· Advise on risk measurement methods in account opening area that meet industry best practice and regulatory requirements

· Maintain a risk management framework

· Risk profiling of existing and new clients

· Ensure an adequate Business Continuity Plan for the company as it pertains to Natural Disasters.

The maintenance of principal corporate records and other records

•  Assistance in the performance of any annual audits or financial statements by the registered firm
•  Ensuring that the operations of the registered firm are in compliance with the laws of the Bahamas
• Review and maintenance of books and recordkeeping requirements and ensuring that all reports, communications, and other documents are received by the management representative to enable it to properly discharge its record-keeping requirements
•  Access to records by the Securities Commission to ensure effective and regulatory oversight
•  Reviewing new account applications for due diligence completeness
•  Providing agreed upon reporting to senior management for effective corporate governance
•  Liaising with Securities Commission and other relevant local and international regulators
•  Registered with Securities Commission as Compliance Officer
•  Maintain Complaints diary
• Create, update and amend required policies from time to time

• Maintain suspicious transaction report file
• Account activity management and review
• Registered with FIU as MLRO officer
• Provide annual Anti Money Laundering and Anti-Terrorism training to staff

• FATCA Reporting Officer
• Assist with FATCA reporting and relevant procedures

· Assist with OECD reporting and relevant procedures

· AEOI/CRS Reporting Officer