Director of Distribution Compliance
Roger is an FCA Senior Management Function holder, taking accountability for compliance and oversight and money laundering reporting within HUB Financial Solutions, together with being the Chief Risk Officer for the HUB group of companies. These accountabilities ensure that the leadership and management of the distribution company is carried out in line with FCA principles, rules and guidance and within an agreed risk framework of prudent and effective controls.
Prior to joining Just, Roger worked for Commercial Union through its two mergers to become Aviva. His responsibilities covered training and competence strategy and operational policy for retail advisers and back-office staff. He was also responsible for the compliance management of a subsidiary new start retail advice firm and a field audit manager for 300 appointed representatives and directly authorised direct sales branches.
Roger has over 30 years of experience in financial services, nearly all of which is in the field of retail compliance. He has provided thought and regulatory leadership to the design of HUB-FS's automated retirement services. He is the lead for all Group Compliance support for HUB Group, including: Advice standards and quality assurance; partner due diligence; financial promotions; financial crime; regulatory developments; as well as the oversight responsibility for all the distribution company advised and non-advised services.
Roger also manages distribution regulatory relationships, which entails engagement with the FCA, Financial Services Consumer Panel, Equity Release Council, European Pensions and Property Asset Release Group (EPPARG) and key business partners. He is an Associate of the Chartered Insurance Institute and the Personal Finance Society, a Chartered Insurer and holds an Advanced Financial Planning Certificate.