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Wednesday, November 14 • 9:30am - 10:00am
Regulatory Compliance: Plan, Test, Respond

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It’s no secret that an explosion in disruptive technologies has led to internet and mobile-technology being used more than ever before to provide increased convenience and rocketing speed to a myriad of financial transactions. Along with this explosion comes an increased level of compliance and operational risk, corporate responsibility, as well as government regulation and oversight for services companies attempting to keep up with the times and their customers’ ever increasing set of demands.

This session will discuss the role these technologies are having on compliance.  Specifically, it will address the need for proper compliance testing protocols and provide insight into how they should look within your organization.  Lastly, it will cover best practices for internal and external communications should an organization run afoul of a regulatory authority.

  • What is the purpose of compliance testing?
  • A definition of applicability of regulations to departments and processes
  • What should be tested /risk points?
  • If you face a potentially high-profile compliance issue, how should you communicate internally and externally?

avatar for Robert Caracciola

Robert Caracciola

Chief Compliance Officer, Servicing Solutions
Robert has been leading Compliance and Quality Assurance efforts in the Financial Services sector for over 15 years. With the abundance of Federal and State consumer finance regulations in existence today, Robert’s guidance is essential to ensuring that Servicing Solutions always... Read More →
avatar for Michael Thurman

Michael Thurman

Founder, Thurman Legal
Michael Thurman is a regulatory defense attorney who represents businesses, executives andemployees in lawsuits, arbitrations and regulatory actions. He regularly defends business clientsin consumer protection class actions and government regulatory actions and investigationsbrought... Read More →
avatar for Mike Trainor

Mike Trainor

VP, Public Relations, S & A Communications
Mike Trainor has more than 20 years of public relations and crisis communications experience. Over the course of his career, he has represented some of the world’s most recognized brands, including Virgin, Deloitte, Oracle, OppenheimerFunds, TD Ameritrade, Sallie Mae and Bank of... Read More →

Wednesday November 14, 2018 9:30am - 10:00am MST