Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Eric Prince

Miami

Summary

Motivated compliance professional with experience supporting investment firms across hedge fund, private equity, and private credit strategies. Brings a strong foundation in regulatory filings, surveillance, and day-to-day compliance operations. Skilled at managing multiple priorities in fast-paced environments while maintaining attention to detail and professionalism. Proven ability to collaborate across teams and uphold regulatory standards with integrity and discretion.

Overview

3
3
years of professional experience
1
1
Certification

Work History

Analyst

Optima Partners
01.2025 - Current
  • Conduct ongoing surveillance of electronic communications, personal trading activity, political contributions, and social media to ensure client adherence to SEC and FINRA regulations.
  • Prepare and file key regulatory reports including Form 13F, 13H, and Form ADV.
  • Chaperone expert network calls for hedge fund and private equity clients to ensure compliance with internal policies.
  • Support annual reviews, mock SEC exams, and regulatory audits by maintaining client books and records, reviewing compliance policies, and drafting updates to Compliance Manuals and Codes of Ethics.

Summer Analyst

Ares Management LLC
06.2023 - 08.2023
  • Participated in a rotational program across Credit, Real Estate, and Global Client Solutions (GCS) divisions.
  • Credit division responsibilities encompassed detailed analysis of borrowers, risk assessment of investments, and debt structuring.
  • Real Estate responsibilities included conducting market research, property analysis, financial modeling, and conducting due diligence.
  • GCS responsibilities comprised of preparing financial reports and presentations, building and maintaining strong investor relationships, and aiding in the development of long-term strategies to attract and retain investors.

Intern

Small Business Administration, SBA
02.2023 - 04.2023
  • Supported the State Trade Expansion Program (STEP), an initiative aimed at helping small businesses grow through international trade, involving financial assistance and market entry support.
  • Conducted comprehensive market research and data analysis to identify promising international markets for small businesses, utilizing trade data, economic trends, and industry-specific reports.
  • Assisted in the administration of STEP grants, managing application processes, monitoring budget expenditures, and ensuring adherence to program guidelines and compliance.
  • Engaged in proactive communication and outreach initiatives to inform small businesses about the benefits of the STEP program.

Summer Intern

Herzfeld + Rubin, P.C.
06.2022 - 08.2022
  • Managed and organized legal documents, including drafting, proofreading, and formatting, to support case preparation and ensure streamlined operations.
  • Conducted legal research, utilizing various legal databases to find relevant case laws, statutes, and legal precedents.
  • Assisted in preparing case files, which involved gathering and organizing evidence, creating trial and meeting binders, and aiding in the development of court exhibits.
  • Played a supportive role in the discovery process, organizing and reviewing documents, coordinating document production, and helping draft discovery requests and responses.

Education

Bachelor of Arts - Economics/Government & Law (Double Major)

Lafayette College
Easton, PA
05.2024

Skills

  • SEC and FINRA Regulatory Knowledge
  • Regulatory Filings (Form ADV, 13F, 13H)
  • Compliance Monitoring & Surveillance
  • Compliance Platforms (Global Relay, ComplySci, MCO, Bloomberg Vault)
  • EDGAR Filing System
  • Microsoft Office

Certification

  • Distance running and strength training
  • Avid New York sports fan
  • Travel
  • Investing

Timeline

Analyst

Optima Partners
01.2025 - Current

Summer Analyst

Ares Management LLC
06.2023 - 08.2023

Intern

Small Business Administration, SBA
02.2023 - 04.2023

Summer Intern

Herzfeld + Rubin, P.C.
06.2022 - 08.2022

Bachelor of Arts - Economics/Government & Law (Double Major)

Lafayette College

Similar Profiles

CREATE PROFILE