Jim is a regulatory compliance and internal audit professional with over twenty years of operational, financial, and compliance experience in the financial services industry. His clients include financial services organizations of all sizes, ranging from small local financial institutions to large national financial institutions. Through independent compliance reviews, compliance audits, and risk assessments, as well operational audits and audit function development, Jim works with clients to ensure that controls are implemented adequately to mitigate risks faced by the institutions. Representative engagements he has been involved include Compliance Management System, TRID, HMDA, Flood Disaster Protection Act, UDAAP, TILA, RESPA, SAFE Act, ECOA, FCRA, mortgage servicing, and other deposit and lending regulations. He has conducted numerous independent BSA/AML audits for financial institutions of all sizes to ensure they have an effective compliance program in place and to ensure the program is functioning as intended by management.
Prior to joining CrossCheck, Jim was a manager with Jefferson Wells, a professional services firm providing business solutions and process improvement to its clients in the areas of internal audit, accounting, tax, and technology risk management. He previously held positions with Anderson Tackman (a CPA firm), Metavante (now FIS), U.S. Bank, and Bank of America (formerly Fleet Mortgage).
Masters of Business Administration, Marquette University
Bachelor of Science, Economics, University of Wisconsin – Madison
Certified Public Accountant, (CPA) Wisconsin
Certified BSA Officer, Anti-Money Laundering Association