Based in our ADGM office, Kate is part of our Outsourcing Team, supporting regulated firms with their day-to-day compliance and AML requirements and acting as the authorised Compliance Officer and MLRO for both FSRA and DFSA-regulated firms. In addition to her outsource roles, Kate assists our Authorisations Team with regulatory applications, including drafting compliance and AML manuals relevant to the activities of the applicant firm.
Kate relocated to the UAE from the UK in April 2019 to join CCL Compliance. Prior to this, Kate worked as a Compliance Officer at LEBC Group Ltd, a national independent financial advisor who provide financial advisory services relating to investments, pensions and protection products for individuals and organisations. Kate’s role included regulatory reporting and processing FCA Approved Person applications, as well as the complaint handling of complex cases and liaising with 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 Financial Conduct Authority (“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.
Recent work includes: