As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Paige Rand is a Senior Regulatory Compliance Professional at CRC with extensive experience in the broker-dealer industry. Previously, Paige was Chief Compliance Officer at an investment banking firm headquartered in Boston with offices throughout the U.S. and Europe and was responsible for the implementation and execution of their compliance program. She was with the firm since its inception in 2003 and was part of the firm’s significant growth over 18 years. She also worked in various departments within the firm including investment banking, institutional research, trading, private equity, and oversaw the firm’s expansion into international markets. Earlier in her career, Paige was part of Smith Barney’s institutional fixed income group and Morgan Stanley’s institutional research team and brokerage division. Paige received her B.A. in Political Science at Wheaton College and maintains the FINRA Series 62, 79, 24 and 99 licenses with more than 20 years of experience in the financial industry.