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 fiduciary and banking lines of business.• 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.• Oversaw and designed the entire risk platform associated with investing in Alternative Products (including Hedge Funds, Private Capital and Real Assets) to ensure all risk and operational activities meet our fiduciary duty standard, regulatory requirements and unique accounting and valuation requirements/responsibilities.• Manage and maintain relationships across multiple lines of business, audit, legal, compliance and regulators

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 relevant laws and regulations for trust asset management activities for affluent & high net worth client segments, including: retirement accounts, state and municipalities, foundations, endowments and individuals (ERSIA, Reg9, State Law, SEC). • 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 distribution, alternative investment distribution and options strategies;• 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, separately managed accounts and alternative investments;• Responsible for oversight of investment marketing review team; • Participate in the review, investigation and resolution of regulatory and risk matters; including, implementation of new regulatory requirements;• Provide compliance risk metric reporting to executive management and leadership committees and serve as member of key LOB committees;

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 standards.

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. Manage audit engagement (planning, fieldwork, report writing) and provide on-the-job training to junior staff. Interacted with operating personnel and mid to upper level line managers in the Investments, Trust and Community Banking functions to analyze procedures and assess the adequacy of compliance to corporate policy and regulation.