Eric Rosen
About Eric Rosen
Eric Rosen serves as the Chief Compliance Officer at Signature Estate & Investment Advisors, LLC, a position he has held since 2016. He has a background in economics and entrepreneurship from UC Santa Barbara and has previously worked at Wedbush Securities and Houlihan Lokey.
Work at Signature Estate & Investment Advisors
Eric Rosen has served as the Chief Compliance Officer at Signature Estate & Investment Advisors, LLC since 2016. In this role, he oversees compliance protocols and ensures that the firm adheres to regulatory requirements. His tenure at the firm spans eight years, during which he has contributed to the establishment of a robust compliance framework in the financial services sector. The firm is located in Los Angeles, California, where Rosen plays a key role in maintaining the integrity of the firm's operations.
Education and Expertise
Eric Rosen studied at the University of California, Santa Barbara from 2008 to 2012, where he earned a degree in Business Economics. His academic focus included economics, physiology, and entrepreneurship. Additionally, he studied at the American University of Rome in 2011 for 11 months, further broadening his educational background. This combination of education has equipped him with a strong foundation in both financial principles and operational management.
Previous Experience at Wedbush Securities
Before joining Signature Estate & Investment Advisors, Eric Rosen worked at Wedbush Securities as the Director of Operations in the Capital Markets division from 2013 to 2016. In this position, he was responsible for overseeing operational processes and ensuring efficient execution of capital market transactions. His experience at Wedbush contributed to his understanding of compliance and operational risk in the financial industry.
Internship at Houlihan Lokey
In 2010, Eric Rosen completed a two-month internship at Houlihan Lokey as a Capital Markets Intern. This role provided him with hands-on experience in capital markets and exposure to the financial advisory sector. The internship was an important step in his career, allowing him to apply his academic knowledge in a practical setting and gain insights into the workings of investment banking.