Roe has over 25 years of experience in financial services advice and compliance and previously worked at HLPartnership as its regional compliance manager. In this role, she conducted risk reviews and firm audits, facilitated compliance training and supported advisers across equity release and protection as well as mortgages.
At The Right Mortgage & Protection Network, Roe will be responsible for maintaining a primary point of contract for appointed representatives (ARs) for her allocated remit. As well as this, she will manage the firm’s Training & Competence programme and ensure compliance with company and regulatory requirements and procedures.
The compliance manager role also involves coaching and monitoring colleagues, aiding with any technical queries and escalations generated from file reviews, and conducting audits and reviews.
Matt Hall, head of audit and supervision at The Right Mortgage & Protection Network, said: “We are very pleased to welcome Samantha to the team and to introduce her to our member firms, who she will be supporting in this role. Her appointment further strengthens our compliance function and reinforces our commitment to supporting advisers in delivering positive client outcomes.
“Samantha brings a wealth of experience and a strong commitment to high standards, and we are excited about the impact she will have across the business.”
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Roe (pictured) added: “I am delighted to be joining TRM as compliance manager. I look forward to working with firms across the network to support high standards of compliance and positive client outcomes.”
Last week, the firm appointed Gemma Penkethman as private medical insurance (PMI) supervision and development manager.
