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Eric Zeigler is listed as Compliance Manager at Cetera Financial Group, a company with 935 employees, based in Boston, Massachusetts, United States. AeroLeads shows a matched LinkedIn profile for Eric Zeigler.
Eric Zeigler previously worked as Compliance Manager at Harbor Capital Advisors, Inc. and AVP, Senior Compliance Analyst at Eaton Vance. Eric Zeigler holds Jd, Securities And Corporate Law from Suffolk University Law School.
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With over 15 years of comprehensive compliance experience, I am a Compliance Manager at a leading investment management firm, responsible for overseeing and implementing broad compliance policies, including regulatory adherence, risk assessment, and policy development. My experience involves managing cross-functional initiatives to ensure firm-wide compliance with industry regulations and providing guidance on regulatory changes across all business areas. Skilled in fostering cross-departmental collaboration, I have directed efforts to align business practices with evolving regulatory standards, mitigating risk and enhancing compliance culture within the organization.
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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.
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.
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.
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.
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.
Other employees you can reach at cetera.com. View company contacts for 935 employees →
Nikki Michaels
Colleague at Cetera Financial Group
Minneapolis, Minnesota, United States, United States
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Caleb Huff
Colleague at Cetera Financial Group
Pittsburgh, Pennsylvania, United States, United States
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Nichole (Parnell) Stilley
Colleague at Cetera Financial Group
Des Moines, Iowa, United States, United States
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Vanita Aggarwal, Cfa, Masc
Colleague at Cetera Financial Group
Torrance, California, United States, United States
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Melissa Quin
Colleague at Cetera Financial Group
Oxford, Pennsylvania, United States, United States
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LZ
Londy Zometa
Colleague at Cetera Financial Group
Lawndale, California, United States, United States
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Ali Sabetghadam
Colleague at Cetera Financial Group
Atlanta, Georgia, United States, United States
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PB
Paul Baldovin
Colleague at Cetera Financial Group
Greater Chicago Area, United States
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JC
Jeremy Carr
Colleague at Cetera Financial Group
El Segundo, California, United States, United States
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Leky Ssj
Colleague at Cetera Financial Group
Neuquén, Neuquén Province, Argentina, Argentina
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Quick answers generated from the profile data available on this page.
Eric Zeigler works for Cetera Financial Group.
Eric Zeigler is listed as Compliance Manager at Cetera Financial Group.
Eric Zeigler is based in Boston, Massachusetts, United States while working with Cetera Financial Group.
Eric Zeigler has worked for Cetera Financial Group, Harbor Capital Advisors, Inc., Eaton Vance, Cantella, and Metlife.
Eric Zeigler's colleagues at Cetera Financial Group include Nikki Michaels, Caleb Huff, Nichole (Parnell) Stilley, Vanita Aggarwal, Cfa, Masc, and Melissa Quin.
You can use AeroLeads to view verified contact signals for Eric Zeigler at Cetera Financial Group, including work email, phone, and LinkedIn data when available.
Eric Zeigler holds Jd, Securities And Corporate Law from Suffolk University Law School.
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