Management Team
Peter Moores
As Chief Executive Officer, Peter is primarily responsible for delivering regulatory, operational and commercial support to investment advisers. He is also on the board of directors for RJIS.
Career History
Peter Moores was born in Dublin, Ireland. He read Business Studies at Trinity College, Dublin and was conferred with both a B.B.S (hons) and an M.A. degree. Peter has also completed executive education programmes at Northwestern University’s Kellogg School of Management, Stanford University’s Graduate School of Business and the London Business School.
In 1989 he joined Chase Manhattan Bank in New York where he completed both the Associate Development Programme and the Financial Analyst (Credit) Programme. Peter spent 10 years working at Chase Manhattan in New York, Frankfurt and London formerly as a Relationship Manager, Chase International Institutional and the latter four years in Chase Asset Management & Mutual Funds as Vice President, Regional Sales Director - Europe.
In 1999, he joined DAB bank in Munich, Germany, currently Europe's largest discount broker, as Head of Group Development. In February 2002, Peter was seconded to DAB's UK subsidiary, SELFtrade UK as Managing Director and Senior Country Officer. SELFtrade Group was sold to Societe Generale (SG) Group in March 2003 and Peter continued to manage the entity on behalf of the new owners. SELFtrade is a leading and award winning discount broker in the UK, providing sharedealing services both directly to the retail community and indirectly through financial institutions.
Peter Moores joined RJIS in December 2004 as Managing Director and became CEO in February 2005. Peter is a Chartered Fellow of the Chartered Institute for Securities and Investment and is a committee member of the CISI’s Wealth Management Forum. He is also a member of the Institute of Directors and a mentor to start businesses in London Business School’s Summer Entrepreneurship Programme.
Cynthia Poole
As Director of Relationship Management and Business Support, Cynthia Poole and her team are the principal contacts for all branches and firms affiliated with RJIS through our Independent Contracting, Professional Partner and Wrap Platform business models. Cynthia’s department is responsible for Relationship Management, including Transitions and Client Services, Training and Development and Marketing.
Career History
Cynthia is originally from Georgia, USA. She holds a Bachelor’s Degree in Business Administration from Auburn University. Cynthia has also completed INSEAD’s Competitive Strategy Executive Education course to compliment her 20+ years’ experience in sales and relationship management roles in the financial services industry.
In 1983 she joined First Atlanta Bank in Atlanta, which was subsequently purchased by Wachovia, where she completed the Management Associate Training Program receiving accreditation in both credit analysis and non credit services. She advanced through several positions, moving to Wachovia's New York office as Vice President, Corporate Banking Division. She joined Chase Manhattan in New York in 1990 where she became Vice President and Sales Manager in the Cash Management Division.
Following a career break when she was a full time mother, Cynthia moved to London and joined Citibank International where she developed investment and banking business with private clients.
Cynthia joined RJIS in January 2002 as Client Relationship Manager, assumed the role of Head of Business Support in May 2003 and was appointed Director of Business Support in March 2005. Her responsibilities were expanded in October 2006 when she became Director of the Relationship Management and Business Support Department.
Cynthia holds the General Securities and Derivatives Representative qualification as well as the Financial Planning Certificate. She is a Chartered Member of the Chartered Institute for Securities and Investment and also represents RJIS on the CISI’s Certificate in Investment Management Panel and the CISI’s Certificate Programme Qualifications Assessments Board.
David Hazelton
David Hazelton joined RJIS in June 2006 as Head of Business Development, with the responsibility for developing our adviser base. David brought with him a wealth of knowledge of the financial advisory marketplace, and more recently, the private banking arena.
Career History
David started his career with Equity and Law (now part of the Axa Group) in the administration team before moving into sales as a Broker Consultant. He then spent 17 years in the Allied Dunbar IFA Division in various roles, progressing from Broker Consultant to Sales Manager, Regional Sales Manager and finally Deputy Sales Director. He was actively involved in the merger of Allied Dunbar's IFA division with the Eagle Star and Zurich Life sales teams to create the Zurich IFA Group (ZIFA).
In 2001 he left ZIFA to help establish Old Mutual's new fund supermarket Selestia. As Sales Director he had main board responsibility for recruiting and managing the Selestia sales team as well as helping to develop the proposition and infrastructure of the new company. After 2 years David left Selestia and subsequently joined Dexia Private Banking as Head of Financial Planning, with responsibility for product development for high net worth investors, as well as providing investment advice for clients of the bank. David holds the Financial Planning Certificate.
David was also appointed Chairman of the Tax Incentivised Savings Association (TISA) Distribution Advisory Council in September 2009. The Council serves the needs of senior distribution figures from the widest range within the financial services industry in the UK, to debate topical issues in confidence and formulate responses on behalf of TISA.
Naz Islam
As Chief Financial Officer, Naz is responsible for the regulatory and financial management affairs of Raymond James Investment Services. His department is also responsible for the collection, reconciliation and payment of branches and affiliated firms' revenues on a timely and accurate fashion.
Career History
Naz holds a Bachelor’s Degree in Accountancy and Taxation from London Guildhall University. He is a qualified Accountant and a Fellow of the Association of Chartered Certified Accountants. Naz has also completed various INSEAD & LBS Executive Education Programmes to compliment his 10+ years' experience in the financial services industry.
