Roseann Cook has extensive experience in working with financial institutions to address complex regulatory and compliance issues. She began working with our FIA team following the 2008 global financial crisis. In her role as a regulatory analyst, she assists in advising US and non-US banks on the issues relating to implementation of the provisions of the Dodd-Frank Act, including application to systemically important financial institutions of enhanced prudential standards, stress testing, resolution planning, capital and liquidity, and risk management requirements. She also regularly assists in advising FIA clients on Bank Holding Company Act issues, including Volcker Rule trading and fund restrictions, the scope of permissible nonbanking activities, control issues and financial holding company elections and activities.
Prior to joining the FIA team, Roseann was the COO of a privately owned investment banking firm. In that role she was responsible for the oversight of the firm's compliance and risk management of its activities, which included investment advisory services to pension plan and high net worth individuals, corporate finance activities for small to mid-cap companies, brokerage execution services for European private banks and market making in OTC securities. Roseann also worked closely with the owners of the firm to identify and assess strategic investments in financial companies, including banks.