Stephen Roman Named Chief Compliance Officer and Secretary at CION
CION Investment Corporation, a non-traded business development company, hired Stephen Roman to serve as chief compliance officer and secretary of the company, effective February 29th.
Roman, who replaced David Verlizzo, joined ICON Investment Group LLC in July of 2013, and has been vice president of CĪON Investment Management since August 2013.
During his tenure at CION, he advised on numerous legal and regulatory matters and managed corporate and securities law compliance matters for CION’s various corporate entities, as well as its registered investment adviser.
Roman received a juris doctorate degree from the Northwestern University School of Law and a bachelor’s degree from New York University. He holds the Chartered Financial Analyst designation and is a member of the CFA Institute.
CION Investment Corporation primarily invests in the senior secured debt of U.S. middle market companies, defined as companies with annual EBITDA of $50 million or less. The company went effective in July 2012, and has raised approximately $1.03 billion in investor equity since inception, according to the January Stanger Market Pulse.
