Gain insight into a state-of-the-art compliance system for financial institutions.
Today being a board member or senior officer at a financial institution is fraught with many different pressures. The need to maintain effective compliance with limited resources while products and services are changing in the banking industry presents a challenge. The growing number of financial technology firms has put pressure on financial institutions to develop new products and services. This topic is intended to define a state-of-the-art compliance system for financial institutions. We will discuss the fundamentals for compliance as well as ways to balance limited resources with effective outcomes. This information will be critical to board members and officers as they develop plans for the future.
Agenda
Faculty
James DeFrantz, CRCM, CAMS, J.D.
Virtual Compliance Management
- 30 years of experience in financial service regulatory compliance
- Worked with money service businesses in the United States and internationally, including consulting with money remitters, Fintech lenders and foreign exchange firms
- Specialist in compliance in consumer and real estate lending, BSA, CRA, fair lending, consumer operations, non-deposit investment products, note department operations, assessment of ALL, and credit approval process
- Served as a senior compliance examiner at the Federal Reserve Bank in San Francisco, as an analytical manager at the Office of Thrift Supervision, and as a commissioned national bank examiner at the Office of the Comptroller of the Currency (OCC)
- Certified Regulatory Compliance Management and Certified Anti- Money Laundering Specialist
- Certificate, Pacific Coast Banking School of Bank Management; J.D. degree, with a concentration in banking and finance, University of San Francisco; B.A. degree, Dartmouth College
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