Summary
Overview
Work History
Education
Additional Information
Accomplishments
Affiliations
Software
Timeline
Generic
SHEREENA L. K. GAITOR-SARGENT

SHEREENA L. K. GAITOR-SARGENT

Compliance Analyst
Nassau,Bahamas

Summary

Knowledgeable Compliance Analyst skilled in developing and implementing tracking and training programs to promote Regulatory Compliance. Hardworking, reliable and focused team player with productive, diligent approach. With over 15years of experience in Banking and Compliance, focused on maximizing company Compliance with applicable laws and standards.

Overview

2
2
Languages
7
7
years of post-secondary education
18
18
years of professional experience

Work History

Compliance Analyst

Winterbotham Trust Company Limited
Nassau, NP
01.2020 - Current
  • Assist with AML/KYC matters raised by Correspondent banks and Brokers on current transactions.
  • Manage new account KYC and other onboarding files for all accounts.
  • Stay current with latest changes to applicable regulatory standards and company procedures.
  • Developed improvement and corrective action plans to bring operations in line with requirements.
  • Review audit and monitoring reports related to customer and client activities.
  • Identify potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
  • Collaborate with Business Development Team to address indications of improper sales practices and market conduct violations during onboarding.

Manager- Banking Transactions Department

Winterbotham Trust Company Limited
Nassau, NP
04.2017 - 12.2019
  • Onboarded new employees, including training, mentoring and new hire documentation.
  • Cross-trained existing employees to maximize team agility and performance.
  • Assisted Account officers with solving problems that arise from client relationships. Attend to client complaints, adjusting operating procedures to improve efficiency.
  • Assured high quality of services rendered to clients. Be alert to new products/services/operating procedures and legislation.
  • Verification and Authorization of daily wire transfers and other transactions within department.
  • Evaluated employees' strengths and assigned tasks based upon experience and training.
  • Delivered feedback to decision-makers regarding employee performance and training needs.

Supervisor- Banking Execution Desk

The Winterbotham Trust Company Limited
Nassau, NP
01.2014 - 03.2017
  • Applied strong leadership talents and problem-solving skills to maintain team efficiency and organize workflows.
  • Handled customer complaints, resolved issues and adjusted policies to meet changing needs.
  • Maintained compliance with company policies, objectives and communication goals.
  • Developed training, task and process guidelines and communicated clear and concise directions to employees.
  • Keep Managers informed of department matters.
  • Assisted with input and verification of wire transfers and other transactions on a daily basis.

Corporate Administrator

The Winterbotham Trust Company Limited
Nassau, NP
09.2010 - 12.2013
  • Administration of foreign and domestic companies including but not limited to: company incorporation, annual government / regulatory fees payment, preparation of minutes/resolutions, preparation and filing of registers, Annual Returns, Annual Statements, preparation of Share Certificates, arranging notarization / preparation of legal opinions, legalization of documents with various foreign consulates, processing license applications (BL, FCSPL, EIL), ensuring accurate client billing, remitting accurate statements of account to clients, arranging preparation of company accounts, ensuring compliance with company and regulatory requirements and company's stated business activity.
  • Administration of bank accounts including but not limited to: processing wire transfer instructions in line with established procedures, remitting accurate statements of account, ensuring compliance with company and regulatory requirements and compliance with companies stated business activities.
  • Ensure ongoing update and accuracy of client files both physical and electronic.

Banking Administrator

The Winterbotham Trust Company Limited
Nassau, Bahamas
05.2008 - 09.2010
  • Carried out day-day-day duties accurately and efficiently.
  • Quickly learned new skills and applied them to daily tasks, improving efficiency and productivity.
  • Prepare Bank reconciliations for local and international Correspondent banks.
  • Petty cash management (distribution, replenishment & reconcilement).
  • Imputed Wire Transfers and Custody messages.
  • Provide administrative support to Assistant Manager, Manager, AVP and VP of banking department as needed regarding departmental duties.
  • Telephone, Fax and Courier recovery.
  • Posting of various journal entries to company systems.
  • Tracking of invoices from and payment to local suppliers.

Account Service Officer

RBC Finco
Nassau, Bahamas
03.2007 - 05.2008
  • Analyzed customer profiles to identify appropriate products and provide value-added approaches to client issues.
  • Established rapport with new clients to increase satisfaction and loyalty.
  • Executed wire transfers, stop payments and account transfers.
  • Handled various accounting transactions.

