What ERAs Need to Know in 2025 (and Why AML is on the Radar)
Join us to hear from experienced industry professionals! The panel will tackle topics covering:
What ERAs Need to Know in 2025 (and Why AML is on the Radar)
- Understanding Regulatory Requirements Applicable to ERAs – It’s much more than you think! AUM thresholds, applicable rules
- State ERA Considerations
- Maintaining Compliance as an ERA – Best practices, managing risk, vendor oversight, and cybersecurity obligations.
- Common Compliance Gaps & Deficiencies – Insights from consultants on where firms fall short and common gaps.
- AML Compliance Considerations for ERAs – preparing for compliance with the new AML rule.
- Navigating the Transition to SEC Registration – triggers, timing, preparation for SEC Registration, key steps to ensure a smooth process, from additional rule requirements, policies and procedures and oversight, to technology and operational readiness.
Speaker
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E.J. YerzakManaging Director, Salus GRCE.J. Yerzak, CISA, CISM, CRISC, is Managing Director at Salus GRC. He has over two decades of experience as a cybersecurity and regulatory compliance professional and thought leader helping financial services firms manage risk. His cybersecurity experience includes governance, vulnerability and penetration testing, consulting on data security incidents, reporting frameworks and related cybersecurity risk assessments (including NIST and NYDFS), and vendor due diligence, as well as management of teams conducting phishing testing and dark web monitoring. His regulatory experience includes consulting for private equity funds, hedge funds, pension consulting firms, and retail wealth managers on investment adviser compliance programs, compliance forensic testing, risk assessments, and annual reviews.
Prior to joining Salus GRC, E.J. was Director of Cybersecurity Services for Confluence Technologies, which acquired Compliance Solutions Strategies (CSS) where he served in the same role. CSS acquired Ascendant Compliance Management, where E.J. was a Partner and senior consultant.
As a cybersecurity expert, E.J. has authored numerous articles on emerging technology and regulatory issues published in journals and by third parties and is the author of two award-winning technothriller fiction novels. He is frequently requested to speak at industry conferences around the world on cybersecurity, regulatory compliance, and blockchain.
E.J. holds a juris doctorate (J.D.) magna cum laude from Quinnipiac University School of Law and is licensed to practice at the State Bar of Connecticut and in federal court before the District Court for the District of Connecticut. He also has an MS from Central Connecticut State University in Computer Information Technology/Computer Science, and a dual BA from Colgate University magna cum laude in English and Computer Science.