Jim is a regulatory compliance and internal audit professional with over 35 years of operational, financial, and compliance experience in the financial services industry. His clients include financial services organizations of all sizes, ranging from small 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. Engagements he has been involved in 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 to ensure the client has an effective compliance program in place and that the program is functioning as intended by management.
Prior to joining CrossCheck, Jim was a manager with Jefferson Wells International, where he provided business solutions and process improvement recommendations to clients in the areas of internal audit, accounting, and technology risk management. He previously held positions with Anderson Tackman (a CPA firm), Metavante (now FIS), U.S. Bank and Bank of America.
Jim is a published author in the ABA Bank Compliance magazine (now ABA Risk and Compliance) on the topics of TRID and BSA/AML. He is a frequent instructor for the Wisconsin Bankers Association (WBA), and has presented for the Mortgage Bankers Association (MBA), the American Bankers Association (ABA), the Georgia Bankers Association (GBA), the Central Florida Compliance Association (CFCA), the Northern Illinois Compliance Association (NICA) and the Western Bankers Association (now California Bankers Association (CBA)).
Masters of Business Administration, Marquette University
Bachelor of Science, Economics, University of Wisconsin – Madison
Certified Public Accountant
Certified BSA Officer