Senior ASR

RBC Finco
Nassau, NP
01.2007 - 03.2007
  • Answered telephone inquiries on banking products, including checking, savings, loans and lines of credit.
  • Completed highly accurate, high-volume money counts via both manual and machine-driven approaches.
  • Assisted customers with setting up or closing accounts, completing loan applications and signing up for new services.
  • Answered customer inquiries regarding account balances, transaction history, services charges and interest rates..

Relief Client Service officer

RBC Finco
Nassau, Bahamas
08.2006 - 01.2007
  • Opened, closed and updated accounts for customers.
  • Assisted customers with setting up or closing accounts, completing loan applications and signing up for new services.
  • Managed escalated phone calls by applying conflict resolutions skills and extensive knowledge of bank policies, products and services.
  • Balanced teller drawers and ATM cash.
  • Provided advice on different bank products and financial options.

Junior ASR

RBC Finco
Nassau, Bahamas
06.2005 - 01.2006
  • Opened, closed and updated accounts for customers.
  • Managed escalated phone calls by applying conflict resolutions skills and extensive knowledge of bank policies, products and services.
  • Balanced teller drawers and ATM cash.

Bank Teller

RBC Finco
Nassau, Bahamas
01.2004 - 06.2005
  • Reconciled cash drawer and resolved discrepancies.
  • Provided customer records on demand, including account statements and copies of checks.
  • Completed highly accurate, high-volume money counts via both manual and machine-driven approaches.
  • Sold and cross-sold bank products to new and existing customers.

Assistant Secretary

Enviroscape Landscaping & Maintenance Company Ltd
Nassau, Bahamas
06.2001 - 08.2002
  • Answered multi-line phone system and greeted callers enthusiastically.
  • Maintained office supplies inventory by checking stock and ordering new supplies as needed.
  • Created and updated physical records and digital files to maintain current, accurate and compliant documentation.

Education

MBA - Chartered Bankers MBA

BANGOR University
Bangor Wales, United Kingdom
04.2021 - Current

ICA International Diploma - Compliance

ICA- International Compliance Association
United Kingdom
10.2018 - 07.2020

Bachelor of Arts - Finance

Omega College
Nassau, Bahamas
08.2012 - 06.2017

ABIFS (Parts 1 & 2 - Banking

Bahamas Institute of Financial Services
Nassau, Bahamas

Additional Information

  • Self-starter who can work independently and detail- oriented. Excellent team player who listens, thrives on collaborating with diversely talented team members and integrates their divergent thoughts, opinions, and perspectives into meaningful actions. Highly organized and dedicated with a positive attitude. Have excellent written, oral and interpersonal communication skills. Strong analytical, technical, communication and research skills. Highly effective verbal and written communicator who possess a strong knowledge of English and Spanish.

Accomplishments

    Bahamas Financial Service Board (BFSB)- 2015 FSI Excellence Award Achiever of the Year Nominee

Affiliations

Associate Member of The Bahamas Association of Compliance Officer (BACO).

Software

Microsoft Office

Adobe

Timeline

MBA - Chartered Bankers MBA

BANGOR University
04.2021 - Current

Compliance Analyst

Winterbotham Trust Company Limited
01.2020 - Current

ICA International Diploma - Compliance

ICA- International Compliance Association
10.2018 - 07.2020

Manager- Banking Transactions Department

Winterbotham Trust Company Limited
04.2017 - 12.2019

Supervisor- Banking Execution Desk

The Winterbotham Trust Company Limited
01.2014 - 03.2017

Bachelor of Arts - Finance

Omega College
08.2012 - 06.2017

Corporate Administrator

The Winterbotham Trust Company Limited
09.2010 - 12.2013

Banking Administrator

The Winterbotham Trust Company Limited
05.2008 - 09.2010

Account Service Officer

RBC Finco
03.2007 - 05.2008

Senior ASR

RBC Finco
01.2007 - 03.2007

Relief Client Service officer

RBC Finco
08.2006 - 01.2007

Junior ASR

RBC Finco
06.2005 - 01.2006

Bank Teller

RBC Finco
01.2004 - 06.2005

Assistant Secretary

Enviroscape Landscaping & Maintenance Company Ltd
06.2001 - 08.2002

ABIFS (Parts 1 & 2 - Banking

Bahamas Institute of Financial Services

Similar Profiles

CREATE PROFILE
SHEREENA L. K. GAITOR-SARGENTCompliance Analyst