Erik M. Bolzner
Rochester,NY
Summary
Risk and Compliance Leader with over 10 years of experience in regulatory oversight and supervisory controls. Expertise in identifying and mitigating regulatory risks through trade surveillance and risk-based monitoring. Collaborates with leadership and compliance teams to deliver risk assessments and corrective action strategies, enhancing risk management frameworks and ensuring compliance with FINRA and SEC standards.
Overview
17
17
years of professional experience
Work History
Head of Risk
Vision Financial Group (MassMutual)
Rochester, NY
01.2024 - Current
- Lead supervisory compliance and risk frameworks for 250+ registered representatives and 115 offices across 8 states, strengthening supervisory controls within the agency’s advisor network.
- Direct firmwide risk monitoring and suitability oversight including transaction reviews of trading activity, correspondence, marketing, and operational suitability reviews, enabling early identification and remediation of sales practice risks.
- Serve as a key liaison to MassMutual’s Home Office risk and compliance teams, coordinating regulatory inquiries, internal audit reviews, and FINRA/SEC examinations.
- Conduct investigations into suitability concerns, brokerage transactions, account maintenance requests, and supervisory escalations, implementing remediation plans to mitigate regulatory risk.
- Deliver risk reporting and trend analysis to executive leadership, identifying supervisory gaps and driving corrective actions across advisor supervision and trading activity.
Agency Supervisory Officer
Vision Financial Group (MassMutual)
Rochester, NY
10.2019 - 01.2024
- Supported the Head of Risk by providing supervisory oversight for broker-dealer and RIA operations across a multi-state advisor network, ensuring compliance with FINRA, SEC, and firm supervisory procedures.
- Conducted risk-based supervision and surveillance reviews of advisor trading activity and communications, ensuring adherence to regulatory standards.
- Conduct suitability reviews of brokerage transactions and new business submissions, ensuring alignment with supervisory procedures, regulatory requirements, and firm risk standards.
- Reviewed 500+ transactions quarterly for suitability compliance, identifying potential discrepancies to enhance oversight.
- Supported regulatory examinations and internal reviews by preparing comprehensive documentation and managing timely responses to inquiries.
- Contributed to development and ongoing enhancement of RIA compliance manuals and broker-dealer Written Supervisory Procedures (WSPs).
Institutional Relationship Manager / Sr. Institutional Representative
Folio Investments, Inc.
McLean, VA
12.2014 - 09.2019
- Managed institutional advisory relationships within fintech broker-dealer, ensuring SEC and FINRA regulatory compliance while facilitating platform growth.
- Designed and implemented a standardized advisor onboarding framework that improved operational scalability and compliance consistency across institutional clients.
- Led and developed a 25-person client service team, providing training, performance oversight, and escalation support for complex operational issues.
- Executed institutional and retail orders as alternate trader, adhering to regulatory and firm trading policies to maintain operational integrity.
Financial Advisor
CUSO Financial Services, L.P.
Ft. Myer, VA
11.2016 - 02.2017
- Provided goals-based investment advice meeting suitability, fiduciary, and regulatory standards, enhancing client trust and compliance.
- Created comprehensive financial plans with MoneyGuidePro, aligning client objectives with tailored investment strategies for improved financial outcomes.
Registered Client Service Coordinator
Sage Rutty & Co., Inc.
Rochester, NY
10.2008 - 11.2014
- Coordinated client onboarding, account maintenance, and portfolio monitoring to ensure compliance with firm and regulatory standards.
- Developed portfolio analysis and performance reports to enhance advisor recommendations and facilitate client reviews.
Education
Bachelor of Arts - Business Administration
Nazareth University
Skills
- rFINRA & SEC Regulatory compliance
- Broker-Dealer supervisory controls
- Trade surveillance
- Trade surveillance & monitoring
- Risk trend analysis and mitigation
- Advisor supervision & OSJ oversight
- Suitability analysis
- Sales practice monitoring
- Compliance investigations & corrective action planning
- Risk management frameworks
- A360
- Case management & review
FINRA Licenses
- Series 7, 24, 52, 53, 57 66
Timeline
Head of Risk
Vision Financial Group (MassMutual)
01.2024 - Current
Agency Supervisory Officer
Vision Financial Group (MassMutual)
10.2019 - 01.2024
Financial Advisor
CUSO Financial Services, L.P.
11.2016 - 02.2017
Institutional Relationship Manager / Sr. Institutional Representative
Folio Investments, Inc.
12.2014 - 09.2019
Registered Client Service Coordinator
Sage Rutty & Co., Inc.
10.2008 - 11.2014
Bachelor of Arts - Business Administration
Nazareth University