Roger Machlis

Roger Machlis
  • Lecturer

Contact Information

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Roger Machlis is a Managing Director and General Counsel of Credit Suisse’s Global Asset Management business (CSAM).  In the nearly 20 years that Mr. Machlis has worked as a senior legal counsel at Credit Suisse, he has been responsible for providing legal and compliance advice and services to many of the major business divisions across the globe, including Investment Banking Fixed Income, Equities and Emerging Markets, Private Banking and Wealth Management, and Global Asset Management.  As the General Counsel of CSAM for the past 12 years, Mr. Machlis has been a member of the CSAM Management Committee and advised the CEO and management team on numerous strategic business matters; major transactions and new products; significant legal, regulatory, compliance, reputational and employment matters; and changes in law and regulation and public policy matters, among other things.   Mr. Machlis sits on various risk management, control and oversight committees and is a critical senior member of a control and challenge function at Credit Suisse.  He has worked on governance related matters and has been the Chief Legal Officer to the CS US mutual fund boards.  He has periodically represented Credit Suisse at meetings with foreign, US federal and state regulators.

Mr. Machlis’ role at Credit Suisse provides a unique perspective on strategic, organizational and human resource matters, and potential ethical and reputational issues, that one encounters in a very complex, highly regulated and global major financial services organization.  He is a trusted strategic adviser to senior management and middle management officers.  He has managed, coached, and mentored teams of legal and compliance professionals at Credit Suisse on substantive legal topics and how to manage and communicate with internal business clients.  He is a member of various trade associations and the Steering Committee of SIFMA’s Asset Management Group.

Prior to his tenure at Credit Suisse, Mr. Machlis was a senior internal counsel at Citibank and an associate at Simpson Thacher & Bartlett.  He has been practicing law for nearly 30 years.  Mr. Machlis received a B.S.E. from the Wharton School of the University of Pennsylvania in1982, and a J.D. from New York University School of Law in 1986.

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Past Courses


    This course introduces students to important ethical and legal challenges they will face as leaders in business. The course materials will be useful to students preparing for managerial positions that are likely to place them in advisory and/or agency roles owing duties to employers, clients, suppliers, and customers. Although coverage will vary depending on instructor, the focus of the course will be on developing skills in ethical and legal analyses that can assist managers as they make both individual-level and firm-level decisions about the responsible courses of action when duties, loyalties, rules, norms, and interests are in conflict. For example, the rules of insider trading may form the basis for lessons in some sections. Group assignments, role-plays, and case studies may, at the instructor's discretion, be used to help illustrate the basic theoretical frameworks. Course materials will highlight industry codes and professional norms, as well as the importance of personal and/or religious values. Format: class participation, quiz, group report, and final paper or exam. Materials: coursepack. Prerequisites: none.


What Really Helps Employees to Improve (It’s not Criticism)

Author Marcus Buckingham defied much of HR’s accepted wisdom in his keynote at the recent Wharton People Analytics Conference.

Knowledge @ Wharton - 2019/05/16
Late Bloomers: Why Good Things Come to Those Who Wait

Journalist and self-described late bloomer Rich Karlgaard rejects societal pressure to achieve success at an early age, saying there’s plenty of scientific evidence that many people find their talents later in life.

Knowledge @ Wharton - 2019/05/16
Empowering the Developing World, One Bicycle at a Time

World Bicycle Relief, a nonprofit organization that builds and distributes bicycles in rural areas of the developing world, is the 2019 winner of the Lipman Prize.

Knowledge @ Wharton - 2019/05/16