As the Director of Risk and Compliance Management, Jamie lead’s Pohl Consulting’s practice providing a wide range of regulatory, compliance, and associated legal and compliance operational services to banks, registered investment advisors and broker-dealers.
Going on 25 years, Jamie has advised banks, registered investment advisors, and broker dealers on a myriad of legal, regulatory, and compliance issues with the primary goal of helping his clients “maximize business while minimizing risk” by getting to “yes” where others could not get past “no.” In doing this, Jamie focuses on finding efficiencies through simplifying unnecessarily complex processes and helping organizations transition to more effective and efficient processes as they grow, simultaneously enhancing both business opportunity as well as legal and compliance effectiveness.
Jamie has developed and delivered multiple presentations on legal, regulatory, and compliance risks facing financial institutions and how best to mitigate those risks, educating audiences from small groups to over 400 people. His extensive experience handling litigation and regulatory enforcement matters allow Jamie to provide real-world advice on what clients should do to address and reduce real, material risks facing their organizations.
Jamie earned his Juris Doctorate from University of Illinois College of Law, cum laude, after completing his Bachelor of Arts in Political Science and Economics with a minor in Business Institutions from Northwestern University. He holds the FINRA Series 7, 24, and 66 registrations.
In his spare time, Jamie is an avid road cyclist and baseball fan.