As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Roland is responsible for the business development and execution of CRC’s compliance engagements. Most recently, he was Director at Wells Fargo Securities, LLC’s Compliance Department. He was responsible for overseeing the Equity Derivatives compliance program covering Structured Products, Corporate and Equity Derivatives, Convertible Securities, and Equity Finance sales and trading desks.
Roland has extensive experience in regulatory, compliance and compliance technology matters in the equity derivatives, structured products and convertible securities space.
Roland has the 7, 63, 4, 24, 55, 3, 8 securities licenses. Roland graduated with a B.A. in Economics from Hunter College, CUNY.
Prior to Wells Fargo, Roland was at Bear Stearns covering its Equity Derivatives Sales and Trading Desks and JP Morgan’s Compliance Surveillance unit covering its listed options activity. Prior to JP Morgan, Roland worked at Salomon Smith Barney’s Retail Compliance Department helping in the coverage of the company’s large retail options business.