PROUDLY HOSTED BY BANKERSONLINE & COMPLIANCE RESOURCE
THE BIG PICTURE:
Compliance Orientation for Early-Career Professionals
Strong Foundations. Stronger Institutions.
JUNE 10 - 11, 2026 | ONLINE CONFERENCE
Managing Risk Across the Bank
For compliance professionals in their first few years of work, the rules and regulations can often feel fragmented, cumbersome and overwhelming. They may find themselves immersed in tasks without a clear view of where they “fit” into the bigger picture and how the pieces all connect. This seminar is designed to provide a structured, high-level overview of the regulatory framework governing deposit and lending products and services, along with some practical skills required to succeed in a compliance role.
Participants will learn the purpose behind key compliance requirements, important regulatory concepts, and how the compliance function operates in support of a strong risk management culture. Additionally, they will learn how to think like a compliance officer, communicate effectively with business partners, escalate concerns appropriately, and build credibility across the organization. Attendees will leave with a fresh perspective of both what compliance requires and how to thrive as a compliance professional.
Actionable, Tactical Insights | Nationally Recognized Speakers | Zero Travel Required
*Paid registrations include on-demand access to all conference content for 90-days following the event.
This event is brought to you by BankersOnline and their official training partner, Compliance Resource.
CAN'T MISS INDUSTRY INSIGHTS
TOP REASONS TO ATTEND
Build a strong foundation in Bank Compliance
Develop a clear understanding of the regulatory framework that governs deposit and lending operations..
- Learn how major regulations fit together, including BSA/AML, Reg E, Reg CC, Reg DD, ECOA, TILA, RESPA, and more
- Understand how a strong Compliance Management System supports effective risk management
- Gain clarity on the purpose behind key compliance requirements and how they protect institutions and consumers
- See how compliance responsibilities connect across departments, from operations to lending to frontline staff
Learn How to Identify and Manage Compliance Risk
Understand where compliance issues most commonly arise and how to recognize potential problems before they escalate.
- Explore real-world examples involving overdrafts, disclosures, customer communications, and lending decisions
- Understand UDAAP risk and how complaint management can expose or mitigate compliance concerns
- Learn how regulators evaluate institutions during examinations and monitoring activities
- Identify common operational mistakes that can lead to findings, enforcement actions, or restitution
Develop the Skills to Succeed as a Compliance Professional
Build the practical knowledge and confidence needed to contribute effectively within your institution.
- Learn how to ask the right questions and escalate potential issues appropriately
- Improve communication with lenders, operations staff, and business line partners
- Gain practical insight into mortgage compliance topics such as TRID, ATR, HOEPA, and flood insurance
- Leave with a clearer understanding of your role in supporting a strong culture of accountability and compliance
CONFERENCE AGENDA
Our team is hard at work finalizing this year’s program. Stay tuned!
DAY ONE:
JUNE 10, 2026
Finding Your Place in the Compliance Framework
1:00 - 1:50pm ET | Barbara Boccia & Kimberly Boatwright
1:00 - 1:50pm ET | Barbara Boccia & Kimberly Boatwright
When you’re in a compliance role at a financial institution, it’s sometimes difficult to understand where you “fit” into the grand scheme. This foundational session takes a step back to give you a broad perspective of what compliance risk is, why it matters, and how it is managed through a cohesive compliance framework known as the “Compliance Management System” (CMS).
We’ll break down the core components of an effective CMS, covering the three lines of defense, the importance of preventive and detective controls, and how risk assessments drive real decisions. After we factor in regulatory change, complaint, and vendor management, you will start to see how it all connects to give the Board of Directors the visibility they need to govern with confidence. We will also discuss the regulatory landscape, the examination process, and the real-world consequences of non-compliance.
In this session you will learn how to:
• Recognize what strong governance looks like, including board and senior management responsibilities and the importance of a strong culture of compliance in managing compliance risk,
• Understand the big picture of compliance risk management, including the functions of the three lines of defense and how different roles across the organization work together to identify, manage, and mitigate risk, and
• Operationalize the core elements of a Compliance Management System, including preventive controls like policies, procedures, and training, as well as detective controls such as testing and monitoring.
Stopping Financial Crime: How BSA/AML Programs Protect the Financial System
ET | 2:00 - 2:50 pm ET Kimberly Boatwright:
ET | 2:00 - 2:50 pm ET Kimberly Boatwright:
Financial institutions sit on the front lines in protecting the financial system from criminal activity, and that starts with understanding the key regulatory frameworks built to stop it, including the Bank Secrecy Act (BSA), Anti-Money Laundering (AML) Countering the Financing of Terrorism (CFT), and Office of Foreign Assets Control (OFAC) programs. This session provides a practical, big-picture view of how these programs operate, why they matter, and what role you might play.
