Chief Compliance Officer, Counsel
Stephen Roman serves as Chief Compliance Officer and Counsel. He advises on numerous legal and regulatory matters and manages corporate and securities law compliance matters for CION’s various corporate entities.
Since joining the firm in 2013, Mr. Roman has served as Vice President of CION Investment Management. Prior to joining CION, he served as an attorney in New York and previously an analyst at Forex Capital Markets.
Mr. Roman received a B.S. from New York University and a J.D. from Northwestern University School of Law. He is a holder of the right to use the Chartered Financial Analyst® designation and is a member of the CFA Institute.