Erin K. Preston
About Erin K. Preston
Erin K. Preston serves as the Chief Compliance Officer and Acting AML Compliance Officer at Wedbush Securities, where she has worked since 2020. She holds a J.D. from the Elisabeth Haub School of Law and has extensive experience in compliance roles across various financial institutions.
Work at Wedbush Securities
Erin K. Preston serves as the Chief Compliance Officer and Acting AML Compliance Officer at Wedbush Securities. She has held this position since 2020, contributing to the firm's compliance framework in both Los Angeles and New York. In her role, she oversees compliance operations and ensures adherence to regulatory requirements, playing a crucial part in the firm's risk management strategies.
Previous Experience in Compliance
Prior to her current role, Erin K. Preston worked at Dash Financial as the Chief Compliance Officer, AML Compliance Officer, and Associate General Counsel from 2015 to 2019. She also served as the Director of Compliance at Verition Fund Management LLC from 2012 to 2015. Her earlier experience includes working as a Compliance Analyst at Interactive Brokers from 2006 to 2012 and as Chief Compliance Officer at Nabsecurities, LLC from 2019 to 2020.
Education and Expertise
Erin K. Preston holds a Bachelor of Arts in International Relations and Affairs from The Ohio State University, where she graduated with honors in 2005. She also earned a Juris Doctor (J.D.) from the Elisabeth Haub School of Law at Pace University, completing her studies in the Evening Division from 2009 to 2013. Additionally, she obtained a Certificate in Paralegal Studies from New York University in 2008.
Background
Erin K. Preston has a diverse background in compliance and legal affairs, with extensive experience in the financial services sector. Her career spans multiple roles focused on compliance, risk management, and legal counsel, primarily in New York and Connecticut. This experience has equipped her with a comprehensive understanding of regulatory frameworks and compliance best practices.