We’ll bring these requirements into focus by walking through what they look like in practice, and how you can recognize when something doesn’t add up. You’ll see how everyday activities like onboarding customers, monitoring transactions and documenting decisions feed into a larger effort to detect and prevent financial crime.
In this session, we will discuss how you get to “Know Your Customer” through customer identification program (CIP) requirements and ongoing customer due diligence (CDD). You will learn what happens when concerns arise, how suspicious activity is identified and escalated, and when reports are triggered. We will also introduce the basics of OFAC requirements, including sanctions screening and the role it plays in preventing prohibited transactions. The goal is to connect the dots between isolated tasks you may be performing and the broader mission of protecting your financial institution and the financial system.
In this session you will learn how to:
· Make sense of the financial crime regulatory requirements and how they translate into day-to-day responsibilities, from customer onboarding and due diligence to transaction monitoring, reporting and escalation,
· Recognize red flags that signal suspicious activity and navigate reporting triggers for a clear understanding of when to file Suspicious Activity Reports (SARS) and Currency Transaction Reports (CTRs), and
· Manage financial crime risk at the institutional level connecting documentation, decision-making and consistent, standardized processes to a risk-based approach that protects the organization and the financial system.
Consumer Protection: Marketing, Complaints, and Doing Right by Customers
3:00 - 3:50 pm ET | Barbara Boccia
3:00 - 3:50 pm ET | Barbara Boccia
Consumer protection is more than a regulatory obligation, it is a foundational element of trust, reputation, and long-term business success. In today’s evolving environment, financial institutions are expected to not only comply with some version of Unfair, Deceptive, or Abusive Acts or Practices (UDAAP) standards, but to actively prevent consumer harm before it occurs. This session will explore the regulatory framework underpinning consumer protection, including key expectations from federal and state regulators and what it truly means to identify, assess and mitigate UDAAP risk.
Moving from theory to practice, this session will examine how consumer protection principles are applied across critical touch points, including marketing and advertising reviews, complaint management, and customer interfaces across the customer lifecycle. Attendees will gain practical insight into recognizing the potential of consumer harm, strengthening controls, and embedding a “do right by the customer” mindset into everyday operations. This discussion will emphasize how proactive, consumer-centric practices not only reduce regulatory risk but also enhance customer trust and organizational integrity.
in this session you will learn how to:
- Build the regulatory framework surrounding UDAAP risk and define what constitutes consumer harm in today’s supervisory environment at the federal and state levels,
- Identify and apply consumer protection principles when reviewing marketing materials, responding to customer complaints, and across customer interfaces, and
- Strengthen practices that promote fair, transparent, and customer-focused outcomes by aligning day-to-day actions with a culture supporting consumer protection.
Everyday Banking Rules for Checking, Savings, and Deposit Products
4:00- 4:45 pm ET | Kimberly Boatwright
4:00- 4:45 pm ET | Kimberly Boatwright
More details coming soon.
Day One Wrap Up and Q & A
4:45 - 5:00 pm ET | Barbara Boccia and Kimberly Boatwright
4:45 - 5:00 pm ET | Barbara Boccia and Kimberly Boatwright
We close out day one with a brief recap and interactive Q & A session.
DAY TWO:
JUNE 11, 2026
A Sneak Peek at the Rules Behind Consumer Credit: Lending Compliance Essentials
1:00 - 1:50 pm ET | Kimberly Boatwright
1:00 - 1:50 pm ET | Kimberly Boatwright
More details coming soon.
Fair Lending and Servicemember Protections: Ensuring Equal Access to Credit
2:00 - 2:50 pm ET | Barbara Boccia
2:00 - 2:50 pm ET | Barbara Boccia
More details coming soon.
Navigating the Mortgage Rules Around Home Purchases & Refinancing
3:00 - 3:50 pm ET | Kimberly Boatwright
3:00 - 3:50 pm ET | Kimberly Boatwright
More details coming soon.
This Ones For You: Let's discuss your comments & answer any questions!
4:00 - 5:00 pm ET
4:00 - 5:00 pm ET
We close with an extended interactive session to ensure you leave with the clarity you need to tackle your toughest compliance challenges.
2026 SPEAKING FACULTY
Kimberly Boatwright
CRCM CAMS FLE
Director of Compliance & Risk | Compliance Resource
Barbara Boccia
CRCM MBA JD
Senior Compliance & Risk Consultant
REGISTRATION RATES
Actionable Insights | Nationally Recognized Speakers | Zero Travel Required
*All paid registrations include on-demand access to all conference content for 90 days.
SINGLE TICKET PRICE
Join us in June to gain a fresh perspective on what success in compliance requires and how to thrive as a compliance professional.
* Please keep in mind that when you sign up, you'll register with BankersOnline's official training partner Compliance Resource.
