Robert Ruffing
About Robert Ruffing
Robert Ruffing serves as the Compliance Director of Equities and Capital Markets at Piper Sandler in Minneapolis, Minnesota. He has extensive experience in compliance roles within the finance sector, including positions at KeyBanc Capital Markets and Wachovia Securities.
Work at Piper Sandler
Robert Ruffing has served as the Compliance Director of Equities and Capital Markets at Piper Sandler since 2021. In this role, he is responsible for overseeing compliance within the equities and capital markets divisions. His tenure at Piper Sandler spans three years, and he operates from the firm's Minneapolis, Minnesota office.
Current Role at KeyBanc Capital Markets
In addition to his position at Piper Sandler, Robert Ruffing holds the title of Vice President of Equity Compliance at KeyBanc Capital Markets. He has been with KeyBanc since 2010, accumulating 14 years of experience in equity compliance. His role involves ensuring adherence to regulatory standards and internal policies within the equity markets.
Previous Experience in Compliance
Robert Ruffing has a history of compliance roles in the financial sector. He worked at Wachovia Securities, LLC as a Senior Equity Compliance Officer from 2004 to 2006. Following this, he served as Vice President of Compliance at FBR from 2006 to 2008. These positions contributed to his extensive knowledge and expertise in compliance matters.
Education and Expertise
Robert Ruffing earned a Bachelor of Arts degree in Economics from Allegheny College, where he studied from 1994 to 1998. His educational background provides a foundation for his work in compliance and capital markets, equipping him with the necessary skills to navigate complex regulatory environments.