Erik Dolan


Alaric Compliance Services, LLC

Erik J. Dolan is a Director with Alaric Compliance Services, LLC, based in the Washington D.C. metro area. Prior to joining Alaric, Erik worked for three major regulatory bodies, most recently serving as the Director of Professional Qualifications, for the Municipal Securities Rulemaking Board (MSRB). Previously, Erik served as an enforcement investigator for both the Financial Industry Regulatory Authority (FINRA) and the United States Commodity Futures Trading Commission (CFTC). In addition to his experience as a regulator, Erik has served as a compliance manager for a large ETF complex, a VP of compliance for an institutional investment research and trading firm and headed the products and services area for an independent retail broker-dealer and registered investment advisor. Erik received his bachelor’s degree in Business Administration from University of Maryland and his MBA from American University’s Kogod School of Business.

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