Jon Roberts is responsible for all compliance functions of Carl Marks Securities. He ensures the firm’s activities comply with relevant legal and regulatory requirements by developing and implementing firm-wide compliance policies and procedures. Jon is also a Director responsible for CMA’s business administration functions, including contractual negotiations and legal documentation, engagement tracking, and independent contractor staffing.

Before assuming his CCO position, Jon provided financial and operational restructuring services to client stakeholders, including company management teams, lenders, investors and Boards of Directors. His experience includes bankruptcy advisory services, business assessments, performance improvement initiatives, due diligence, mergers and acquisitions transactions, and restructurings.

Jon earned a BS in Business Administration with concentrations in Finance and Management from Montclair State University. He is a member of the Turnaround Management Association and a FINRA General Securities Principal.