In April 1998, he joined Natwest Bank in London, which was subsequently taken over by Royal Bank of Scotland, as Management Accountant taking responsibility for transfer pricing and the recovery of costs for Technology Services exceeding £300m annually.
In November 1999, he joined City Group in London, as Group Accountant overseeing the preparation of management reports and statutory accounts in accordance with International Accounting Standards and ensuring compliance with the requirements of the various stock exchanges for a number of holding and subsidiary companies.
Naz joined RJIS in August of 2003 as Finance and Audit Manager. Shortly after joining he was promoted to the role of Chief Financial Officer and Company Secretary.
Stuart Wright
As Associate Director and Head of Operations and Product Management, Stuart and his team are responsible for Dealing, Settlements and all aspects of Operations Administration as well as Product Management for RJIS.
Career History
Stuart joined RJIS in early 2002 as Operations Manager, having spent over 5 years working in various roles at Pershing Securities Limited. During his time at Pershing, Stuart worked in many of the operational areas. His final role was Assistant Vice President in the Pershing Client Relationship Department, responsible for servicing the needs of Pershing’s correspondent firms. Stuart brought with him detailed knowledge of the Pershing systems and the operational and settlement processes required at RJIS.
Stuart graduated from the University of Portsmouth in 1996, with a BA (Hons) in Economics majoring in Business Economics and has recently attended an executive education programme at Stanford University.
Stuart was promoted in 2005 to Associate Director of Operations, and also in 2005 assumed additional responsibilities for Product Management. In 2006 Stuart was appointed as Head of Operations and Product Management. Stuart is a Member of the Securities and Investment Institute (MSI). Stuart represents RJIS on the Standards in Wraps committee of the Tax Incentivised Savings Association (TISA).
Matt Gridley
Matt joined RJIS in June 2006 as Associate Director and Head of IT.
Career History
Matt joined RJIS in June 2006 as Associate Director and Head of IT and is now Chief Technology Officer at RJIS. Matt came to RJIS with 15 years’ IT experience, most recently as Head of IT at Societe General's UK private client stockbroking business, SELFtrade, one of the largest execution only brokers in the UK processing in the region of 8-10,000 retail securities trades per day. While at SELFtrade, Matt was instrumental in developing and implementing a number of systems and enhancements critical to their success and also establishing a robust Business Continuity Site and IT failover system.
Matt also spent eight years with Oracle Corporation, both in the UK and California in their Tools Division developing database reporting tools.
Christine Rose-McCoy (MA HRM)
As Head of Human Resources & Facilities, Christine is responsible for all aspects of HR and Facilities within the firm.
Career History
Christine joined RJIS in August 2002, having previously worked in the financial services industry for 15 years at the Bank of Montreal. She was also HR Manager for two years at IntraLinks, an internet company providing solutions to banks and asset management firms.
Christine studied at the London Guildhall University and in 2003 she passed her Postgraduate Diploma in Human Resource Strategies. In 2004 Christine went on to complete her Master of Arts degree in Human Resources Management.
Mark de Ste Croix
As Head of Branch Supervision and Acting Head of Compliance, Legal and Regulatory Affairs Mark works with, and represents, RJIS branches in meeting regulatory and RJIS compliance requirements. Drawing on extensive experience of implementing practical, compliant solutions for growing businesses, Mark provides dedicated assistance to Branch Principals within Independent Contracting and Professional Partner offices on day-to day issues as well as helping them navigate and realise new projects and commercial ventures.
Career History
Mark’s career in financial services began in 1983 working for a retail bank before moving on to a financial adviser role. The advent of financial services regulation then saw him take up various training roles which included management training with Norwich Union and sales and technical training with other insurers. Time spent as a Training Manager with Old Mutual also saw him work for their international division delivering training in the Channel Islands, South Africa, the Middle East and Hong Kong. In 1998 Mark decided to put theory into practice and became an IFA with a regional broker, working with SMEs setting up and running group personal and executive pension plans as well as employee benefits and executive protection and company succession planning.
After 2 years he had the opportunity to join national IFA Inter-Alliance and became Head of Training shortly after joining in 2000. After overseeing the integration of over 400 new advisers from the Lincoln sales force and designing a completely new T&C scheme ready for the start of FSA regulation in 2001, Mark was made an Associate Director and started working on a number of compliance issues. With the company having grown to over 100 branches and almost 1,000 advisers he was formally made the Group Compliance Officer in 2002.
In late 2003 Mark joined Mortgage Intelligence as Head of Compliance to prepare the company for FSA regulation and the creation of a new appointed representative network, as well as overseeing training and T&C. In 2006 he moved to GE Money Home Lending as T&C Leader overseeing the direct to consumer distribution before joining RJIS in July 2009.
Mark is an Associate of the Personal Finance Society (APFS) and the Compliance Institute (ACoI) and has recently completed a Diploma in Law with the Open University. He was a member of the inaugural Association of Mortgage Intermediaries (AMI) Compliance Committee as well as being an active member of various industry forums. In 2008 he was a member of the Financial Services Skills Council (FSSC) working group that created and published T&C standards for the financial services industry.