ALAN BROWN
Edinburgh
Summary
Disciplined financial services professional with over 22 years of experience in multi-asset markets. Expertise includes multi-asset dealing, counterparty management, and elite client service, with a proven record of high-volume execution across equities, ETFs, fixed income, and FX in global markets. Known for delivering strategic clarity and maintaining high professional standards in fast-paced environments. Strong collaborator with a focus on integrity and accountability, driving exceptional outcomes through effective communication and relationship building.
Overview
22
22
years of professional experience
Work History
Dealer
Embark Investment Services Ltd/Lloyd's BG
01.2021 - Current
- Trade execution: high‑volume equity, ETF and fixed income trades across UK, EU, US and Asian markets with accuracy and control.
- Delivered consistent, high‑quality FX execution with disciplined P&L monitoring.
- Established and now lead the Asset Screening function, designing and delivering a full end‑to‑end onboarding process that ensures every new security meets Consumer Duty expectations, market suitability requirements, operational risk standards and the wider investment proposition
- Strengthened the entire platform asset universe, correcting hundreds of incorrect market identifiers, removing risks, and aligning cross‑team processes (Transfers, Static Data, Corporate Actions) to support pricing accuracy, customer disclosures and clean product journeys.
- Act as Consumer Duty Champion, supporting fair value assessment and suitability processes.
- Designed and delivered Vulnerable Customer training using TEXAS, BRUCE and CARE models.
- Recognised for outstanding service, MI reporting and rapid‑response problem solving.
- Produced clear, data‑driven MI to support operational and commercial decision‑making.
- Contribute market insight and challenge as an active Investment Committee participant.
- Manage client queries with accuracy, clarity and strong service focus.
- Built and maintain strong relationships with brokers and liquidity providers
Dealer
Alliance Trust Savings
Edinburgh
09.2015 - 01.2021
- Executed trades across diverse asset classes, including equities, ETFs, fixed income, and FX, while monitoring global markets for timely and accurate outcomes.
- Managed client queries with professionalism and clarity, maintaining strong relationships with counterparties while ensuring compliance with regulatory standards.
- Supported end-to-end execution with a focus on service quality, contributing to enhanced client confidence and informed decision-making regarding portfolios.
- Vulnerable Customer Champion: Elected by team members to champion consumer protection standards. While recognising and responding to the needs of vulnerable customers with appropriate care, empathy, and tailored support.
- Operational Risk & Control Discipline: Adherence to compliance frameworks, regulatory obligations and internal risk policies, while proactively identifying, escalating, and mitigating risks across trade processing and client interaction workflows
- Built strong relationships with brokers and liquidity providers
- Worked cross‑functionally with operations, settlements, compliance and risk.
Dealer / ISA Administration/ Middle Office
Brewin Dolphin
Edinburgh
12.2003 - 09.2015
- Supported trade processing and reconciliations within middle office administration
- Assisted in core operational controls, KYC and AML verification checks.
- Managed ISA administration and corporate bulk dealing processes, ensuring accuracy and compliance oversight in high-volume corporate actions.
- Executed trades across multi-asset classes, maintaining standards and delivering quality service to clients and internal teams.
- Monitored global market trends, pricing and liquidity to support optimal trade execution.
- Collaborated with brokers and internal teams to address trade queries and uphold service integrity.
Education
Diploma - Level 4 -
Diploma - Level 4 -
CISI Certificate in Investments - Securities -
IOC - Financial Regulation -
ACSI Professional Membership -
Skills
- Market execution
- Strong influencer
- Commercial acumen
- Market timing
- Trade optimisation
- Effective communication
- Negotiation
- Strong numerical skills
- Analytical skills
- Equity Dealing
- ETF Dealing
- Fixed Income Dealing
- Performance Management
- Talent Management
- Asset Onboarding
- Universe Maintenance
- Operational risk identification
- Operational risk mitigation
- Vulnerable Customer Support
- Resilience
- Self-awareness
- P&L Book Management
- Counterparty relationship management
- Microsoft Word
- Microsoft Excel
- Microsoft PowerPoint
- Microsoft PowerBI
References
Available upon request.
Timeline
Dealer - Embark Investment Services Ltd/Lloyd's BG
01.2021 - Current
Dealer - Alliance Trust Savings
09.2015 - 01.2021
Dealer / ISA Administration/ Middle Office - Brewin Dolphin
12.2003 - 09.2015
Managing Operational Risk in Financial Services - Diploma - Level 4,
Investment Advice Diploma - Diploma - Level 4,
- CISI Certificate in Investments - Securities,
ISA Administration - IOC - Financial Regulation,
- ACSI Professional Membership,