Eric specializes in re-engineering Compliance & Ethics programs to enable regulatory health / business growth. Eric also teaches Corporate Compliance at the Fordham University School of Law in New York City. He is also Founder and CEO of Young Enterprises LLC, an enterprise compliance leadership forum.
Eric has 40 years’ regulatory, financial crimes and Chief Compliance and Ethics Officer (CCO) experience with the Fed, JP Morgan, GE (handling FCPA, KYC, capital markets issues over GE’s healthcare, energy, other industrial and GE Capital businesses), S&P Global Ratings, and four foreign banks including UBS, and most recently as CCO of BNP Paribas Americas (the large French bank) until he retired in February 2020. He therefore brings deep regulatory, financial services, and industrial compliance experience at the enterprise, regional and divisional levels (end-to-end regulatory inventory, risk assessments, policy / training governance, surveillance, analytics and reporting). He builds and sustains enterprise compliance programs aligned with the US DoJ Sentencing Guidelines, Fed, NY State, UK Financial Conduct Authority, FCPA and Basel standards.
Eric graduated from Columbia University at the age of 20, with a degree in Economics and has securities licenses with FINRA and is ACAMS-certified. He is a frequent speaker/author, and been featured in the American Banker, Wall Street Journal and Reuters.
Eric is presently writing a book how COVID-19 compels a candid dialogue between the CCO and the independent board of directors in order to: 1) navigate the firm strategically, and 2) enable directors to carry out their fiduciary duty of care and duty of monitoring -- by holding management more accountable.