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Strategies For Success: A Roadmap For The Compliance Professional in Financial Services

Strategies For Success: A Roadmap For The Compliance Professional in Financial Services

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Strategies For Success: A Roadmap For The Compliance Professional in Financial Services

81 pagine
58 minuti
Nov 8, 2019


This book is for persons who are in a compliance, anti-money laundering position, engaged in any way in the fight against financial crime or responsible for regulatory compliance. It is a practical guide for the compliance professional to aid in navigating the challenges which they face daily in risk management and mitigation. It is an effective resource that can be used when having to make difficult decisions or engaging in challenging conversations with colleagues. It should be your go-to when faced with a leadership challenge in your role. A quick reference guide for compliance professionals in financial services.

Sharpen your skills to perform roles and responsibilities as it relates to the compliance function. This resource is a useful and strategic guide for individuals wishing to enter the compliance field and for those desiring to excel within the field. It answers the "how" in becoming a strong compliance leader and will assist with executing your mandate while cultivating the respect of your peers and those in the regulatory environment.
Nov 8, 2019

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Anteprima del libro

Strategies For Success - Tanya McCartney


1. Foreword

2. About The Author

3. Paying it Forward

4. What is Compliance Really About?

5. Effective Mitigation of Compliance Risks

6. Where Compliance and Risk Management Intersect

7. Compliance Leadership

8. The DNA of a Compliance Leader

9. A Look in the Mirror: Assessing Your Leadership Ability

10. Lessons in Leadership: Practical Application

Scenario #1: You Receive A Court Order

Scenario #2: Unusual Transactions

Scenario #3: Pressure to Open Accounts

Scenario #4: Changes in Local Law or Regulations

Scenario #5: Reports of Client Fraudulent Activity

Scenario #6: Local Laws vs. Policy Conflict

Scenario #7: Restraining and Discovery Orders

Scenario #8: A Regulatory Examination

Scenario #9: Correspondent Banking Under Pressure

11. Key Takeaways for You

12. Branding Yourself as A Compliance Leader

13. Conclusion

Copyright © 2019 Tanya McCartney, CAMS

All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval systemn without permission in writing from the publisher.

ISBN 9781543992762

Cover Design By Digital Isle

Email Author:

This book is dedicated to my late grandparents John Basil and Margaret Ethel McCartney of Tarpum Bay Eleuthera, Bahamas as well as my mother Ellen Rosemary McCartney. Thank you for exuding strong leadership skills and inspiring me to always do my best.

Special thanks to my father Alphonso Robert Elliott.

This completed work is also a tribute to my dearly departed friend and colleague Michelle Miller who coached me at the start of the journey and inspired me to get to the finish line.


Tanya McCartney continues to showcase her sense of adventure, intellect, curiosity and determination to share knowledge with others. This book, her latest venture, aligns with these qualities. In it, she encourages people to embrace regulation as an innovative, and growing, industry in a 21st century world, dominated by IT, AI and other developing IT concepts.

A lawyer by training, Tanya was a founding member and director of the Bahamas Association of Compliance Officers. She currently serves as the CEO of Bahamas Financial Services Board (BFBS). From her previous experience in law and banking and her experience in the wide ranging field of 21st century financial services as CEO of BFSB, she gives the reader a unique, expert perspective. I highlight her focus on the importance developing leadership skills and the practical examples that she gives on how these are to be developed and applied.

This book is a must read for those in the regulatory business, those who want to know about the regulatory business and those who want to learn how to lead and help the enterprise grow from strength to strength.

Congratulations Tanya!

Allyson Maynard-Gibson QC

The Hon. Allyson Maynard Gibson QC is a Bahamian barrister, politician, and community rights advocate, particularly with regard to laws affecting women and children. From 2006-2007 and 2012-2017 she was the Attorney General and Minister for Legal Affairs of The Bahamas, and leader of government business in the Senate of The Commonwealth of The Bahamas. From 2002 to 2006, she served as Minister of Financial Services and Investments.

About The Author

Tanya McCartney is a respected leading voice in the development of a strategic plan for the economic sustainability of the Bahamian financial services sector. She has been recognized as an important contributor who facilitates collaboration between the private sector and policymakers regarding global regulatory initiatives that impact the sector.

Tanya is an accomplished barrister having been admitted to the UK and Bahamas Bar. She is a compliance professional, certified anti-money laundering specialist - Association of Certified Anti-Money Laundering Specialists (ACAMS©) and chartered banker. Since 2016, she has served as the CEO and executive director of The Bahamas Financial Services Board. She is the leading advocate for banks and trust companies, insurance, accounting and legal firms, asset managers, along with securities and broker dealer firms. Tanya is a founding member and past president of the Bahamas Association of Compliance Officers (BACO) and currently serves as a founding Co-chairperson of the ACAMS Bahamas Chapter.

Tanya holds a Specialist Certificate in Money Laundering Risk in Betting and Gaming from the International Compliance Association (ICA) and has worked in the hospitality sector as Director of Business Development and Asset Management as well as Associate General Counsel with responsibility for Regulatory Compliance and Money Laundering Reporting Officer. Tanya previously served as Managing Director and Regional Manager for Compliance for Caribbean Banking for a Fortune 500 financial institution with responsibility for the following countries: Bahamas and Turks and Caicos Islands, Cayman Islands, Barbados and the Eastern Caribbean nations. She has also served as legal counsel and compliance officer for several international banks and trust companies in the Bahamas.

Tanya started out in the legal profession in 1997 as Assistant Counsel in the

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