NEW YORK – March 19, 2024 – Carl Marks Securities, the broker-dealer affiliate of Carl Marks Advisors, a leading investment bank offering financial and operational advisory services to middle-market companies, announced today the appointment of Jon Roberts as Chief Compliance Officer. Roberts will lead CMS’s compliance arm as it evolves to meet increasing regulatory expectations.
“Jon is crucial to our ongoing efforts to strengthen our compliance management,” said Evan Tomaskovic, Chief Executive Officer of Carl Marks Securities. “His extensive knowledge of compliance and over 25 years of experience in financial advisory work are a real asset to CMS and will ensure that our actions and decisions comply with all applicable laws and regulations.”
Jon Roberts joined Carl Marks Advisors in 1998, providing financial and operational restructuring services to client stakeholders. In addition to his new role as Chief Compliance Officer of Carl Marks Securities, Jon is integral in many of Carl Marks Advisors’ day-to-day operations, including contractual negotiations and legal documentation, engagement oversight and tracking, client and third-party partner liaison, and engagement staffing.
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