Alumni in Residence: Compliance


Tuesday, October 20, 2020 1:00 pm to 1:30 pm


Streamed Online

Streamed Online
UConn Law
Streamed Online
Hartford, CT 06105


This event welcomes students.


Speakers: Eric DiFiore and Mike Pellin

UConn Law students are invited to hear from two alumni about their career paths in Compliance.

Eric DiFiore is a Compliance Director and Regulatory Counsel in the Regulatory Compliance group of Guggenheim Partners, LLC. In his role, Eric is responsible for project managing technology projects geared toward the automation of various compliance processes, managing various processes required to monitor the Firm's information barriers, provide support for the registration processes of the Firm's broker-dealer registered representatives, and facilitates the centralized review of Form ADV annual amendments. Eric brings over 10 years of compliance experience through various capacities including as a Compliance Associate in the Compliance and Legal Affairs group of MetLife as well as working as a Compliance Officer for Hartford Investment Management Company (“HIMCO”), a subsidiary of The Hartford.

Following graduation, Mike Pellin worked as an Attorney within the Legislative Commissioners' office at the Connecticut General Assembly and as an Associate Attorney at the Flood Law Firm after graduation. He currently works as the International Compliance Officer & Manager of the Americas at Aetna International, a CVS Health Company.

You will learn about post-graduate opportunities in Compliance. Any student who wants to explore this growing area of practice will benefit from this session.

Via Webex:


MaryBeth DelGaudio


If you require reasonable accommodations for a disability, please contact the Law School at 860-570-5130 or via email at at least two weeks in advance.