Director — Chief Compliance Officer
Sandra Pallante is the Chief Compliance Officer and a Director at Wolfe Research Securities. Prior to joining the firm, Ms. Pallante was a Managing Director and served as Director of Equity and Fixed Income Research Compliance at Bear Stearns. Sandra was responsible for the global compliance oversight of equity and fixed income research, an expert network affiliate, and for writing many of the firms’ policies and procedures. Following the merger of J.P. Morgan and Bear Stearns, she continued in her senior roles of Executive Director for J.P. Morgan’s Equity Compliance Department, Compliance Director for Equity Research and Global Research Settlement attorney for the firm.
From 2000-2004, Ms. Pallante rose through the Compliance department ranks at Lehman Brothers where she attained the role of Director of Equity Research Compliance. During her tenure, Sandra aided in the creation, implementation, and training of the compliance and supervisory policies for research and developed processes to conform to the Research Settlement and subsequent rules. She also played an integral role in developing control room procedures, including information barriers. Before Lehman, Sandra started her career with a number of legal, compliance, and operational roles at various Wall Street firms.
Sandra earned a B.A. in Political Science and English Literature from Pace University, a J.D. from Brooklyn Law School, and has been admitted to the New York Bar Association. She lives in Staten Island with her husband, son, and two bull dogs.