Piers Roberts Email & Phone Number

Sudbury, Suffolk

I managed a team of compliance officers for ISP London Branch. The purpose of the team is to ensure strict conformity with all current applicable laws, guidelines and regulations provided by the competent regulatory authorities. Particular focus on FCA and PRA rules as well as internal group and branch policies and procedures.

London

As Head of Compliance for the London branches of Intesa Sanpaolo and Banca IMI, I was responsible for the oversight of the Compliance function which included management and oversight of the MLRO (SMF17) and the AML team to ensure conformity with all relevant applicable laws, guidelines and regulations concerning the activities of the London Branches. My duties included ensuring compliance with the rules and guidance provided by the Bank of England, Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) (collectively the UK Regulators), any other applicable rules and regulations as well as ISP Group Compliance policies and procedures. I liaised with relevant London Branch and/or ISP Group personnel and Departments if and when necessary and update and advise the management of the Branches of all regulatory matters.

London

As Head of Legal at Banca IMI, London, I provided full legal services to the London Branch of Banca IMI as to all aspects of its day to day operations in the UK in order to ensure compliance with relevant applicable laws and regulations. This involved liaising with Head Office to ensure proper implementation of Intesa Sanpaolo Group legal and regulatory strategy. I managed and minimised the branch legal risks as a result of operations in the UK and other jurisdictions. I provided legal advice on capital markets, investment banking, structured finance and commercial banking products, services and activities conducted by business units in Banca IMI London Branch. I managed relationships with external counsel, where specialist advice or non-UK legal advice is required and ensured the alignment of the Branch legal practice with Banca IMI and Intesa Sanpaolo Group standards. Finally I liaised with relevant regulatory authorities in UK in cooperation with the Banca IMI and Intesa Sanpaolo Compliance team.

London

Senior in-house regulatory counsel responsible for providing legal support for (i) establishment of independent Corporate Finance Advisory team, (ii) corporate finance transactions themselves, and (iii) establishment of legal support for an ECM origination team. In particular advising senior management on the issues involved in establishing an independent advisory business and ensuring that proposed operating structure for the business is compliant with FSA requirements.

Sole responsiblity for legal management of all underwritten and lead-managed cash equity transactions: IPOs, secondary offers, block trades.Areas of responsibility:Selection and instruction of counsel, engagement letter drafting, client negotiations, syndicate negotiations, underwriting agreement, prospectus review, selling restrictions advice, market announcements, internal co-ordinations, Commitment Committee and New Client Committee member.Other - External Counsel Relationship Manager (developing Lehman relationship with law firms; Scope [charity] relationship manager.

Co-head of the London Branch Legal Department and Head of Investment Banking Legal, ING Europe.Department managementManagement responsibilities included recruitment and staffing matters, performance appraisals, salary reviews, bonus allocations. (i) Provision of legal advice to the European Investment Banking Division. Products included M&A, IPOs, privatisations, private placements, securitisations, debt issues, restructurings, and general corporate financial advice.(ii) Provision of legal advice to Corporate Financial Services Division. Products included acquisition finance, project finance, insurance banking, trade and structured finance.(iii) Instigated ING's first global law firm panel.

Interim contract working in the London Legal Department - areas included company secretarial and securities offerings.

Advising on legal aspects of commercial lending portfolio. Products included syndicated loans, bilateral loans, property lending, leasing finance, insolvency and debt restructuring.

Pass, Bar Finals, Pass

Activities and Societies: Called to the Bar - Honourable Society Middle Temple

Hons, Law

Gce A Levels