Eric Bernstein
About Eric Bernstein
Eric Bernstein is a Senior Regulatory Counsel at UBS, where he has worked for 25 years. He has a background as a former federal prosecutor and has participated in industry discussions on regulatory trends.
Work at UBS
Eric Bernstein has been employed at UBS since 1999, serving as Senior Regulatory Counsel. His role involves providing legal guidance on regulatory matters, ensuring compliance with financial regulations, and advising the firm on best practices in the financial services industry. His extensive experience spans over 25 years, during which he has contributed to the firm's regulatory strategy and compliance framework in New York, New York.
Education and Expertise
Eric Bernstein holds a Doctor of Law (J.D.) degree from New York University School of Law. He also earned a Bachelor of Arts (B.A.) in History from Harvard University. His educational background equips him with a strong foundation in legal principles and historical context, enhancing his expertise in regulatory compliance and legal counsel within the financial sector.
Background
Prior to his current role, Eric Bernstein served as an Assistant U.S. Attorney in the Eastern District of New York, specifically in the Business and Securities Fraud Section. This experience as a federal prosecutor provided him with in-depth knowledge of enforcement actions and regulatory frameworks, which he applies in his current position at UBS.
Industry Involvement
Eric Bernstein actively participates in industry discussions and policy-making. He has served as a member of the SIFMA Compliance & Regulatory Policy Committee, contributing to the development of compliance standards in the financial industry. Additionally, he has participated as a panelist in an ABA SRO Subcommittee webinar, where he discussed trends in FINRA enforcement, showcasing his engagement with current regulatory issues.
Regulatory Representation Experience
Eric Bernstein has experience representing senior executives and financial advisors during testimonies before regulatory and law enforcement agencies. This aspect of his career highlights his capability to navigate complex regulatory environments and advocate for clients in high-stakes situations.