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Managing Director

Eric Gagnon is a Managing Director at Ankura (Chartwell Compliance) based in Vermont. Eric has over 22 years of experience in banking, securities, trust, money service business, and lending. He provides a broad range of licensing and consulting services involving the establishment of a new money service business, investment advisory, and consumer finance along with other financial licensing scenarios in the U.S. and Canada.

Eric is a former Examiner with the Vermont Department of Financial Regulation and former Area Financial Manager with the Florida Office of Financial Regulation. During this time Eric was involved with risk-based examinations, investigations, and licensing of money service business (MSB), virtual currency, trust company, bank, credit union, investment advisors, broker dealers, and lending companies. Eric worked closely with MTRA on the direction of education and training of new state examiners and was part of the NASAA committee developing investment advisor questions for series examinations.

Prior to working as a regulator, Eric spent 12 years with large brokerage firms in securities trading, investment advisory, regulatory compliance, and supervisory capacities. During this time Eric served as the general sales supervisor overseeing the activities of Registered Investment Advisors mitigating risk and creating a culture of compliance. He also worked in other areas of the firms performing interest rate hedging, options trading, portfolio management, and market research