David Becker

General Counsel and Chief Risk and Compliance Officer, EQ

David Becker is general counsel and chief risk and compliance officer at EQ. He has worked as compliance and risk director for PriceWaterhouseCoopers and chief compliance officer for American Stock Transfer and Trust Company. David manages the risk management, compliance and legal groups at EQ. David earned his law degree from Emory University School of Law in Atlanta.

David, who began his career as a lawyer, has more than 30 years of experience in the securities industry as both a lawyer and compliance officer and is active in the Securities Industry and Financial Markets Association (SIFMA) and the Securities Transfer Association (STA), where he is the founding (and current) co-chairperson of the Compliance Committee.

David frequently contributes writings and lectures to the transfer agent and issuer industries on compliance, risk management, and information security issues, as well as securities arbitration and litigation topics at St. John’s Law School.