Katharine Smith Email & Phone Number

Difc, Dubai

Managing a team responsible for development and implementation of Compliance, Governance, Risk and Company Secretary frameworks. Acting as a DFSA Authorised Compliance and Anti Money Laundering Officer within the Dubai International Financial Centre (DIFC) for International fund managers, GCC Group companies and start ups.

London, England, United Kingdom

Responsible for compliance functions relating to the Financial Services Authority Authorisation of SEI Investment (Europe) Limited. This included the UK based head office and branches in Ireland, Holland and France. Reporting to the US Head Office. Key responsibilities:• Registered with the FSA (now FCA) for the controlled function - Compliance Officer• Registered with the FSA (now FCA) for the controlled function - Money Laundering Officer• Managing FSA (now FCA) visits• Quarterly Board Reporting and meeting attendance• Reviewing and approving all financial promotions• Obtaining FSA authorisation of new business• Providing compliance input for new product development• Obtaining FSA authorisation of approved persons• Authorisation of personal account dealing• Maintenance and training of the compliance manual• Internal Compliance monitoring and review • Coordination of external legal counsel for compliance issues• Provision of compliance advice to internal departments

London, England, United Kingdom

Initially involved with a Regulatory remediation project responsible for redeveloping the processses and procedures of the Trustee operation required to ensure the Firm complied with its regulatory responsibilities as Trustee to Unit Trusts clients under the UK Investment Management Regualory Organisation. On completion of this project, I took up the role of Unit Trust Administration Manager for the Trustee responsible for the monitoring and review of the Unit Trust Fund Managers and Fund Administration Activities. In addition to ensuring the team met it’s regularatory obligations this role involved, recruiting, training and development of the Trustee Administration team, preparation and presentation of the monthly management reporting , review and monitoring of the procedures and Service Level Agreements, review and authorisation of the expenses, Trustee letter and managers report and accounts, monthly reconciliation and reporting of the Trustee revenue, representing the Trustee at regular client service meetings.As a result of growth within the business, I them moved into the role of Trustee Manager as a member of the Trustee management team responsible for the provision of Trustee services for Unit Trusts ensuring compliance with fund regulations and prudent banking practice, with a specific emphasis on quality and project management. This involved performing Compliance monitoring visits of the Unit Trust Managers and the Fund Administrators of the Unit Trust, reviewing daily compliance monitoring of the Unit Trust Managers fund activities, representation at regular monitoring meetings with Unit Trust Managers and Fund Administrators. Other responsibilities included responsibility for operational control and risk management within the department, Business Continuity planning for the unit, staff development and training, monthly analysis and reporting of the department’s expense and Project Management of the key departmental projects.

Wellington, New Zealand

Registrar for the suite of National Bank Unit Trusts, Superannuation Bond and Superannuation Plans Administration Department. Management of the Custodial accounting needs. This included the establishment and review of the Registry services and internal control procedures, recruiting, training , development and management of the Registry team, client reporting and statutory accounting, implementation of the Registration system, legal compliance with all statutory , audit and internal requirements.

Wellington, New Zealand

Senior Accountant - Audit Division