Ericia Gray

Ericia Gray is currently the Director of Compliance at Abacus Wealth Partners. Prior to joining Abacus, they spent 9 years at International Value Advisers, LLC, where they most recently served as Senior Compliance Officer. In this role, Ericia was responsible for conducting risk assessments and program testing to detect improper conduct and mitigate potential discrepancies. Ericia also prepared and filed monthly TIC Form SLT reports with the Federal Reserve and forms such as 13F, PF, and 13G with the U.S. Securities and Exchange Commission (SEC). Additionally, Ericia managed a team of compliance professionals and collaborated with cross-functional business partners to implement processes that strengthened monitoring and management of internal controls and compliance risks.

During their time at International Value Advisers, LLC, Ericia made several key contributions which resulted in increased efficiency and profitability for the company. Ericia successfully restructured the compliance program by enforcing Rules 38a-1 and 206(4)-7 per regulatory standards and incorporating additional controls. This led to a successful SEC audit. Ericia also minimized compliance breaches by bridging the communication gap between regulatory and business needs. Other notable achievements include conducting filings with International Regulators related to the firm’s percentage of ownership and leading due diligence visits for service providers to attain compliance with established rules.

Ericia’s experience and expertise in the compliance field has been invaluable to their current role at Abacus Wealth Partners. In their current role, they are responsible for overseeing all aspects of the compliance program, including regulations related to 1940 Act, Title VII of the Dodd-Frank Act, European Market Infrastructure Regulation (EMIR), and other industry regulations. Additionally, they provide written reports for clients and mutual fund board members and conducts external audits to propel operational efficiency and mitigate risks.

They work with Gabe Brenner - Chief Investment Officer, Spencer Sherman - Founder & Financial Advisor, and Annemarie Happee - Director of Technology. Their manager is Mary Beth Storjohann, CEO.