Chris Roots

I graduated from Brunel University in 2003 having read Economics and passed the Investment Management Certificate in 2005.

I joined Citigroup Asset Management in 2003 initially monitoring funds (Equity, Fixed Income and alternative for both institutional and private clients) for pre and post trade Compliance. After the acquisition of Citigroup Asset Management in 2005 by Legg Mason I moved to a broader role supervising the monitoring function while getting involved in broader compliance.

In 2007 I joined Bank of America in Equity Aggregation looking at equity positions in relation to large shareholder and Takeover panel requirements. I also worked in the Control Room covering Conflicts Reviews. After three years I moved into the Front Office as part of the Business Selection and Conflicts Group pre-clearing all Investment Banking and Capital Markets transactions to ensure potential opportunities were maximised while managing conflicts.

In 2013 I joined the GCIB Compliance Advisory team providing primary coverage for Mortgage Products and Commercial banking as well as covering Investment Banking, Corporate Banking, Corporate Broking, Debt and Equity Capital Markets, Syndicate, Credit Risk, and GTS teams.

In early 2015 I joined the Black Swan Group within the Compliance team.

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