Alex Holloman Iii Email & Phone Number

As the Assistant Vice President, Compliance (AVP, Compliance), I report to the Chief Legal Officer and manage a team of Compliance professionals that are charged with meeting the strategic, operational and day-to-day objectives of EquiTrust.In this role I serve as an advisor and coach to the team as they perform their duties and responsibilities in a manner that is consistent with EquiTrust’s Company Values of Integrity, Leadership, Accountability, Teamwork and Passion.In this role, I am responsible for management, development, budgetary recommendations, and control and oversight of the Compliance Team. The position also assists in the development and execution of the policy direction of the business unit and works with members of Senior Management and Company leadership to meet the compliance and regulatory needs of the organization.

Atlanta Metropolitan Area

I reported to the Chief Compliance Officer and oversaw life insurance compliance risk management activities in alignment with enterprise standards. I managed and lead a staff in the development and implementation of strategic and tactical solutions to protect and minimize the operational compliance risk associated with the USAA Life annuity products. We provide second-line independent oversight and guidance regarding annuity products, services and processes through an enterprise compliance framework to ensure they are executed in accordance with the various regulatory requirements. In partnership with our business partners and key stakeholders, our mission is to continuously drive a strong culture of compliance and demonstrate integrity through professional judgement to protect the interests of USAA and our members.• Strategize with product development and sales/marketing teams on new product initiatives to provide guidance on filings and regulatory compliance.• Prepared, analyzed and submitted risk management reports with regularity to operational business partners; Uses report data to allocate the daily workflow for all team members.• Provided technical expertise and leadership to the team and handled complex and/or escalated issues independently.• Managed a staff of six (6) in the development and implementation of strategic and tactical solutions for regulatory alignment, risk assessments, monitoring and directives to support the annual compliance plan. • Developed department budgets, advocated for appropriate resources, expense management and staffing adequacy.• Participated in the development of department goals and action plans to ensure that goals and action plans align with achieving company objectives.

Greater Atlanta Area

In my role, I was responsible for establishing and implementing an effective compliance program that mitigates the risks associated with processing business operations for our clients, within all states they are licensed to perform insurance and investment activity. Along with our Regulatory Assurance staff, we monitor the compliance efforts of our company and provide regular reports to Senior Management. As the Compliance Officer, I was authorized to implement all necessary actions to ensure our achievement of an effective compliance program. Areas under my responsibility include: regulatory change, privacy, cyber security, AML, Anti-fraud, policy management, business continuity and disaster recovery.Functions:Institute and maintain effective compliance communication with our clients to ensure all regulations and compliance concerns are being addressed and followed. Manages the daily operation of compliance to develop initiatives, maintain and revise policies and procedures for the general operation of the compliance program and its related activities to prevent illegal, unethical or improper conduct.Collaborates with other departments (for example, human resources, chief security officer, head of operations and client relationship management) to direct compliance issues to appropriate existing channels for investigation and resolution.Consults with general counsel as needed to resolve difficult legal compliance issues.Work with Quality and Risk to ensure that compliance issues and concerns within the organization are being appropriately evaluated, investigated and resolved. Identifies potential areas of compliance vulnerability and risk, develops and implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future. Draft responses for interrogatories, questionnaire, surveys, exams and annual audits.

West Des Moines, Iowa

As the Compliance Director for Third Party Administration, I provided oversight and partnered with associates across Compliance, TPA Management, Legal, Internal Audit and Operations to ensure a consistent company-wide governance approach was applied to our TPA's and the business they administered for Athene. We established policies and performed onsite visits to fully understand the operations of our TPA's in relation to regulatory requirements; providing guidance to the appropriate business units. Monthly we reviewed performance reports and conducted analysis to identify, assess and monitor risks and developed appropriate remediation plans. Annually we performed risk assessments, deliver required training, provided guidance on regulatory changes and developed reports for senior management.In addition, I also served as the Suitability Director for Athene Annuity and Athene Annuity of New York. I provided oversight to a team responsible for reviewing all annuity applications submitted to the company while evaluating agent, client, company and regulatory risk associated with each sales transaction. Monthly, I delivered reports to senior management along with our annual suitability report to the executive board and other company stakeholders. I collaborated with various internal departments though regular meetings, suitability sales training, sales office business reviews and quarterly webinars. I was responsible for integrating different procedures and guidelines into a singular suitability policy as the result of multiple company acquisitionsOther responsibilities:Assisted in product development, producer training, regulatory monitoring and marketing reviews.Drafted responses to state regulatory inquiries, market conduct exams, agent investigations and customer complaints.

West Palm Beach, Florida Area

As the RVP, I provided business and sales development to Financial Advisors and Broker-Dealers, by leveraging our carrier relationships to design client centered insurance solutions. I used strategic planning to create business development plans for my key accounts to help them achieve their revenue goals. I constantly cultivated new relationships through referrals from current accounts, breakfast meetings and numerous networking groups. My territory of 20 states was managed through phone, email, WebEx, Face-to-Face and Group meetings that generated over $32 million in annuity sales and $2+ million in target life insurance.

Lake Worth, Fl

This was a wonderful opportunity to start-up a region for an expanding Independent Brokerage Agency by creating new relationships through multiple Broker-Dealers. We were able to recruit four National Accounts and cultivate new business from past established relationships spread over six states. I spend 40% of my time traveling the region delivering presentations to establish a footprint from the Agency that generated over $23 million in Annuity sales and $1M+ in target life insurance production.

Coral Springs, Fl

This was a tremendous opportunity to market various Fixed Annuity products to existing National Accounts through a top five Master General Agency. I was proficient in delivering product information for over 25 carriers while providing business sales concepts to our agents. We used our carrier relationships to provide joint presentation and give our agents direct access to facilitate sales. I spent 70% of my time traveling a seven state region providing conceptual sales ideas and cross-sold multiple product lines to generate additional revenue. We were able to generate over $700 million of fixed annuity sales during my time as a Regional Director.

Charlotte, North Carolina Area

I began as an Internal Wholesaler for Variable Annuities and made a lateral move to become the Internal Fixed Annuity Wholesaler. I utilized the phone and email to contact brokers, set appointments and drive sales. We promoted our platform of fixed and variable annuity products to registered reps and our captive producers. We developed marketing materials for our agencies to promote our various products to their contracted producers. I spent 98% of my time making outbound “cold” calls to prospect form new relationships and set appointments for my three externals.