Head Of Compliance
Erik says that he likes to leave his “fingerprints on things.” While this may not be a good thing to do when leaving a crime scene, we think it’s an amazing virtue to have as our compliance director. He finds it professionally fulfilling to be responsible for leaving his imprint on challenging issues that affect our clients and the firm. Whether revamping and keeping our compliance programs current at the firm, or advising our investment area on each new solution that is being onboarded, Erik’s thoughtful consultation is tremendously important.
Erik describes his role, first-and-foremost, to protect the best interests of our advisory clients. He does this by not only ensuring the firm maintains compliance with its fiduciary obligations set forth by laws and regulations, but by always approaching situations with an obligation to provide a duty of care and loyalty to all our clients.
What separates Erik from others in the world of compliance is his thorough knowledge of the business, his intense interest in staying current on developing regulations and, above all, his ability to communicate about all of this in a way that’s thoroughly understandable. We can’t help feeling that this drive comes from the competitive team spirit Erik honed throughout his life as an accomplished athlete playing soccer, baseball, ice hockey and lacrosse. His father taught him to be “first to the ball and strong to the ball,” and in many ways we rely on him to do the same thing at the firm, as he proactively makes sure the firm can be proud of the way we run our business.