Erik Anderson is a eficient expert, that works in J H Darbie & as a Chief Compliance Officer since 2018. Erik Anderson has earned professional experience in more than 11 positions at various companies. Erik Anderson went to the John Jay College (Cuny) and was studying there. New York, New York is the area, where this expert was lastly known to settle. Their email address and number can be easily accessed through SoftwareOfficial by request.
Name variants:
Eric Anderson
Last updated May 12, 2024
Contact Information
Last Update
Jun 22, 2022
Location
New York, NY
Company
J H Darbie & Co
Workplace
Chief Compliance Officer
Work History
Compliance Consultant
Independent compliance consultant assisting with various regulatory, compliance, and AML projects for Investment Advisors, Private Equity, Hedge Funds and Broker-Dealer Clients.
from Jan 2017
Compliance Surveillance
45 Broadway, New York, NY 10006
Collaborated with Chief Compliance Officer in the design, management and implementation of the new Heightened Supervision procedures regarding individuals and branches.
Actively managed an...
Sep 2015 — Nov 2016
Compliance Officer
Assisted Chief Compliance Office on all day to day compliance functions
Organize and Manage FINRA Web CRD System as the Firm required
Liaise with State and Federal Regulators as needed
W...
Mar 2015 — Sep 2015
Branch Office Manager
3414 Peachtree Rd northeast, Atlanta, GA 30326
Implemented and managed policies and procedures within the branch
Initiated management controls of branch locations which increased sales, new accounts, and assets while reducing reneges i...
Jul 2013 — Jun 2014
Assistant Branch Manager
14 Wall Street Ct, New York, NY 10005
Provided the firm with various analyses of broker activities which could be used to help manage risk while emphasizing KYC.
Provided forensic analysis in support of Firm policies and proce...
Feb 2011 — Jun 2013
Branch Office Manager
633 3Rd Ave, New York, NY 10017
Liaised with the SEC during a multiple-month branch audit. Audit result had no negative outcome. I provided advisors with scores of training classes to promote regulatory education, ethics,...
Feb 2010 — Dec 2010
Branch Office Manager
P/O Box 391, Pennsville, NJ
Responsible for all branch operations and functions. Branch liaison to Compliance and regulators. Focus on private placements and retail sales. For my time here I was employed by a branch wh...
Mar 2009 — Oct 2009
Branch Office Manager
Responsible for all branch operations and functions. Branch liaison to Compliance and regulators. Focus on private placements and retail sales. For my time here I was employed by a branch wh...
Oct 2008 — Mar 2009
Branch Office Manager
Responsible for all branch operations and functions. Branch liaison to Compliance and regulators. Focus on private placements and retail sales. For my time here I was employed by a branch wh...
Jun 2008 — Oct 2008
Assistant Vice President
6801 south Tucson Way, Englewood, CO 80112
Responsible for the firm’s top producing segment.
In 12-years promoted six times:
o Financial Institution Division Marketing Manager, servicing banks and credit unions
o Fee-based Busine...
Feb 1995 — Aug 2007
Education
Occupations
Executive
Director of Quality Control
Accountant
Finance and Accounting Specialist
Counselor
Compliance Manager
Accounting Bookkeeper
Bookkeeper
Advisor
Skills
Regulatory Compliance
Anti Money Laundering
Management
Project Management
Surveillance
Testing
Training
Series 24
Financial Services
Time Management
Equities
Securities
Aml
Wealth Management
Financial Risk
Trading
Mutual Funds
Alternative Investments
Capital Markets
Investment Advisor Compliance
Operational Risk
Kyc
Asset Management
Code of Conduct
Putting the Customer First
Reporting Requirements
Sales Practice
Broker Monitoring
Exception Based Reporting
High Pressure Environment
Red Flags
Internal Controls
Broker Dealer
Finra
Regulatory Requirements
Regulatory Filings
Compliance Regulations
Compliance Operations
Completion
Crd
Regulatory Reporting
Marketing Materials
Regulatory Audits
Problem Solving
FAQs about Erik Anderson
What's the main profession of Erik Anderson?
Erik Anderson is a Chief Compliance Officer.
What are the main profession of The professional?
These person's professions are Executive and Director of Quality Control
Where does Erik Anderson live?
Erik Anderson currently lives in New York, New York.
How many companies did Erik Anderson work at?
The professional worked at 11 jobs.
What education does Erik Anderson have?
Erik studied at the John Jay College (Cuny).
What languages does Erik Anderson speak?
Erik Anderson speaks English.
What is professional industry that Erik Anderson worked in?
Erik Anderson works in Financial Services industry.
What are professional skills of Erik Anderson?
Erik has the following skills: Regulatory Compliance, Anti Money Laundering, Management, Project Management, Surveillance, Testing, Training, Series 24, Financial Services, and Time Management.