Tamara Stuart

About Tamara Stuart

I am a Data & AI division Senior Manager at Macquarie Group with 9 year’s experience in the global regulatory data governance space.As a financial regulations data governance leader, I am the principal author of the firm’s first Regulatory Record Keeping Standard as well as the accompanying capabilities guideline. Subject matter expertise is in FinReg trade related records compliance, vendor management, and process improvement to ensure that the records framework is effective and fit for purpose. I also collaborate with internal and external stakeholders, such as Group General Counsel, Compliance, Business Units, and Suppliers, to provide guidance, facilitation, and coordination on data related policy and procedures. As a member of the firm’s Privacy Working Group, I’ve written Privacy Impact Assessments and participate in action planning to operationalize data privacy requirements.My ongoing mission is to enable Macquarie Group, a leading multinational firm and a top-ranked mergers and acquisitions advisor, to achieve its strategic goals while maintaining a high standard of compliance with the obligations mandated by the financial regulators where we do business.

Experience

1. Senior Manager, Data & Ai Division

   Macquarie Group

   May 2016 — Present · New York, NY, US

   Sr. Mgr, Regulatory Data Governance in a Line 1.5LoD role. Principal author of the firm’s first Regulatory Record Keeping Standard and accompanying capabilities guideline, which has represented a paradigm shift in how the firm manages the material risk that is regulatory record keeping. Within the global enterprise environment, I ensure the records framework is effective and fit for purpose to sustain regulatory records compliance with respect to content capture, proper security controls, and robust supplier due diligence requirements to meet financial regulation compliance with standards such as US SEC, FINRA, and CFTC regulatory requirements for swap dealer, security-based swap dealer, FCM, and broker dealer entities, and record keeping obligations as part of AIFMD and MiFIDII regulations in the EMEA region.Third-Party ​R​isk ​M​anager. As global vendor manager for the material critical vendors of data storage across all regions, responsible for internal risk assurance and mitigation activities, including SOC2 reviews, cyber security assessment follow up actions risk remediation or risk acceptance, contingency planning, and regulatory required third-party contract mandates.*Serve as champion of data governance *Deliver Business Unit (BU) consulting and partner with BUs to help scope and deliver successful adoption of meeting records governance framework requirements, resulting in 75% prioritized obligations now brought under governance, achieved in 12 months.*Develop and maintain training materials on regulatory record keeping processes to ensure sustained compliance *Drive framework development and effective operating model to support BUs data risk buydown strategies *Assist in defining metrics that support monitoring and reporting on data governance activities *Regularly engage in cross-functional team collaboration

Education

• Rutgers University

  Bachelor’s Degree, Journalism

  1987 — 1991

• Sacred Heart University

  Master’s Degree, Elementary Education and Teaching

  2000 — 2002

• American University Washington College of Law

  Law - 1st Year

  1991 — 1992