Compliance risk continues to increase as banks navigate the current environment. New interpretations of existing guidelines, proposed regulatory changes, accelerated pace of product innovation, and changes in consumer preferences create challenges for compliance teams. This roundtable for Chief Compliance Officers (CCOs) and their delegates offers a valuable opportunity to meet and discuss these challenges with your CCO peers and to identify best practices that you can leverage at your institution to enhance the value of your compliance programs.
A unique feature of RMA’s roundtables is that each event agenda is a bit different, as the agenda is driven by RMA’s Compliance Committee* and the recommendations of registered attendees. The roundtable will likely cover topics like:
• Small business lending data collection
• Implementing proactive compliance risk management programs
• Navigating the regulatory landscape
• Metrics/tools for measuring program effectiveness and efficiency
• Monitoring employee communication methods (approved vs. misconduct)
• Use of data in criminal investigations
• Board reporting
*RMA’s Compliance Committee is represented by individuals from: Busey Bank, Customers Bank, Depository Trust & Clearing Corporation (DTCC), Huntington Bancshares, PNC Financial Services, Truist Financial, Varo Bank, Wells Fargo, and Zions Bancorp.
This roundtable is designed for financial institutions with more than $40 billion in assets under management. We recommend the following individuals attend:
• Chief Compliance Officers
• Directors/Senior Managers of Compliance
• Delegated individuals from the above
This invite-only event is specific to Chief Compliance Officers, Heads or Directors of Compliance, and their delegates only. For questions about this event, or if interested in attending, please email ORMERM@rmahq.org for consideration.