Ryan Peterson serves as Chief Compliance Officer and General Counsel for Cheevers & Company. Ryan brings an extensive education and diverse industry experience to the firm. In his role, Ryan manages and leads the firm’s compliance program to assure fulfillment of industry regulations and to promote best practices. This includes, but is not limited to, an annual risk assessment, coordination of on-site examinations from regulatory organizations or the SEC, anti-money laundering procedures, business continuity planning, disaster recovery procedures, and monitoring the firm’s trading activities.
Ryan started his career at Harris Bank in their futures and securities division. He then joined the Chicago Board Options Exchange (CBOE) in Market Regulation as an Investigator, monitoring the market for violations of the Securities Exchange Act of 1934 and other CBOE trading floor rules and regulations. Following his time at the CBOE, Ryan spent four years as an attorney and compliance consultant at Regulation Technologies, LLC, a firm that provides regulatory compliance solutions for exchange members, commodity pool operators, and broker dealers. He most recently served as Chief Compliance Officer at Fox River Execution Technology, LLC.
Ryan has earned a Masters of Law (LL.M.) in Financial Services, with a concentration in regulation of financial markets. In addition, he holds a Juris Doctorate of Law, a Master’s degree in Business Administration, and a Master of Arts and Bachelor of Arts in Political Science.
Ryan is a licensed attorney in Illinois and he maintains his Series 7, Series 24 & Series 63 registrations with FINRA.