Rose M. Schindler is a Partner at Roetzel, where she focuses her practice on securities litigation, primarily securities arbitration. She is a certified regulatory compliance professional and has held supervisory and management positions with both the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA). As Director of FINRA’s Southeast Regional Office of Dispute Resolution, Schindler was responsible for the arbitration and mediation programs within the Southeastern United States. She also was responsible for the creation of new rules and procedures, training of arbitrators in the region, and the continued development of FINRA’s Code of Arbitration Procedure. Schindler earned her law degree from DePaul University School of Law School, an M.S.W. from St. Louis University, an MSed from Southern Illinois University and a B.A. from the University of Missouri. Schindler can be reached at [email protected] or 954-759-2751.
With ever-changing legislation and ever-increasing regulatory scrutiny, the role of the CCO is continually evolving. Corporate compliance officers served once upon a time as compliance cops, but the scope of the role has grown over the last several years so that now CCOs must be champions within their organizations of a culture of compliance and ethics and more...
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