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Institutional agency broker-dealer Dash Financial serving the U.S. options and equities markets has appointed Erin Preston as chief compliance officer (CCO).
Before joining Dash, Preston served as the director of compliance for Verition Fund Management, a multi-strategy hedge fund based in Greenwich, Conn., where she was responsible for the fund’s day-to-day compliance and legal needs, officials say.
Prior to Veriton, she spent six years at Interactive Brokers, where she focused on the design and implementation of compliance procedures for the retail brokerage and market making divisions, officials say. Preston will be responsible for DASH’s compliance strategy and will be a key stakeholder in the execution of the firm’s business strategy as in-house counsel.
“We are excited to bring her deep understanding in compliance and financial services law to DASH as we continue to grow,” says Peter Maragos, CEO of DASH, in a prepared statement.
In addition to its broker-dealer business, Dash also offers technology and services is a member of all U.S. equity and option exchanges, NSCC and OCC. Launched in 2011, the firm has offices in New York, Chicago and San Francisco.
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