Drew Roberts
Mr. Roberts began his career after graduating from the University of Utah in Finance in the late 1970’s. He worked for a small local bank as a trust and investments auditor. He gained invaluable knowledge of policies and procedures with regards to banking and became fascinated with the ever-changing compliance arena. He developed procedures for the investment area to mitigate risks associated with the settling of the bank position, sales of municipal bonds, APR calculations of deposit instruments, and risks associated with asset liability management.

Mr. Roberts took these skills and utilized them with a medium sized regional bank, becoming Vice President of Capital Markets Operations and Administration. In this role, Mr. Roberts was assigned as Compliance Officer for the division. He developed and implemented audit procedures to comply with the OCC, and the Municipal Securities Rulemaking Board (MSRB). Mr. Roberts assisted in the implementation of a portion of the Tax Equity and Fiscal Responsibility Act (TEFRA) in the mid 1980’s, having developed an automated way of allocating bank owned securities as collateral to money market funds.

In the early 1990’s Mr. Roberts became Compliance Officer for a large trust operation. He developed operational compliance programs for the division and sat on several compliance committees in the bank. Mr. Roberts developed procedures to be in compliance with OCC, NASD, SEC, and FDIC regulations. He has become well versed not only in the regulations, but with the various interpretations of said regulations.

Mr. Roberts was involved in various compliance workshops and external programs. He has been involved with SEC regulations, having served as CFO for various public companies and was charged with the production of regulatory reports such as the 10k, 10q, 8k, etc. Mr. Roberts has authored various opinions on compliance issues from MSRB and SEC compliance to most recently the FDIC and the Sarbanes Oxley Act as it relates to small independent banks.

Mr. Roberts has spent the last 25 years learning and enjoying the nuances of what has become to many a very mundane area of expertise. Hardly a typical auditor or accountant, Mr. Roberts enjoys finding solutions to problems inherent in the attempt to satisfy what has become a plethora of financial regulations.

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