Heather B. Email & Phone Number

Dubai, United Arab Emirates

• Developing a new trade reporting regime for fixed income securities, collaborating with internal and external stakeholders to shape policy and produce technical guidance.• Conducting investigations into suspicious transactions and market abuse, ensuring compliance with markets rules and market transparency.• Assisting in implementing a bespoke in-house market surveillance system, addressing OTC and exchange-traded asset classes.• Reviewing and recommending updates to DFSA market regulations, working closely with Policy and Legal teams.• Reviewing crypto token regime applications and submitting recommendations to senior management.• Supervising the exchanges within the Dubai International Financial Centre freezone.

London, England, United Kingdom

• Conducted specialist transaction reporting compliance reviews for investment firms, performing in-depth data analysis to identify reporting issues.• Developed FCA's policy and supervisory approach to post-Brexit regulatory reporting and advised on MiFID II compliance.• Drafted regulatory papers and communications to senior management and industry stakeholders.• Built extensive knowledge of Markets in Financial Instruments Regulation and Directive (MiFIR/ MiFID II) as on-shored post-Brexit• Awarded two "At Our Best" recognitions for outstanding contributions to regulatory projects.

London, England, United Kingdom

• Advised listed companies on compliance with the FCA’s Listing Rules (LR) and Disclosure and Transparency Rules (DTR).• Monitored media and market activity to identify ‘real-time' disclosure violations, and maintain adherence to regulatory obligations.• Engaged with companies on sensitive market events, supporting timely public disclosures and enacting suspension requests, where necessary, to ensure an orderly and transparent market.

London, United Kingdom

• Supported market oversight strategy through policy development and cross-jurisdictional collaborations.• Drafted briefings and regulatory reports for senior management and the CEO’s office, collaborating with internal stakeholders to provide insights into market trends and policy impacts.• Led and assisted on FCA-wide policy and strategy work streams, including a project to refresh the organisation’s 5-year Market Abuse Strategy.• Managed sensitive information responsibly and discreetly.• Built and maintained international and domestic stakeholder relationships.

London, England, United Kingdom

• Evaluated reports of unauthorised business used strong working knowledge of the Regulated Activites Order (RAO).• Investigated and progressed cases to enforcement, assisting on case analysis where necessary.• Liaised with internal and external stakeholders and presented cases to senior management.• Provided analysis and recommendations to senior management whilst maintaining the need to respond to a high volume of cases in a timely manner.

London, United Kingdom

• Recipient of 'At our Best Award' for ESMA short-selling project.• Investigated cases involving potential breaches of the Market Abuse regime (MAR), the Disclosure and Transparency Directive (DTR) and the Listing Rules (LR). • Conducted thematic reviews of current processes.• Analysed bodies of evidence in complex cases, exercising sound judgement on validity of cases through research and application of strong regulatory knowledge.

Sydney, Australia

• Conducted real-time surveillance of Australian securities exchanges, identifying potential breaches of Market Integrity Rules.• Investigated potential breaches of the Market Integrity Rules (MIR) coordinating with brokers and Enforcement to develop cases.• Assisted in policy review of ASIC’s MIRs and facilitated frequent international regulatory discussions with the FCA.

East Croydon

• Assisted in reviewing and implementing effective risk management controls. • Supported the FP&A Manager in enhancing profitability, financial controls, data integrity and reporting through extensive data analysis/ manipulation, investigation and subsequent design and enhancement of processes.• Conducted data analysis for pricing of insurance and service products to support the Underwriting teams to maintain a level of overall profitability for the company.

Park Lane, London

• Ensured all invoices sent to our customers are accurate, complete, timely and consistent.• Investigated any credit discrepancies in a timely manner. • Balanced all postings and payments in Opera.• Dealt with client queries both written and by telephone in a professional, timely and prompt manner. • Established and maintained files for all credit accounts to include City Ledger invoices, remittances and paid invoices.• Allocated payments received (BACS, City Ledger cheques, Washington bills) against respective accounts or as advance deposits.

Virginia Water, Surrey

• Used organisational skills to create rotas.• Delegated effectively to other members of staff.• Used SAP for order and stock management – reworked and made the stocktaking system within the store effectively more efficient. • Built effective relationships with main shareholders (CEO) and other departmental managers.• Used effective sales strategies to retain key accounts and secure repeat business Achievements: 2013- Won Spain Trip/ Magnum of La Grande Année Bollinger 2004.2012- Won Champagne Trip.

• Served customers at the till, restocking shelves and cleaning.• Adapted to new requirements quickly, taking on additional responsibilities where necessary and on short-notice.

• Responsible for greeting and seating guests and recording accurate guest orders.• Delivered exceptional customer service.• Completed all daily cleaning tasks and waitressing at lunch on occasion.

Master'S Degree, Economics, Distinction

Level 3-Advanced, Wine And Spirits, Distinction

Level 2-Intermediate, Wine And Spirits, Merit

Bachelor'S Degree, Economics

Activities and Societies: Surfing Club, Social Netball, Beatbullying.com volunteering. RAG Egham Clean-up Scheme.

High School, Gcse And A Level, 13 A*-C Gcse'S And Aac At A-Level

Activities and Societies: Netball Club, Rounders Club, Debate Club, Gifted and Talented, Young Enterprise, Senior Prefect.