Beth Breslin

Senior Compliance Associate

Elizabeth (‘Beth’) Breslin is originally from Edinburgh, relocating after around 5 years in London. She went to Aberdeen University until June 2014, where she obtained an MA in Finance. Her experience is investment related, from a platform provider angle.

Post Aberdeen, she initially went to work at FNZ in Edinburgh, for around 15 months, as a Distributions and Corporate Actions officer, and her primary responsibility was for the maintenance, control, governance and the reporting of investment distribution activities across FNZ.

She then moved to London to work for Transact from October 2015 until to date, in various roles as follows:

  • Asset Income Administrator – including a six-month project secondment. This role involved managing administration of client money and assets held by Transact for clients.
  • Asset Servicing and Onboarding – including a 5-month project on MiFID reporting. This included liaising directly with fund managers to gather a range of market data to create internal reports.
  • Since December 2018, working as a Compliance Regulatory Relations Analyst which was a full time role in the compliance department responsible for monitoring, assessing and advising on the impact of emerging regulation and regulatory initiatives across the Group. Also included input to the monthly regulatory developments communication, co-ordinating regulator desktop reviews and visits to the group, and administration of applications/FCA notifications for approved persons, firm applications etc. Also managing external complaints to the business.

She is currently studying for the CISI Diploma in Investment Compliance, having done Unit 1 (Introduction to Securities) and Unit 2 – UK Financial Regulations so far.