Tel: +1 212-897-1691
Rosemarie Connell joined the Integrated SolutionsSM group in 2006 and draws on her direct securities industry experience in providing the full panoply of regulatory and compliance services to clients. These services include broker-dealer new and continuing membership applications related to FINRA and other regulatory bodies, preparing firms with regard to regulatory exams and various matters related to FINRA, the NFA, and/or the SEC, continuing education, registration matters, written supervisory procedures, and conducting on-site reviews and various types of training.
Ms. Connell started her career as a commodities trader for trading divisions of Standard Chartered Bank and Merrill Lynch, as well as metal trading entities owned by the Anschutz group of companies and separately by the Rothschild group of companies.
Later, Ms. Connell worked for several investment firms focused on emerging markets. She served on the Board of Directors of a European publicly listed closed-end fund sponsored by a global investment bank. Ms. Connell served on the Boards of Directors of each of the fund’s private equity investee companies which included a foreign bank with correspondent European relationships. Ms. Connell served on the Supervisory Board of the aforementioned bank which included overseeing the bank’s anti-money laundering operations. Additional responsibilities included compliance with western standards in the areas of legal and regulatory matters, operations, and International Accounting Standards (IAS, currently IFRS). Ms. Connell also formed a broker-dealer in London and gained Financial Services Authority (currently Financial Conduct Authority) new membership approval in the United Kingdom. Throughout her career, Ms. Connell’s responsibilities have included the supervision of staff in the areas of investments, generation of research reports, regulatory compliance, transaction due diligence and ongoing relationships with foreign and domestic brokerage firms, hedge funds, market makers, and investors.
Ms. Connell has served on committees (including investment committees) of various New York City historical and educational institutions in a volunteer capacity. She is fluent in several Slavic languages.