Zara Brown

Manage the execution and delivery of key activities undertaken by the UK Regulatory Independent compliance Risk Management team, including but not limited to: • Senior Managers’ on boarding registration & lifecycle. • Certified Persons’ on boarding registration & lifecycle Engagement with key stakeholders through leading a monthly IAR Working Group • CTFC Individual registration of statutory directors as (Principals) to the National Futures Association • Input into the UK legal entity management, including licensing and reporting • Supervisory responsibilities for local team of Regulatory Compliance analysts • People management and career and talent development responsibility • Provide advisory support on related EMEA Regulatory Compliance policies, procedures and controls. • Providing ongoing support to the EMEA Head of Regulatory in the management and oversight of the BAU processes and various high priority projects. • Manage the development, implementation and maintenance of processes, procedures and controls to include Regulatory Change Management, Records Managements and Manager Control Assessments. • Manage multiple high priority projects driven by Regulatory Change requirements • Participate in cross-functional initiatives across the Belfast office and broader EMEA ICRM function • Manage periodic Quality Assurance of Regulatory ICRM output whilst providing credible challenge • Ensure understanding of audit standards, policies, and local regulations to support Audit requirements • Identify ways of improving efficiencies and eliminating duplicative processes whilst ensuring compliance with Regulatory obligations.