Eric Swick

Eric Swick is a director in the Financial Services Compliance and Regulation practice at Kroll, based in New York.

Eric has worked closely with a number of hedge fund advisers, private equity advisers and traditional registered investment advisers during all phases of their business cycle, including registering with the SEC, establishing compliance infrastructures, assisting with the ongoing implementation of such compliance programs as well as conducting mock audits.

Eric joined of the firm through the acquisition of Kinetic Partners in 2015. Prior to joining Kinetic Partners, he spent time in the financial services industry, both in a sales and trading roles in fixed income, as well as in investment adviser due diligence.

Eric received his undergraduate degree in economics from Harvard University, his MBA from the University of Nevada Las Vegas and his M.Ed. from Rutgers University. He holds FINRA Series 7 and 66 licenses.


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Who is Grading the CCO’s Homework?

Aug 22, 2022

by Eric Swick

Compliance


Regulatory Update—Fourth Quarter 2022

Jan 24, 2023

Compliance


AMF and ESMA Updates — December 2022

Jan 24, 2023

by Hannah Rossiter

Compliance


AMF and ESMA Updates — October 2022

Jan 24, 2023

by Hannah Rossiter