Jeff Rosenstrock: An Attorney with Broker-Dealer, Regulatory and Compliance Experience

Jeff Rosenstrock is an experienced attorney with a strong background in broker-dealer, regulatory, and compliance matters. With extensive knowledge in market structure and SRO compliance, Rosenstrock also has expertise in non-regulatory legal work, including corporate governance, contracts/vendor management, privacy/software/data issues, employment/employee benefits, and insurance regulatory. He has also worked on the development of governance/controls and monitoring of emerging/horizon risk, regulatory change management, policies and procedures, compliance systems, rules inventory, regulatory exams/inquiries, audit response, technology, and controls, and rule/regulatory filings with the SEC.

Rosenstrock has experience in developing and implementing mandatory compliance training, policies and procedures across equities, FICC, FX, investment banking, research, and sales and trading including those related to Dodd-Frank. He also has experience in executive reporting for various legal entities and proposing enhancements to corporate compliance systems. He has worked with global, cross-functional teams and interacted with regulators.

Rosenstrock studied Business Management and Law at Cornell University and Boston University School of Law, respectively.

He is currently the Director - CFO Compliance at Wells Fargo. Before joining Wells Fargo, he was Director, Global Banking and Markets Compliance - Regulatory Change and Policy Mgmt. at Bank of America. He also served as General Counsel at Direct Edge Exchanges (now BATS Global Markets, Inc.), Corporate Counsel & VP at Piper Jaffray, Principal Rule Counsel at NYSE, and Reg. Affairs at Guardian Life.

Rosenstrock is open to developing expertise in blockchain, cryptocurrency, distributed ledger technologies (DLT), artificial intelligence (AI) applications, and other fintech and regtech innovations.