In addition to CCO responsibilities for CFS and SPF, Erik maintains responsibility for Supervision, Surveillance, and Retail Communications for all Broker Dealers under the Atria banner. He also leads a number of strategic initiatives to ensure the products, platforms and services of the firms meet applicable industry rules and standards. Each Compliance group within the Independent Advisor and Financial Institution Channels has their own Manager/Director and several employees to carry out the day-to-day tasks of the department. Ultimately, Compliance oversees the actions of the OSJs, both those employed by CFS, and those employed by their respective financial institutions.