Navigate AI, Risk, and Regulatory Change with Confidence
Senior advisory drawing on leadership roles at the Federal Reserve, U.S. Bank, and World Bank Group — built for institutions where governance, compliance, and transformation outcomes are non-negotiable.
AI Governance & Oversight
Board-level AI governance frameworks; model risk oversight; responsible AI policy design; regulatory readiness for emerging AI requirements.
Board Risk & Audit Readiness
Federal Reserve, OCC, and SEC engagement; audit readiness; governance framework design; board risk committee structure and oversight.
Privacy & Data Governance
Privacy program transformation; data governance frameworks; third-party risk oversight; compliance with evolving data protection requirements.
Enterprise Transformation
Large-scale, multi-stakeholder program build and execution; regulatory-driven transformation; cross-functional mobilization at scale.
Technology is evolving faster than governance frameworks can keep up. Boards and executive teams face growing pressure to oversee AI, privacy, cybersecurity, third-party risk, and regulatory expectations — while continuing to drive growth. CAPIM Financial helps leaders build practical governance structures, strengthen board oversight, and execute transformation initiatives that deliver measurable business outcomes.
Full Advisory ScopeAdvisory built for institutions where governance outcomes are non-negotiable.
Financial Institutions
Regional banks, credit unions, and fintechs navigating regulatory complexity, risk oversight, and technology transformation.
Boards of Directors
Governance committees and audit chairs seeking independent expertise in risk oversight, AI readiness, and regulatory accountability.
Executive Leadership Teams
CEOs, COOs, CROs, and CIOs driving enterprise transformation and building governance frameworks that hold up under scrutiny.
Private Equity & Investors
Firms requiring rigorous governance assessments, regulatory due diligence, and risk evaluation for financial services portfolio companies.
Academic Credentials
Frankel, Jeffrey A. and Poonawala, Jumana (2010). "The Forward Market in Emerging Currencies: Less Biased than in Major Currencies." Journal of International Money and Finance, Vol. 29, No. 3, pp. 585–598.
Lecturer, Hubert H. Humphrey School of Public Affairs, University of Minnesota (2023–present)
Speaking Engagements
Frequent speaker on regulatory strategy, LIBOR transition, and financial transformation at leading industry conferences.
Fixed-scope engagements designed for boards and executive teams.
AI Governance Readiness Assessment
A structured evaluation of your institution's AI governance maturity — from board oversight to model risk controls — delivered as a board-ready report with prioritized recommendations.
- Governance maturity evaluation
- Gap analysis against regulatory expectations
- Board-ready findings report
- Prioritized remediation roadmap
Board Governance & Risk Workshop
A facilitated half- or full-day session for directors and senior executives, building shared fluency in AI risk, regulatory accountability, and governance best practices.
- Half- or full-day format
- Tailored for directors and executives
- AI risk and regulatory accountability curriculum
- Actionable governance action plan
Fractional Executive Advisory
Ongoing senior advisory on a monthly retainer — providing boards and leadership teams with independent expertise in regulatory strategy, AI governance, and enterprise risk oversight.
- Monthly retainer engagement
- Regulatory strategy and positioning
- AI governance oversight
- Board and executive team access
Engage CAPIM Financial
For institutions navigating regulatory complexity, enterprise transformation, or strategic risk — let's discuss how advisory experience translates to your specific mandate.