In the role, Roe joins will be responsible for maintaining a primary point of contact for appointed representative firms (ARs) within her allocated area; managing the Training and Competence (T&C) programme; and ensuring compliance with both company and regulatory procedures.
She will also look to identify business risks; support advisers to meet regulatory requirements; conduct audits and reviews; coach and monitor individuals; and assist with technical queries and escalations from file reviews.
Matt Hall, head of audit and supervision, TRM, said: “Her appointment further strengthens…