Roxanne Brooks

Tasked with oversight of the Company's adherence to all regulatory requirements while proactively mitigating risks and safeguarding the Company’s strategic interests.

• Development and execution of compliance strategy aligned with business objectives, emerging risks and opportunities.
• Maintenance of compliance register and horizon scanning to track changing regulatory requirements and emerging trends.
• Policy development and oversight.
• Design and implementation of compliance controls to monitor and mitigate compliance risks.
• Reporting areas of identified risk to Board while demonstrating reduction in legal and/or compliance risk.
• Served as Data Protection Representative ensuring alignment between business and Data Protection Officer in relation to personal data processing activities.
• Responsible as Complaints Officer for management and resolution of customer complaints.

Achievements:

• End to end review of Compliance management framework to identify gaps and mitigate high risks.
• Bolstered the compliance monitoring plant through Initiation of compliance risk assessment on all key business functions.
• Reduced customer complaints and handling time through revision of Complaints Management policies and procedures .
• Embedded data privacy assessments to proactively enhance data governance and protection.
• Improved incident response process rendering quicker response and resolution.

Zastrpay forms part of the Tipico Group, an international provider of sports betting and casino games. Zastrpay is a leading cash payment provider operating as an electronic money institution bringing cash to the digital world.

Responsible for ensuring that the Deriv Group of companies conducts business operations in full compliance with regulatory requirements, guarding the business against risk and protecting its interests.

Core Responsibilities:

• Drove legal strategy for the Deriv Group of companies.
• Maintained Group’s regulatory universe and compliance risk management framework.
• Planning and directing internal programs and policies to empower all departments with knowledge, awareness and practices of regulatory compliance.
• Reviewing and monitoring business contracts and agreements entered into by Deriv Group of companies worldwide.
• Providing legal advisory support and counsel to business on all matters of law.
• Managing all legal claims and litigious matters.

Deriv is one of the World’s largest online brokers offering contracts for differences and other derivatives on forex, stocks and indices, cryptocurrencies, commodities, and derived indices to millions of registered users across the globe. Deriv offers its products to a host of different jurisdictions across the world, employs over 1000 people and operates across 15 different countries.

Achievements:

• Established Group Dispute Resolution capability to ensure successful handling of all legal disputes and proper record-keeping.
• Revised and implemented key corporate agreements including Group employment contracts, data protection agreements, service level agreements and website terms and conditions.
• Provided full legal support to implementation of the B2B business model including commercial drafting and negotiation.
• Applied for banking and other licences across various regulated jurisdictions.
• Reduced regulatory compliance risk through effective compliance risk assessment and remediation.
• Implemented data privacy processes improving data privacy, hygiene and handling.

Accountable for development and oversight of Massmart’s Regulatory Compliance program and its alignment against Walmart Compliance Strategy. Served as a centre of excellence for all matters related to regulatory compliance and responsible sourcing.

Responsible for leading a team of compliance subject matter experts in the development of Massmart’s Regulatory Compliance program within the African market and its alignment against the Walmart Compliance Strategy.

Provision of strategic and specialised advisory support to business executives on all regulatory matters and company liaison with regulatory authorities and other government bodies across a multitude of jurisdictions.

Responsible for overall compliance to ensure adherence to legal standards and in-house standards and controls. Provision of guidance on matters of regulatory and legal compliance, risk management and corporate governance best practices across various jurisdictions.