Roger has had responsibility for compliance matters since 2005. He qualified as a Certified Accountant in 1984 whilst working for the leasing and instalment finance subsidiary of HSBC. In 1988 he joined the Investment Management Regulatory Organisation (IMRO) which subsequently became part of the Financial Services Authority. At IMRO he was responsible for managing one of the teams responsible for vetting firms applying for membership and also for monitoring a diverse portfolio of existing members. Such firms covered a wide spectrum of investment management activity ranging from small advisory businesses to large wealth management concerns and major investment management groups.
In 1992 Roger joined the Compliance team within Coutts & Co Private Bank, holding various positions including that of Head of Compliance Monitoring. Responsibilities involved both monitoring compliance with appropriate regulations and acting in a senior consultancy role across all investment business operations. These included portfolio management, investment advisory services, PEP/ISA administration, custodial services and unit trust trustee operations.
