Roland is a seasoned compliance leader whose career spans some of the industry’s most prominent institutions, and a member of the CRC Oyster Executive Leadership Team.
Since joining in 2018, he has played a central role in business development and the execution of compliance engagements, with deep expertise in regulatory and compliance matters across equity derivatives, structured products, and convertible securities. Before CRC Oyster, Roland served as Director in Wells Fargo Securities’ Compliance Department, overseeing the Equity Derivatives compliance program covering Structured Products, Corporate and Equity Derivatives, Convertible Securities, and Equity Finance sales and trading desks. Earlier in his career, he held compliance roles at Bear Stearns covering its Equity Derivatives Sales and Trading Desks, in JP Morgan’s Compliance Surveillance unit covering listed options activity, and in Salomon Smith Barney’s Retail Compliance Department supporting the firm’s large retail options business.
Roland holds a Bachelor of Arts in Economics from Hunter College, CUNY, and maintains Series 3, 4, 7, 8, 24, 55, and 63 securities licenses.
