Eric Collazo Email & Phone Number

Senior Compliance Executive with over 25 years of leadership experience in designing and implementing comprehensive compliance, operational, and risk management frameworks across financial services, including payments, banking, wealth management, and investment management. A trusted advisor with a proven track record of mitigating risks, driving regulatory compliance, and ensuring corporate governance across global operations.• Expert in Regulatory Compliance: Extensive knowledge of U.S. and international regulatory frameworks such as Financial Crimes Compliance (Bank Secrecy Act, OFAC Sanctions), NY DFS (Part 500, Part 504), State Money Transmitter Regulations, Bank Holding Company Act Regulations, 12 CFR 9 (fiduciary activities of national banks), Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, Regulation R, Uniform Fiduciary Acts, and Cayman & Bahamas Banks and Trust Companies regulations.• Proven Leadership in Regulatory Engagement: Spearheaded regulatory examinations and inquiries across all stages—from preparation to remediation—while maintaining robust relationships with key regulatory bodies (OCC, FRB, SEC, and state regulators). Adept at navigating complex regulatory environments to ensure alignment with evolving compliance standards and risk management practices.• Strategic Vision: Expertise in aligning compliance strategies with business objectives to foster sustainable growth, reduce operational risks, and enhance organizational resilience. Skilled at leading cross-functional teams, fostering collaboration, and promoting a culture of compliance across all levels of the organization.

Listed skills include Investment Advisers Act, Investments, Alternative Investments, Asset Management, and 15 others.

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  Stony Brook University

  Concentrations In Business And History