matters, onboarding, reporting, and maintenance of business policies and procedures
- Collaborated with different jurisdictions to identify and improve regulatory issues.
- Managed practical action plans to respond to audit discoveries and compliance violations.
- Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Assisted with development of compliance objectives and strategies.
Senior Compliance Officer and DMLRO
Caledonian Global Financial Services
George Town, Grand Cayman
2014 - 2016
- Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Monitored and assessed compliance risks associated with operational processes and procedures.
- Prepared and submitted regulatory filings in timely manner.
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
Senior Compliance Officer
Scotiabank & Trust (Cayman) Ltd
George Town, Grand Cayman
2012 - 2014
- Updated compliance responsibility matrices, maintained KYC records, provided advice and counsel, conducted training, ensured compliance with policies and procedures.
- Managed practical action plans to respond to audit discoveries and compliance violations.
- Investigated and documented all violations of compliance regulations to determine necessary improvements.
- Prepared and submitted regulatory filings in timely manner.
- Identified, investigated and documented compliance violations and recommended corrective measures.
Compliance Associate
DMS Management Ltd.
01.2010 - 01.2012
- Monitored KYC records, assisted with investor queries, maintained due diligence, conducted training, and provided reports on compliance efforts.
Compliance Officer
CITCO Cayman
George Town, Grand Cayman
2008 - 2009
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Developed and maintained compliance database, tracking all compliance activities and documents.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
- Assisted with development of compliance objectives and strategies.
- Kept informed regarding pending industry changes, trends or best practices.
Education
Certified Anti-Money Laundering Specialist -
Association of Certified Anti-Money Laundering Specialists
International Diploma in Compliance -
International Compliance Association
Anti-Money Laundering Certified Associate -
Florida International Bankers Association
LL.B Law (Hons) -
London Guildhall University
Skills
- Document Reviews and analysis
- Risk Reviews
- Audits Management
- Regulatory Documentation
- Conducting Investigations
- Regulatory Compliance Oversight
- Investigative Skills
- Risk Analysis
- Compliance Monitoring
- Corporate Governance
- Documentation Review
- Risk Assessments
- Training Delivery
- Analytical Thinking
- Regulatory Standards
Personal Information
Qualifications: Int.Dip(Comp), AML/CA
Timeline
Compliance Manager and AMLCO/MLRO
Vantage International Group Ltd.
08.2018 - Current
Compliance Officer and AMLCO/MLRO
Carey Olsen
2016 - 2018
Senior Compliance Officer
Scotiabank & Trust (Cayman) Ltd
2012 - 2014
Compliance Associate
DMS Management Ltd.
01.2010 - 01.2012
Compliance Officer
CITCO Cayman
2008 - 2009
Certified Anti-Money Laundering Specialist -
Association of Certified Anti-Money Laundering Specialists
International Diploma in Compliance -
International Compliance Association
Anti-Money Laundering Certified Associate -
Florida International Bankers Association
LL.B Law (Hons) -
London Guildhall University
Senior Compliance Officer and DMLRO
Caledonian Global Financial Services
2014 - 2016
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