James Larkins
Partner, Promontory Managing Director
James advises clients on trading regulations, compliance management, data governance, information security, and corporate policies and procedures.
James focuses on complex financial regulation including anti-money-laundering and sanctions, compliance management, data governance, information security, and corporate policies and procedures of financial institutions and other market participants, such as banks, credit unions, broker-dealers, investment advisers, nationally recognized statistical ratings organizations, and payments networks.
He has experience conducting and reviewing anti-money-laundering and sanctions risk assessments and been involved in a number of complex assessments of diversified financial institutions with world-wide operations.
Prior to joining IBM Promontory, James worked as an attorney, both in-house and in private practice advising clients on various aspects of financial regulation. He also has experience with national and international due-diligence reviews for large financial institutions and extensive knowledge of compliance and regulations governing publicly traded companies, broker-dealers, and investment advisers.
James holds a LL.M. from Georgetown University Law Center; a J.D. from Creighton University Law School; a M.B.A. from Creighton University; and a B.B.A., University of Nebraska-Omaha.