Prescott E. Adderley, Esq., Mba, Ica, Cci, Cifp Email & Phone Number

A seasoned professional with more than 13 years of experience in compliance and management. Extensive experience in various sectors including financial services, gaming, and insurance. Skilled in management, compliance, client relationship management, anti-money laundering reporting, tax reporting, internal audit, external audit, corporate governance, operations, and fintech. Established a solid track record in handling client, corporate, and stakeholder needs, resolving issues promptly, and introducing preventive measures to reduce risks. Skilled in overseeing various units at the same time, ensuring adherence to regulations/industry standards, establishing risk frameworks, monitoring goal execution at departmental levels, upholding corporate governance, and aligning legislative requirements and corporate objectives with company objectives.Key Qualifications & Responsibilities• Regulated by the Securities Commission of the Bahamas and the Central Bank of the Bahamas.• Chief Risk & Compliance Officer & Money Laundering Reporting Officer for four CFD/Forex firms in the Bahamas.• Chief Risk & Compliance Officer & Money Laundering Reporting Officer for 3 Broker Dealers in the Bahamas.• Chief Risk & Compliance Officer & Money Laundering Reporting Officer for five Securities Investment Advisory firms in the Bahamas.• Presently Chief Risk & Compliance Officer & Money Laundering Reporting Officer for one FSCP in the Bahamas.• Have programed, created, structured and managed multiple compliance departments concurrently.• Have programed, created structured and managed multiple Risk departments concurrently.• Responsible for the Regulatory audit process.• Responsible Officer for FATCA, CRS, CESRA and Business license filings.• Secured multiple corporate clients for the purpose of my Compliance services exclusively.• Primary contact with all Regulatory bodies.• Licensed New York State Bar Attorney.• International Compliance Officer Association qualified.Functions Summary• Executes annual Compliance, AML, Risk and Tax Reporting programs;