Eric Holman Email & Phone Number

Minneapolis, Minnesota, United States

• Manage a team of risk professionals responsible for oversight and monitoring of all frontline risk management activities, including investment and fiduciary risk, ethics, conduct, and operational risk for trust and.
• Oversaw the coordination of line of business risk programs for Ultra High Net Worth activities, including: Fraud, Product and Services, Compliance, Information Security, Business Continuity and Conduct activities.
• Responsible for oversight and monitoring of key risk functions through comprehensive management information reporting/risk metrics, root cause analysis and escalation for bank, and registered advisory businesses.
• Participate in Senior Level management committees to ensure risk identification and credible challenge.
• Assisted in the development and oversight of key technology initiatives through implementation, including core accounting platform, investment compliance system and business operations.
• Lead comprehensive audit and regulatory examinations to represent risk management functions and control infrastructure associated with Fiduciary and investment management functions.

Greater Minneapolis-St. Paul Area

• Directly responsible for all compliance and risk requirements and oversight for banking and SEC registered products and services. Maintain and review policies, procedures and practices to ensure compliance with all.
• Successfully manage a team of investment compliance professionals overseeing asset management activities for over 10,000 accounts in excess of $40 billion under management;
• Responsible for the design, evaluation and/or implementation of core compliance requirements, including: investment compliance testing program, policies, procedures and remediation plans;
• Coordinate and lead regulatory examinations covering asset management and fiduciary activities;
• Assist in the development and execution of complex business initiatives across multiple legal entities and regulatory regimes, including launch of Registered Investment Advisor (RIA) for centralized research.
• Oversee compliance and risk analytic reporting for investment platform and product offerings, including: registered/private funds, derivatives, capital markets/investment banking activities, market linked products.

Responsible for managing the business-aligned compliance team and program that support and oversee Lowry Hill's business groups, enterprise functions and businesses,driving consistent execution of the compliance program and ensuring that business activities across the firm are conducted in compliance with applicable laws, rules, regulations and internal.

San Antonio, Texas, United States

Capital Markets & Trust AuditorLead and participated in a variety of audits both as part of a team and individually for Institutional Banking, Trust services, treasury activities, trading, brokerage, registered investment advisers and bond administration.Lead/Supervise audit teams to ensure value-added services and proper coverage of high-risk functions..