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Eric counsels investment advisers, broker-dealers, and other market participants on regulatory compliance.
Highly experienced in the financial industry, Eric served as Compliance Director and Regulatory Counsel at Guggenheim Partners, LLC, a global investment and advisory financial services firm. He has guided investment advisers and broker-dealers on potential conflicts of interest with certain corporate issuers, securitized vehicles, and investment vehicle transactions; reviewed and enhanced processes for cybersecurity, ethics, and other compliance areas; and managed FINRA and SEC regulatory filings.
While working in the investment management compliance department at MetLife, Eric received a Global Recognition Award for streamlining compliance initiatives that yielded significant cost-expense savings for the company.
Eric is an adjunct professor at Fordham University’s Gabelli School of Business, where he teaches a course on financial modeling.