Erik K. Olsen, CFE
Erik is a Director at ACA Compliance Group. Erik focuses on the mutual fund industry, providing ongoing and customized regulatory compliance consulting and compliance program review services to registered investment companies, their investment advisers and sub-advisers, and other service providers. Erik joined ACA in 2012 as a Senior Principal Consultant.
Prior to joining ACA, Erik was a Compliance Director at Legg Mason. In that role, he headed the firm’s Global Compliance Examinations team, overseeing compliance program and risk control reviews of Legg Mason’s worldwide investment advisory affiliates and distribution units.
Before Legg Mason, Erik served as a Securities Compliance Examiner in the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (Investment Adviser/Investment Company) where he conducted regulatory examinations of registered investment advisers and registered investment companies. At the SEC, Erik helped launch the CCO Outreach Program. In 2005, he received the Chairman’s Award of Excellence.
Prior to the SEC, Erik worked in the Mutual Funds Legal and Accounting Departments of Deutsche Asset Management. Erik led the Domestic Equities fund accounting team, responsible for the daily accounting and processing of mutual fund net asset values, and the semi-annual creation of fund financial statements. Erik also served in the Legal Department where he reviewed and drafted registration documents and participated in boards of directors meetings.
Erik is a Certified Fraud Examiner. He earned his Bachelor of Business Administration degree in Finance from Loyola College (now Loyola University Maryland).
Prior to joining ACA, Erik was a Compliance Director at Legg Mason. In that role, he headed the firm’s Global Compliance Examinations team, overseeing compliance program and risk control reviews of Legg Mason’s worldwide investment advisory affiliates and distribution units.
Before Legg Mason, Erik served as a Securities Compliance Examiner in the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (Investment Adviser/Investment Company) where he conducted regulatory examinations of registered investment advisers and registered investment companies. At the SEC, Erik helped launch the CCO Outreach Program. In 2005, he received the Chairman’s Award of Excellence.
Prior to the SEC, Erik worked in the Mutual Funds Legal and Accounting Departments of Deutsche Asset Management. Erik led the Domestic Equities fund accounting team, responsible for the daily accounting and processing of mutual fund net asset values, and the semi-annual creation of fund financial statements. Erik also served in the Legal Department where he reviewed and drafted registration documents and participated in boards of directors meetings.
Erik is a Certified Fraud Examiner. He earned his Bachelor of Business Administration degree in Finance from Loyola College (now Loyola University Maryland).