Eric Zeigler Email & Phone Number

El Segundo, California, United States

Oversee and implement advertising compliance policies, approve advertising materials, and collaborate with cross-functional teams to ensure adherence to industry regulations.Developing, implementing, and managing compliance policies and procedures in alignment with FINRA, SEC, and other relevant regulations. Play a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials.Remaining current with financial industry regulations and updating compliance policies as needed. Collaborate with external legal counsel and regulatory agencies as necessary to address compliance issues and inquiries. Prepare and submit necessary reports and compliance documentation to regulatory agencies.Lead a team of compliance professionals, providing guidance, training, and performance evaluations. Review and approve advertising and marketing materials to ensure compliance with industry regulations and internal policies.

Boston, Massachusetts, United States

Compliance team manager responsible for the review and approval of promotional materials regarding Open-end Funds, ETFs, CITs and Institutional materials for Harbor Capital Distributors and Harbor Capital Advisers. Managerial responsibilities including managing and supervising direct reports, interviews, processing new hires and team training.Responsible for creating, administering and presenting the annual Marketing Compliance training.Compliance administrator for the advertising review system. Comprises of managing the review system, system monitoring, maintenance, training, administrative updates and functional awareness.Team leader in the monitoring of internal procedures for testing and board certification. Annual review and creation of compliance procedures, policies and desktop instructions including advertising review, Customer Complaints, Internal books and records, client reporting and correspondence.Successfully led compliance projects for updating and implementing new SEC regulatory rules for investment adviser marketing and advertising.

Greater Boston Area

Senior leader in the monitoring of internal procedures for testing and board certification. Annual review and creation of compliance procedures, policies and desktop instructions including advertising review, Customer Complaints, Internal books and records, client reporting and correspondence.Responsible for developing and delivering compliance programs and compliance training. I provide guidance, support, and feedback to business partners, and facilitate effective communication and collaboration across departments and teams. Senior leader in the review and approval of marketing materials regarding Open-end Funds, Closed-end Funds, Separately Managed Accounts, ETFs, Private Placements, and Institutional materials for Eaton Vance Distributors, Eaton Vance Management and IA affiliated companies.Responsible for creating, administering and presenting compliance training.

Greater Boston Area

Oversee and administer the sales and marketing compliance review program for a boutique Broker-Dealer/Registered Investment Advisor.Responsible for supervising the review and approval of performance reports, research reports, web sites, books, videos, new products and hedge fund correspondence.Created and implemented new firm-wide electronic review system to ensure accurate receipt and return of sales and marketing materials.Creating and implementing advertising review training for compliance personnel.Drafted original disclaimers and disclosures for new product advertising and performance reporting.Drafted firm’s internal procedures and written supervisory procedures for both social media and social networking participation, and annuity compliance review.Prepare for routine regulatory exams by drafting responses to inquiries: specific focus on marketing materials and correspondence.Perform legal research for general counsel regarding regulatory rules, federal and state laws for all regulatory inquiries and arbitration matters.Oversee the firm’s continuing education program, including Anti-Money Laundering education.3012 branch supervisor for review of daily review of electronic communications, trading and exception reports.

Reviewed, edited, and approved marketing materials, advertising, sales literature, web sites and correspondence.Provided oversight, final approval, and ensured materials, registrations and sales practices complied with FINRA, SEC and other regulatory insurance and securities regulations.Ensured that policy, procedures, and training materials met regulatory requirements, corporate objectives, and training needs in the most efficient manner possible.

Jd, Securities And Corporate Law

Bs, Political Science