Alva Henfield
Nassau
Summary
Detail-driven Compliance Officer focused on maximizing company compliance with applicable laws and standards. Knowledgeable about internal controls, process evaluations and procedural reviews. Well-versed in policy development and reporting. Well-organized and systematic with excellent communication and planning abilities. Looking for a position in forward- moving environment.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Compliance Officer
Gryphon Investment Advisors (Bahamas) Ltd
05.2023 - Current
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Responded to employee inquiries regarding compliance regulations and procedures.
- 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.
- 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.
- Monitored and assessed compliance risks associated with operational processes and procedures.
Corporate Governance and Internal Operations Admin
The Nastac investment Group Limited
11.2022 - Current
- Human Resources and Team Building and Management
- Responsible for Budget Management
- Responsible for in House Compliance-departmental policies and procedures.
- Responsible for ensuring that Directors and Management Meetings are conducted and minutes kept. Also, ensuring that all parties complete any action items resulting from the meetings.
- Ensure that all Practice Monitoring Reports are addressed using the hybrid methodology.
- Ensure that ISQC1 ia being followed and workpapers are reviewed for compliance with respective standards.
- Responsible for ensuring that all organizational relationships are in good standing.
- Make certain that all licensed registrations with the regulators are functioning in accordance with the respective job descriptions as required.
- Monitor Director's Liabilities, by ensuring that we are following all obligations whether by law or by policy. companies that we hold positions as Directors
- Manage payroll distribution process ensuring timeliness, accuracy, and confidentiality.
- Oversee procedures and develop strategies to optimize daily operations.
- Perform assessments and evaluations of employees.
Compliance Officer/MLRO
The Grand Bahama Cooperative Credit Union
09.2016 - 03.2020
- Managed practical action plans to respond to audit discoveries and compliance violations.
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
- Monitored compliance with processes, policies, procedures and standards in regards to collection and management of annual contributions from shareholder companies.
- Wrote and presented reports outlining findings and recommendations from compliance audits.
- Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
- Counseled committees and department heads regarding compliance risks and standards.
- Oversaw proper maintenance of customer documents as well as ensured records were kept updated.
- Created policies and programs to encourage managers and employees to report suspected fraud and other improprieties without fear of retaliation.
- Established and cultivated productive relationships with regulatory bodies.
- Played key role in development of The Enterprise Wide Risk Management Assessment Document.
- Transaction monitoring
- Monitoring of PEPS and other High Risk Customers
Education
Bachelor of Arts - Human Resources Management
Bahamas Institute of Business And Technology
New Providence2024
Associate of Arts - Banking
College of The Bahamas
New Providence05.1994
Skills
- Compliance Reporting
- Violations and Infractions
- Communication
- Leadership
- Risk Management
- Internal Controls
Affiliations
Bahamas Association of Compliance Officers (BACO)
ACAMS Member
Certification
Anti- Money Laundering Specialist
CAMS-2017
Risk Management Specialist
CUNA-2013
Timeline
Compliance Officer
Gryphon Investment Advisors (Bahamas) Ltd
05.2023 - Current
Corporate Governance and Internal Operations Admin
The Nastac investment Group Limited
11.2022 - Current
Compliance Officer/MLRO
The Grand Bahama Cooperative Credit Union
09.2016 - 03.2020
Bachelor of Arts - Human Resources Management
Bahamas Institute of Business And Technology
Associate of Arts - Banking
College of The Bahamas
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