KateBrookstein

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. 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. Kate was also a member of the Management Committee, providing management with guidance on various compliance topics. Before this, she 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:

  • Registered with the FSRA as the Compliance Officer and MLRO for Asset and Investment Managers
  • Registered as the Compliance Officer and MLRO for a dual authorised robo-advisor (DFSA and FSRA)
  • Ongoing compliance and AML consultancy support to a DFSA authorised brokerage firm
  • Producing AML and Compliance Manuals for FSRA, DFSA and onshore authorised firms
  • Assisting with project implementation of the DIFC Data Protection Law (DIFC Law No. 5 of 2020)
  • Delivering AML training to DNFBPs and financial institutions in the ADGM and the DIFC
Call: +971 2 440 2146