Elizabeth Dorsett-Culmer
Compliance
Nassau,NP
Summary
Experienced with regulatory compliance, focusing on aligning company operations with legal and industry standards. Utilizes comprehensive knowledge of regulatory frameworks to develop and enforce effective compliance strategies. Track record of risk identification and mitigation, ensuring organizational adherence to regulatory requirements and fostering culture of compliance.
Overview
21
21
years of professional experience
4
4
years of post-secondary education
Work History
Corporate Compliance & Regulatory Officer
Caystone Solutions Ltd
12.2017 - Current
- Conducted regulatory compliance reviews to ensure adherence to industry standards.
- Assisted in preparing documentation for regulatory submissions and audits.
- Monitored changes in legislation and communicated updates to relevant departments.
- Participated in risk assessments to identify areas of potential non-compliance.
- Managed records of compliance activities and maintained comprehensive documentation systems.
- Collaborated with cross-functional teams to ensure a comprehensive understanding of regulations and their impact on operations.
- Provided exceptional support during audits or inspections, showcasing the company''s commitment to regulatory excellence.
- Managed the licensing process for new products, navigating complex regulatory frameworks with precision and accuracy.
- Demonstrated leadership in driving initiatives aimed at reducing organizational risk exposure while adhering strictly to regulatory requirements.
- Worked with governance committees to make and evaluate plans.
Documentation & Account Review Officer
Ansbacher (Bahamas) Limited
308 East Bay Street
02.2014 - 12.2017
- Work with Private Banking Teams and Compliance Team to ensure on-boarding documents are received and compliant with AML/CFT regulatory guidelines and internal policies for submission to Compliance department.
- Identify potential risks or issues with the objective to resolve them effectively and with as little disruption to the clients as possible.
- Reserve bank account numbers and create partner connections for all accounts in companies system.
- Conduct Initial Risk Review analysis for all new accounts Perform World Compliance, World Check and Google checks for all individuals and entities connected to an account.
- Communicate actions outstanding points to Relationship Officers which raised from the risk reviews and monitor the clearance of these points.
- Assist the Head of Private Banking with any special projects relative to Private Banking.
- Entered data into databases in a timely and accurate manner.
- Scanned documentation and entered into the database.
- Added new material to file records and created new records.
- Managed wide variety of customer service and administrative tasks to resolve customer issues quickly and efficiently.
Investor Relation Specialist
Citco Fund Services (Bahamas) Limited
One Montague Place, 1st Floor
01.2012 - 09.2012
- Processing of all trade activity and reviewing of Know Your Customer /Anti Money Laundering Documentation (Passports, Social Security Number, Drivers License, etc.) Daily monitoring of bank accounts of incoming and outgoing funds.
- Update and route out trades once contract notes have been sent Follow up with Investor on outstanding Documentation Review of Subscription Agreements and assisting with various projects as assigned Review of subscription agreements Follow up with investors on missing documentation Maintenance of all electronic and physical partner records Maintenance of bank accounts for funds assigned Preparation and review of daily and weekly performance releases Production of partner statements and correspondence Appropriate handling of fund manager and investor calls Assisting with various projects as assigned.
- Entered numerical data into databases in a timely and accurate manner.
- Added new material to file records and created new records.
Investor Relations Administrative Assistant
Citco Fund Services (Bahamas) Limited
One Montague Place, 1st Floor
05.2009 - 12.2011
- Inputting, correcting and verifying trade's files to insure all activity is correctly reflected in the Citco Funds Services applications.
- Send order and cash confirmation acknowledgements to external clients.
- Assist with wire transfers for third party payments in AXI (Citco's Program).
- Assist with the validation and verification of trades on the ECM project (Citco's Program).
- Entered numerical data into databases in a timely and accurate manner.
- Added new material to file records and created new records.
- Reviewed and updated client correspondence files and scheduling database.
- Politely assisted customers in person and via telephone.
Jr. Corporate & Compliance Administrator
Citco Fund Services (Bahamas) Limited Nassau
05.2004 - 05.2009
- Assist in preparing a wide variety of minutes, resolutions and associated documentation, including dealing with share transfers, accounts, issuing power of Attorney etc.
- Help maintain and update database for all client companies.
- Assist in preparation of documentation to de-registration/liquidation of entities.
- Facilitated compliance monitoring processes to ensure adherence to regulatory standards.
- Conducted thorough reviews of client documentation for accuracy and completeness.
- Reviewed documents, files, transcripts, and other records to assess compliance and potential risk.
Skills
- Excellent communication skills
- Database management
- Accurate and detailed
- Works well under pressure
- Attention to detail
- Excellent work ethic
- Strong interpersonal skills
- Quick learner
- Professional and mature
- Maintains confidentiality
- Independent worker
- Dedicated team player
- Regulatory submissions
- Documentation review
- Multitasking
- Regulatory compliance
Education
Certification - Chief Compliance Officers Qualifying Examination
Canadian Securities Institute Canada
Online Learning 03.2025 - Current
Certification - Anti-Money Laundering
ICA- International Compliance Association
Online Learning 05.2020 - 12.2020
Certificate of Completion - Supervisory Skill Builders
America Hotel & Lodging Educational Institute
Online Learning 03.2020 - 04.2020
Certificate of Achievement - Financial Planning
Open 2 Study
Online Learning 11.2016 - 12.2016
Certificate of Participation - Advanced IBC Workshop
Securities Training Institute
Nassau, Bahamas 06.2016 - 06.2016
Certification - Compliance With Merit in Compliance
ICA- International Compliance Association
Online Learning 01.2016 - 05.2016
Certificate of Participation - Intro To Trust Law Workshop
Securities Training Institute
Nassau, Bahamas 08.2015 - 08.2015
Certificate of Participation - Company Law Workshop
Securities Training Institute
Nassau, Bahamas 07.2015 - 07.2015
Certificate of Participation - Intro To Mutual Funds
Securities Training Institute
Nassau, Bahamas 09.2007 - 09.2007
Associate of Science - Business Administration - Computer Applications
City College
Fort Lauderdale , Florida 06.2001 - 09.2003
Timeline
Certification - Chief Compliance Officers Qualifying Examination
Canadian Securities Institute Canada
03.2025 - Current
Certification - Anti-Money Laundering
ICA- International Compliance Association
05.2020 - 12.2020
Certificate of Completion - Supervisory Skill Builders
America Hotel & Lodging Educational Institute
03.2020 - 04.2020
Corporate Compliance & Regulatory Officer
Caystone Solutions Ltd
12.2017 - Current
Certificate of Achievement - Financial Planning
Open 2 Study
11.2016 - 12.2016
Certificate of Participation - Advanced IBC Workshop
Securities Training Institute
06.2016 - 06.2016
Certification - Compliance With Merit in Compliance
ICA- International Compliance Association
01.2016 - 05.2016
Certificate of Participation - Intro To Trust Law Workshop
Securities Training Institute
08.2015 - 08.2015
Certificate of Participation - Company Law Workshop
Securities Training Institute
07.2015 - 07.2015
Documentation & Account Review Officer
Ansbacher (Bahamas) Limited
02.2014 - 12.2017
Investor Relation Specialist
Citco Fund Services (Bahamas) Limited
01.2012 - 09.2012
Investor Relations Administrative Assistant
Citco Fund Services (Bahamas) Limited
05.2009 - 12.2011
Certificate of Participation - Intro To Mutual Funds
Securities Training Institute
09.2007 - 09.2007
Jr. Corporate & Compliance Administrator
Citco Fund Services (Bahamas) Limited Nassau
05.2004 - 05.2009
Associate of Science - Business Administration - Computer Applications
City College
06.2001 - 09.2003
Similar Profiles
Montez L. KerrMontez L. Kerr
Fund / Corporate Accountant at CAYSTONE SOLUTIONS LTDFund / Corporate Accountant at CAYSTONE SOLUTIONS LTD
Elizabeth Dorsett-CulmerElizabeth Dorsett-Culmer
Corporate Compliance & Regulatory Governance Officer at Caystone Solutions LtdCorporate Compliance & Regulatory Governance Officer at Caystone Solutions Ltd
Earleen WeechEarleen Weech
Concierge Officer at Caystone Solutions Ltd.Concierge Officer at Caystone Solutions Ltd.
Thora Cox-GardinerThora Cox-Gardiner
Human Resource Manager at Royal Bahamas Defence ForceHuman Resource Manager at Royal Bahamas Defence Force
Daina JohnsonDaina Johnson
Real Estate Agent Apprentice at Allure RealtyReal Estate Agent Apprentice at Allure Realty