New Head of Compliance Division Appointed

Mrs. Audrey Roe has been promoted to Head of the Compliance Division, effective 1 August 2016. She also assumes the role of Money Laundering Reporting Officer for the Authority.

 

Mrs. Roe had been serving as Deputy Head of the division since 1 November 2006. In her new role, she is responsible for managing and directing the enforcement actions taken by the Authority, overseeing the due diligence process on persons applying to be approved persons on entities regulated by the Authority, and assisting on overseas regulatory requests of a non-routine nature. Her duties also include working closely with the Financial Reporting Authority concerning any suspicion of money laundering identified in the course of the Authority’s supervisory functions.

Managing Director, Mrs. Cindy Scotland, said, “We are pleased that Audrey has accepted the challenge of heading the Compliance Division. We are confident that her 10 years as Deputy Head have provided her with the tools required to be successful in her new role.”

 

Prior to joining the Authority, Mrs. Roe worked for over 20 years in investment management services, the majority of which was spent as a portfolio manager. She held the post of Assistant Vice President, Investments, at CIBC Global Asset Management (Cayman) Limited and prior to that she was the Assistant Manager, Investments, at CIBC Bank & Trust Company (Cayman) Limited. Her career began in the financial services sector at NatWest International (now Coutts).

 

Mrs. Roe holds a Bachelor of Arts degree (Finance) from Saint Leo University, Florida. She is a Chartered Investment Manager (CIM®), a Certified Anti-Money Laundering Specialist (CAMS) and also holds the Canadian Securities Course Certificate.

 

News Source: Press Release

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