Compliance

Learning Sessions by Track

Complaint Management:
Identifying, Addressing, Reporting

Complaints provide vital insights into how the products and services offered are meeting the customers’ needs. In this session, learn what is considered a complaint and how to effectively manage and resolve it. As complaints will continue to be voiced by customers, explore the value of having a streamlined approach to identifying, capturing, addressing, and reporting.

SPEAKER:

Jason Spelliscy, CRCM, CAMS
Managing Principal
Capco

ERM Compliance for the Boardroom:
How to Report in a Way They’ll Understand

Many risk professionals can find it challenging to report the results of their enterprise risk management program to the board. In this session, learn how to speak to the different personality types around that ERM table in ways that bolster confidence in risk management leadership and program results. Success in the reporting has less to do with which report is chosen to present and more to do with better understanding the audience and how they consume data.

SPEAKER

TBD

The Emerging Landscape of CRA Reform

It’s been 42 years since the enactment of the Community Reinvestment Act and over 20 years since the last significant amendments which stressed performance over process. Real reform of the CRA is long overdue. The OCC is leading the charge with its proposed rule, but what about the Fed and FDIC? Join a seasoned CRA expert in a consideration of what the future of CRA will most likely look like under a revised regulatory framework with more CRA-qualifying activities, streamlined recordkeeping and reporting, a revamped exam process, and sensible incentives for performance. With the digital transformation of banking, CRA’s emphasis on assessment areas tied to branches and ATMs is obsolete, plus there’s increased competition from nonbank lenders. Consider an ideal framework for CRA reform that eases compliance, incentivizes banks, and better serves low- and moderate-income (LMI) communities.

SPEAKER

Robert Cardwell
Managing Principal
Capco​

Avoiding Surprises in Mortgage Servicing

The regulatory environment has continued to impose many challenges on loan servicers. Managing and implementing Consumer Financial Protection Bureau rules has been at the forefront of these challenges. A major focus has been on the impact of servicing transfers which has been impacted by out-of-date servicing technology in place at many servicers. While the business reasons for transferring servicing are justified, the responsibility for compliance with servicing rules cannot be delegated if servicing activities are out-sourced to a third party. In addition to implementing the rules, regulatory and investor quality control requirements mandate the ongoing monitoring of servicing activities. Preventing surprises that can result in significant operational, regulatory, reputational, and financial burdens if not detected on a timely basis is just as critical.

SPEAKER

Jim Shankle, CFSA
Managing Director
CrossCheck Compliance​

Spotting Issues in the Most Important
Due Diligence Documents

Properly reviewing vendor due diligence is necessary for vendor management success. During this session, we will demystify the structure and terminology of three of the most informative and important due diligence documents you should be getting from your vendors: SOC reports, financial statements, and business continuity plans. Receive tips on how you can review these documents and develop techniques for explaining results to your management.

SPEAKER

Leticia Saiid
Security, Executive Assistant
CoNetrix​