Erik J. Dolan is a Director at Alaric Compliance Services, LLC. He is an experienced compliance and risk management professional with an extensive background in regulatory matters including serving as a regulator for over 12 years with three major regulatory bodies, the Municipal Securities Rulemaking Board (MSRB) Market Regulation Department, Financial Industry Regulatory Authority (FINRA) Enforcement Division and the United States Commodity Futures Trading Commission (CFTC) Department of Enforcement.
In addition to his experience as a regulator, he has served as a compliance professional for a large ETF complex, an investment banking and brokerage services firm and a broker-dealer.
Currently at Alaric, Mr. Dolan serves as the Chief Compliance Officer for an institutional broker dealer, a municipal advisor, and an institutional investment adviser. He additionally serves as a deputy CCO and compliance consultant for several firms. Mr. Dolan also serves as the CCO for Alaric Distributors, LLC a registered broker-dealer that serves as the principal underwriter/distributor for registered funds.
He currently holds the FINRA Series 7 and Series 24 registrations. Previously he held the North American Securities Administrators Association’s (NASAA) Series 63 and 65 registrations. He was also a regulatory liaison on FINRA’s Series 10 examination committee and responsible for the development and upkeep of MSRB’s Series 50, 51, 52, 53 and 54 examinations.
Prior to joining Alaric, Mr. Dolan was the Director, Professional Qualifications, for MSRB where he was responsible for managing the MSRB’s professional qualifications program including the creation and execution of the current MSRB qualification examinations and was a voting member on the Securities Industry/Regulatory council on Continuing Education.
He served in the Enforcement Division for FINRA where he completed investigations of potential violations of SRO rules and the Federal securities laws including improper securities trading and wire activity, fees, money laundering, advertising violations and conflicts of interest.
In his work at the CFTC, Department of Enforcement he conducted reviews and analysis concerning possible violations of the Commodity Exchange Act and CFTC regulations.
Mr. Dolan served as a Compliance Manager at Proshares Advisers LLC, where he was responsible for the administration of the compliance program under Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisors Act of 1940. He was a Vice President, Compliance at FBR Capital Markets & Co, providing regulatory technology and research compliance services and a headed the Products and Services area for Capital Financial Group/H. Beck, Inc., an independent retail broker-dealer and investment adviser.
He holds a BA degree in Business Administration from the University of Maryland University College and an MBA in Finance – Asset Management from the Kogod School of Business at American University.
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