Open to opportunities

Tamika Smith

@tamikasmith

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Compliance professional specializing in AML/CFT inspections, KYC reviews, and backlog resolution.

Trinidad and Tobago

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What I'm looking for

I’m looking to grow in compliance work focused on AML/CFT testing, KYC reviews, and regulatory inspections—where I can own cases end-to-end, improve reporting and remediation outcomes, and continue toward CAMS certification.

I’m a compliance professional with 2.5 years at Trinidad and Tobago’s national securities regulator, focused on AML/CFT inspection and compliance testing across CDD/EDD, KYC, and compliance program reviews. I helped clear a two-year registrant filing backlog in four months, and I supported contravention reporting and regulatory correspondence to drive clear next steps for registrants.

I bring strong documentation discipline—tracing unaccounted filings across email, a Records Management System, and physical archives—then translating findings into detailed section notes and remediation recommendations. I also adapt smoothly to changing inspection delivery, including shifting fully remote during COVID-19, while maintaining caseload continuity and monitoring remediation timelines against agreed deadlines.

Experience

Work history, roles, and key accomplishments

Finance Researcher

Trinidad and Tobago Securities and Exchange Commission

Jan 2022 - Jul 2022 (6 months)

Partnered with a colleague to clear a two-year backlog of registrant filings in four months, ahead of the original target. Traced unaccounted filings, issued contravention notices and reminders, and generated contravention reports for escalation.

Regulatory Compliance CDD EDD KYC Data Reconciliation Documentation Review Records Management KPI Reporting Stakeholder Communication Registrant Portfolio Management

Financial Research Officer

Trinidad and Tobago Securities and Exchange Commission

Jul 2019 - Jun 2021 (1 year 11 months)

Supported onsite and remote AML/CFT compliance reviews of registrant policies, procedures, and practices. Authored section notes with findings and remediation recommendations, tracked remediation evidence against deadlines, and adapted quickly to fully remote inspections during COVID-19.

AML CFT Compliance Compliance Review CDD EDD KYC Transaction Monitoring Wealth Management Corporate Governance Documentation Review Findings and Remediation Recommendations

Brand Ambassador

Altruism Solutions Limited

Nov 2016 - Jul 2019 (2 years 8 months)

Represented client brands at retail locations and public events by distributing product samples and sharing product knowledge. Completed opening/closing stock checks and produced post-event reports on sales impact, consumer feedback, and recommendations.

Brand Representation Consumer Engagement Stock Checks