Bringing you live news and features since 2006 

Stonnington Group lands Eric Smith as chief compliance officer

RELATED TOPICS​

The Stonnington Group, a wealth management firm based in Los Angeles, has hired Eric Smith as its chief compliance officer. 

An industry veteran with nearly 30 years of experience, Smith will oversee the firm’s compliance infrastructure, supervising and developing compliance policies and procedures.  

“We are excited to have someone of Eric’s calibre join our team,” says Nick Stonnington (pictured), president and founder of the Stonnington Group. “His extensive experience and technical expertise in the area of compliance will be critical to both our team of advisors and clients.”  

Prior to joining the Stonnington Group, Smith served as a securities industry consultant, advising financial services professionals, including broker dealer management and staff, compliance professionals, financial consultants and registered investment advisors on compliance policies and procedures. Additionally, he assisted clients in acquiring and maintaining proper registrations with the SEC, self regulatory organisations and state regulatory agencies.

Previously, he held the position of chief compliance officer with Bridge Investment Advisors in San Francisco. There, he directed the compliance department and developed and implemented the firm’s compliance infrastructure, including designing and developing supervisory policies and procedures, and managing the acquisition of the complex registrations required for registered broker dealers/registered investment advisers.

Latest News

ETF data consultant ETFGI reports that assets invested in the global ETF industry reached a new record of USD12.71 trillion..
Calastone has published an ETF white paper which examines several of the processes that take place across the lifecycle of..
Adapting product lines to fit into changing methodologies and meet shifting demand is essential to remaining relevant in the industry..
Investors urgently need greater access to diversified investment strategies aligned with the Paris Agreement on climate change if the world..

Related Articles

Taylor Krystkowiak, Themes ETFs
Themes ETFs opened its doors in December 2023, with an introductory suite of 11 ETFs – seven thematic and four...
Konrad Sippel, Solactive
At the end of March, financial index specialist, Solactive, published its 2024 annual report on future trends.  ...
Lorraine Sereyjol-Garros, BNP Paribas
Following changes to the French Monetary and Financial Code and of the French market authority AMF’s General Regulation, it is...
Ed Rosenberg, Texas Capital
Texas Capital Bank first opened its doors back in December 1998 and nowadays offers wealth-management services, as well as commercial,...
Subscribe to the ETF Express newsletter

Subscribe for access to our weekly newsletter, newsletter archive, updates on the site and exclusive email content.

Marketing by