Eric Wolfman

Eric Wolfman is Deputy Chief Compliance Officer and Senior Vice President, Director of Capital Markets Compliance and the Control Room at KeyBanc Capital Markets. He assists in directing the broker-dealer’s compliance program and supports the Institutional Bank and Equity Research businesses. He also leads the KBCM Control Room, with responsibility for information barriers, conflicts management, personal trading, employee training, outside business activities, and private securities transactions. Eric has more than three decades of financial services experience, including senior compliance and control room roles at Jefferies, JPMorgan Securities, Credit Suisse First Boston, and Salomon Smith Barney. Throughout his career, he has advised capital markets, investment banking, and research professionals on complex regulatory, transactional, and conflicts-related matters. He earned a B.S. in Environmental and Business Economics, with a concentration in Finance, from Rutgers University.