Director Advisory, FS Regulatory & Compliance Risk, KPMG US
Director Advisory, FS Regulatory & Compliance Risk
Erik is a New York-based Director in KPMG’s Risk Advisory solutions group with a current focus on Capital Markets and Internal Audit/Enterprise Risk with over 15 years of experience working within the financial services industry. He has significant experience with risk, operational compliance, and global regulatory change management (laws, rules, and regulations (LRRs)). Erik has worked within the financial services industry to make various system, process, and control improvements to achieve greater efficiency and to better align operational objectives with evolving regulatory expectations across all lines of defense.
Prior to joining KPMG, Erik was the CRA Officer at two, large, New York-based banks in addition to holding various other compliance roles focusing on processes and controls associated with consumer compliance and capital markets.
Erik has substantial experience leading global teams across the three lines of defense including developing and implementing various compliance programs, risk assessments, monitoring and testing plans, and regulatory change processes. He has served as project manager with responsibility for the planning, budgeting, execution, and delivery of various compliance gap assessments (including remediation) and internal audit projects. He has also provided subject matter expertise as a consultant for the financial service industry’s prudential regulators and as a professor at Columbia University.