Jamie leads Pohl Consulting and Training’s Risk and Compliance Management practice, providing regulatory, compliance, and legal advisory services to banks, trust departments, registered investment advisors, and broker dealers. His work focuses on helping financial institutions manage regulatory complexity without sacrificing business opportunity, finding practical paths to compliance that support growth rather than constrain it.
Jamie has more than 27 years of experience advising financial services organizations on legal, regulatory, compliance, and business strategy matters. Before joining Pohl Consulting, he served in-house in senior leadership roles with Old National Bank, First Midwest Bank, and Morgan Stanley. Throughout his in-house and prior outside counsel career, his experiences supporting banks, trust companies, RIAs, and broker dealers includes litigation, internal investigations, regulatory exams and enforcement, and compliance program development.
His specific areas of expertise include:
- Trust and wealth compliance program design and assessment
- Regulatory examination preparation and remediation
- FINRA and SEC regulatory matters affecting bank and broker dealer relationships
- Policy and procedure review and development
- Vendor management and contract compliance
- Internal investigations and regulatory enforcement response
- Compliance operational efficiency and process redesign
Jamie has presented on legal, regulatory, and compliance topics to audiences ranging from small executive teams to groups of more than 400 professionals. With Pohl Consulting, Jamie has presented at the South Dakota Trust Association Fall Forum, the Iowa Trust Association Fall Conference, and the Tri-State Trust Forum on a variety of legal, risk, and compliance issues facing banks and trust companies. His litigation and regulatory enforcement background allows him to provide practical, risk-calibrated advice grounded in how regulators and courts actually evaluate compliance failures, not just what policies say.
He earned his Juris Doctor, cum laude, from the University of Illinois College of Law, where he served as Administrative Editor of the Elder Law Journal. He holds a Bachelor of Arts in Political Science and Economics from Northwestern University, where his senior economics thesis was published in the Journal of Public Transportation and presented at the Transportation Research Board in Washington, D.C. He holds an Illinois law license and previously held FINRA Series 7, 24, and 66 registrations.
