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Experience:
Jerome Roche is a corporate adviser and transactional attorney whose practice is especially focused on financial services regulatory matters. Jerome counsels registered broker-dealers, investment advisers and banks. In that context, he counsels financial institutions regarding regulatory "status questions"; drafts and implements policies and procedures covering trading practices, information barriers, anti-money laundering programs, and privacy/data protection safeguards; assists financial institutions with mergers, consolidations and restructuring transactions; and guides institutional clients in complying with and commenting on rule-making efforts of the SEC, FINRA, and other securities self-regulatory organizations and on related changes to state and federal financial services legislation.
Prior to joining Mayer Brown in 2007, Jerome was an Associate General Counsel of TIAA-CREF and Chief Legal Officer of the firm's wholesale broker-dealer group (2005-2007). Earlier, he worked in the broker-dealer compliance and regulation group of another prominent law firm in Washington, DC (2000-2005) and, from 1997 to 2000, he served as Attorney-Adviser to the Securities and Exchange Commission's Division of Market Regulation.
Education:
The University of Michigan Law School, JD, 1997, Purdue University, BS, 1992. | 