Kaitlynn Duffy
Glasgow
Summary
Compliance Analyst with a degree in Finance, Investment, and Risk, coupled with extensive experience in communication and trade surveillance within the investment banking sector. Proven expertise in identifying and mitigating market abuse risks, including insider trading and market manipulation, through diligent monitoring and analysis. Adept at tracking breaches, improving compliance processes, and providing policy reminders, with a strong focus on regulatory adherence. Skilled in training new team members and implementing process automation to enhance efficiency. Committed to upholding the highest standards of compliance and supporting business objectives through proactive risk management.
Overview
7
7
years of professional experience
Work history
Compliance Analyst - Investment Banking Client
Capco
Glasgow
03.2024 - 02.2026
- Conduct ongoing monitoring of communications and trade activities to identify potential instances of market abuse, such as insider trading, market manipulation, and front-running.
- Utilize surveillance tools to flag suspicious activity, investigate breaches, and escalate issues in accordance with regulatory requirements.
- Maintain detailed logs of compliance breaches, ensuring accurate tracking and timely reporting to senior management and relevant regulatory bodies.
- Prepare and present reports on breach trends, root cause analyses, and recommended actions to mitigate risks.
- Implement automation solutions for routine tasks such as data entry, report generation, and surveillance checks, leading to significant time savings and reduced error rates.
- Reviewed current legislation and regulatory requirements to address issues of non-compliance.
- Provide training and mentoring to new compliance team members, ensuring they are well-equipped with the knowledge and skills needed to perform their roles effectively.
- Develop onboarding materials and training programs to facilitate a smooth transition for new hires, enhancing overall team performance.
Credit and Collections Advisor
The Zinc Group
Glasgow
04.2022 - 02.2024
- Negotiation skills for convincing customers to meet their financial commitments
- Diplomacy for discussing sensitive matters tactfully
- Written and verbal communication
- Analysing and discussing customer financials
- Exercised sound judgment and discretion when dealing with sensitive client information.
- Performed all debt collection activities in compliance with Financial Conduct Authority (FCA) guidelines.
- Managed and mitigated customer risk by liaising with insurance brokers and external debt collection agencies.
- Generated invoices upon receipt of billing information and tracked collection progress.
Bar staff member
Scotsman Group
11.2021 - 06.2022
- Maintained professional knowledge about various drink recipes and offerings.
- Restocked bar efficiently during busy periods.
- Managed customer disputes effectively, preserving the business reputation.
- Managed bar inventory for efficient operation.
Call centre advisor
Ascensos
04.2021 - 08.2021
- Delivered personalised service to each caller, enhancing overall customer experience.
- Adhered strictly to data protection regulations during all interactions with customers.
- Improved client relations with proactive problem-solving approach.
- Identified sales opportunities whilst addressing customer concerns, boosting company revenue indirectly.
Customer sales assistant
JD Sports
Glasgow, Glasgow City
05.2019 - 08.2020
- Built relationships with customers through friendly interaction and assistance.
- Delivered professional representation of brand during interactions with customers.
- Organised marketing materials, promoting new products and discounts.
- Balanced multiple responsibilities simultaneously without compromising on quality of service provided.
Education
BA Finance, Investment and Risk -
Glasgow Caledonian University
09.2021 - 5 2023
Higher National Diploma - Finance
City of Glasgow College
Glasgow 08/2019 - 05/2021
A-Levels -
St Andrews High School
08/2014 - 05/2019
Skills
- Microsoft Excel
- Risk Management
- Attention to Detail
- Trade analysis
- Process Improvement
- Microsoft Office Suite
- Regulatory compliance
- Information gathering
- Market analysis
- Public speaking
Timeline
Compliance Analyst - Investment Banking Client
Capco
03.2024 - 02.2026
Credit and Collections Advisor
The Zinc Group
04.2022 - 02.2024
Bar staff member
Scotsman Group
11.2021 - 06.2022
BA Finance, Investment and Risk -
Glasgow Caledonian University
09.2021 - 5 2023
Call centre advisor
Ascensos
04.2021 - 08.2021
Customer sales assistant
JD Sports
05.2019 - 08.2020
Higher National Diploma - Finance
City of Glasgow College
08/2019 - 05/2021
A-Levels -
St Andrews High School
08/2014 - 05/2019