Rowan is a member of our compliance group, whose primary responsibilities include the day-to-day management of our clients’ compliance programs. His duties range from the coordination of annual review on-site visits to the management of client communications to ultimately keeping the compliance calendar on track.
Prior to joining CCS, Rowan was a Compliance Analyst at a Broker Dealer based in Philadelphia where his duties included surveillance of trade activity, policy & procedure writing and review, and project management. He worked closely with the CCO on the implementation of SEC Regulation Best Interest and provided insight on internal system upgrades. He holds the following FINRA license: Series 7.
Rowan is a graduate of Saint Joseph’s University where he majored in Marketing and minored in Film.
During his time away from CCS, Rowan enjoys snowboarding in the winter season, producing music, and remaining active at the gym.