Our diverse “financial institution” client base includes:
- Community Banks
- Credit Unions
- Financial Technology companies
- Finance Companies
- Money Service Businesses
- Mortgage Lenders
- Other non-bank lenders
250 plus financial institution clients
Financial institution clients with assets totaling $80+ billion
Approximately 75% of bank and credit unions are internal audit and compliance clients
2 in 5 banking clients are subject to the FDIC Improvement Act (FDICIA)
FFIEC IT review and penetration testing for 25% of banks & credit unions
Financial Institutions Areas of Focus
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Practice Leaders
Chris Cain
Chris’ goal is to be a superhero in the eyes of his banking clients. He has more than 15 years of audit experience with financial institutions, commercial companies, and employee benefit plans. He has worked with a variety of public and private community banking and financial institution clients as both an external and internal auditor. Additionally, Chris offers community bank clients substantial experience as a loan reviewer and compliance auditor. The financial institution clients to whom he has offered comprehensive services range from de novo community banks to public multistate bank holding companies.
Chris has led several significant internal control projects, including a Sarbanes-Oxley (SOX) implementation engagement for a financial institution client and recent Federal Deposit Insurance Corporation Improvement Act (FDICIA) internal control assessments. He has attended continuing education classes for community banking, such as the 2013 and 2012 AICPA National Conferences on Banks & Savings Institutions and the 2008 AICPA National Banking School. Chris is also active in various banking industry associations, including the Alabama Bankers Association (ABA) and Community Bankers Association of Georgia.
Professional Designations
Certified Public Accountant (CPA)
Education
Auburn University, Bachelor’s
University of Mississippi, Master’s
Doug Mims
Doug has more than 25 years of experience providing primarily internal and external audit services. He works with both private and publicly held financial services companies, ranging in size from de novo status to regional bank holding companies. Doug also offers his clients extensive experience in Bank Secrecy Act/Anti-Money Laundering, Sarbanes-Oxley Compliance, and mergers and acquisitions.
Doug is a member of both the American Institute of Certified Public Accountants (AICPA) and the Alabama Society of Certified Public Accountants (ASCPA). He is also a frequent speaker and content contributor on audit and financial industry related matters.
Professional Designations
Certified Public Accountant (CPA), Certified Anti-Money Laundering Specialist (CAMS), and Certified Internal Auditor (CIA)
Education
Troy University, Bachelor’s
Troy University, Master’s