CURRICULUM VITAE: Robert James Rogers
Career History
Present
Director of Consilium Financial Services Limited
Consilium provides compliance and business consultancy services to the financial
services industry. To date we have undertaken work for banks, life offices, friendly
societies and intermediaries with particular emphasis on the FSA’s Treating
Customers Fairly initiative and, more recently, the Retail Distribution Review.
We have also provided remediation services to firms that have been subject to FSA
enforcement action, as well as advising senior management on high level issues such
as compliance, TCF and management information strategy.
We are currently working closely with the CII on initiatives connected with the Retail
Distribution Review.
May 1991 – June 2006
Compliance Officer – Royal Liver Assurance Limited, Liverpool
January 1988 – May 1991
Assistant Compliance Officer Royal Liver Assurance Limited, Liverpool
February 1983 – January 1988
Team Leader – IB File Department Royal Liver Assurance Limited, Liverpool
January 1978 – January 1983
Clerical Officer Manpower Services Commission
Contact Details
Home Tel. No.:
Mobile Tel. No.:
Email Address:
0151 487 3101
07914818651
robert@curlewgrove.wanadoo.co.uk
Personal Profile
I have 20 years experience in compliance, 16 of which have been in a senior
position.
I have managed a range of compliance projects, including the development of
arrangements to comply with the Lautro Rules on Product and Commission
Disclosure in the mid 1990's, the development of risk based compliance monitoring
procedures, and the specification and implementation of management information
systems for all levels of management.
RJ Rogers CV
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August 2007
More recently, I secured FSA authorisation for, and managed the development of
arrangements to comply with the FSA's requirements in relation to asset
management, mortgages and general insurance for three subsidiary companies.
I have been heavily involved in various aspects of the corporate strategy, including
the creation of a single distribution entity which brought together an IFA operation
and a multi-tied managed sales force. I was also instrumental in the development of
the corporate strategy in relation to Treating Customers Fairly.
I managed a large Department of over 40, with staff based in Head Office, in our
Dublin office, and working from home elsewhere in England.
Throughout my time at in Compliance Royal Liver, I maintained an active role in a
range of industry forums.
UK
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ABI Compliance Panel – a specialist practitioner panel, also used by the FSA
as a pre-consultation forum to test new ideas
FSA Training Advisory Panel – a committee established by the FSA comprising
practitioners and consumer representatives to provide advice on FSA
proposals for developments in its training and competence requirements
AFS Compliance Officers’ Forum – I chaired this group which provided a
discussion and educational forum for compliance staff operating in the friendly
societies arena and a conduit for discussion with the FSA
AFS Training and Competence Sub-Committee – developed the training and
competence strategy for AFS members, acted as an advisory group for
member societies and arranged training events and liaised with the FSA
Home Service Compliance Officers Group – originated as a discussion forum
for compliance officers of home service (IB) offices and developed into a more
general discussion forum for compliance officers as firms moved out of the
home service sector
Republic of Ireland
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Regulatory Development Committee – small group (4 industry members and
the Chief Executive of the Irish Insurance Federation) comprising Chief
Executives and heads of compliance tasked with the development of
proposals for the regulation of the industry for submission to the new
regulator
IIF Marketing Standing Committee – specialist committee operating under the
auspices of the Irish Insurance Federation, the trade body for the insurance
companies operating in Ireland, dealing with marketing and compliance
matters
IIF Money Laundering Reporting Officers Group – specialist group to represent
money laundering reporting officers in Ireland, develop guidance for the
industry and liaise with the Revenue Commissioners and the Garda
I have always maintained a network of contacts within industry, trade bodies, the
regulators and service providers in both the UK and Ireland and, since leaving Royal
Liver, I have expanded this network considerably.
RJ Rogers CV
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August 2007
Skills Summary
Specialist Knowledge
I am conversant with and accustomed to advising senior management of regulated
firms up to Board level on the FSA's high level standards, particularly SYSC, APER,
TCF and compliance strategy, and, most recently, the Retail Distribution Review.
Although I work at a senior level, I have always considered it important to maintain
a high level of technical knowledge on Compliance issues, as it is always necessary
to turn high level strategy into operational compliance procedures.
I also have a detailed knowledge of the Rules of the Financial Regulator and the
Central Bank of Ireland and the Irish Money Laundering Regulations
Skills and Abilities
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Project management skills
Development and implementation of risk based compliance monitoring
programmes
Development of proportionate solutions to compliance issues
Interpretation of and acting upon management information
Interpersonal skills
People management skills
Motivational skills
Professional Qualifications and Training
Chartered Insurance Institute
Associate of the Chartered Insurance Institute
Financial Planning Certificate
Mortgage Advice Qualification
Life Insurance Association
Fellow of the Life Insurance Association (Ireland)
RJ Rogers CV
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August 2007