Kate Brookstein

Kate supports our clients in the Abu Dhabi Global Market (”ADGM”), Dubai International Financial Centre (“DIFC”), and onshore UAE with their day-to-day data protection, compliance and AML requirements.

As a data protection specialist, Kate assists firms to review their existing data protection framework and works to implement policies and procedures in order to comply with the local data protection regimes, including the DIFC Data Protection Law 2020, ADGM Data Protection Regulations 2021, and the Federal Personal Data Protection Law 2021. Kate is also a Data Protection Officer, acting as the point of contact with the data protection Commissioner, assisting with the compliant resolution of data subject access requests and data breaches, as well as enhancing the firm’s data protection framework. In a compliance capacity, Kate’s experience includes undertaking compliance monitoring programmes with detailed testing of a firm’s systems and controls, identifying weaknesses and providing recommendations for remediation where required.  In addition, Kate prepares bespoke policies and procedures in accordance with the firm’s business activities and applicable regulations.

Kate relocated to the UAE from the UK in April 2019 to join Waystone Compliance Solutions. Prior to this, Kate worked as a Compliance Officer at LEBC Group Ltd, a national independent financial advisor providing financial advisory services relating to investments, pensions and protection products for individuals and organisations. Kate’s role included regulatory reporting and processing Financial Conduct Authority (“FCA”) Approved Person applications, as well as investigating complex complaint cases and liaising with the Financial Ombudsman Service, Pensions Ombudsman and PI Insurers. In addition, Kate was a member of the Management Committee, providing management with guidance on various compliance topics. Prior to this, Kate worked at Gee 7 Group, a UK FCA authorised firm offering financial advice to retail clients on insurance and wealth management products and services. Kate held the roles of Compliance Officer and Training Manager, as well as being authorised by the FCA as a CF1 Director.

Kate has completed various Chartered Insurance Institute and London Institute of Banking and Finance courses, as well as completing the CISI-endorsed International Compliance Officer Certificate and International AML Officer Certificate.  Kate is also an Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified AML Fintech Compliance Associate.

Recent work includes:

• Implementation of a data protection framework in compliance with the DIFC Data protection Law 2020
• Providing data protection training to a FSRA regulated capital management firm in the ADGM
• Acting as the Data Protection Officer of a DIFC based fund manager
• Author of the Middle East Regulatory Update
• Registered as the Compliance Officer and MLRO for a dual authorised robo-advisor (DFSA and FSRA)
• Producing AML and compliance manuals for FSRA, DFSA and onshore authorised firms.