Eric James
Managing Director, Operations and Compliance @Encina Capital Partners, Llc
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WORK HISTORY
Managing Director, Operations and Compliance @Encina Capital Partners, Llc
Norwalk, CT, US
Encina Capital Partners, LLC (together with its affiliates, “Encina”) provides specialized lending and leasing solutions to middle-market companies in the U.S. and Canada through three distinct platforms – equipment finance, first-out cash flow lending and lender finance. Since its launch in 2014, Encina has provided over $3 billion in aggregate commitments to more than 150 customers across a wide variety of industries. Encina has approximately 50 employees located across six offices in the U.S. For additional information, please visit
EDUCATION
Indiana University Bloomington
B.M., Music
SKILLS
ABOUT ERIC JAMES
Previous Experience: At Morgan Stanley Private Bank, National Association and Morgan Stanley Bank, N.A, managed a robust compliance management system for digital products and services; provided guidance and functional requirements for the implementation of on-line applications; privacy; draft/review compliance-related policies, procedures, training modules and testing scripts.Compliance Officer for the Corporate Finance (CF) business within GE Capital, with 650 employees in the U.S. and Canada in structured lending, equipment leasing/lending and corporate aircraft financing. My responsibilities at CF included management of regulatory Compliance risk (including Treating Customers Fairly, Anti-Competition, Improper Payments, Anti-Corruption, Sanctions, AML/financial crimes), annual Compliance Risk Assessment, identification and remediation of violations, regulatory change management of the Compliance program and related business-level procedures and guideline documents, training, training enforcement, reputational risk assessment/advisory and regular communication to the business.Compliance AVP for GECC’s Sponsor Finance group.Operations team management for many GE Capital Americas portfolios; Non-Earnings Team Lead; project facilitation; deal servicing (ACBS, Loan IQ;) training; customer relations; billing; receivables; building library of closing documentation; creating and documenting procedures; UCCsCreating position of Liaison between Structured Lending Operations and Sponsor Finance group.Strengths: Regulatory Compliance; Policy and Procedure creation (as well as non-governing Guidelines), revision and review; compliance risk assessment; compliance training; cross-functional team leadership; written and verbal communication; project facilitation; group relationship management and Operations management.
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