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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

REGISTER TO ATTEND

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. 

JOIN US IN JUNE

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

DAY ONE:
JUNE 10, 2026

 

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.

 

 

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 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.

 


Routine actions like depositing a check, accessing your money, or disputing a charge may seem like very simple activity.  However, behind the scenes, those everyday transactions involve layered decisions, timing requirements, and judgment calls that carry real compliance risk.

This session transforms those common customer experiences into requirements and obligations that are triggered to protect consumers.  We’ll explore how Expedited Funds Availability Act (Reg CC) funds availability decisions are made and communicated, what issues can pop up under  Electronic Fund Transfer Act  (Reg E) when handling disputes, and where overdraft and fee practices draw the most scrutiny.

Along the way, we will highlight pressure points that regulators continue to focus on for deposit products and services, from Truth in Savings Act (TISA)/Reg DD disclosures to best practices for mitigating compliance risk. Because what feels simple to the customer is often when compliance risk is most exposed.

In this session you will learn how to:

  • Walk through simple customer actions like depositing a check or disputing a charge to see how they can trigger a chain reaction of behind-the-scenes decisions, timelines and obligations,
  • Spot where everyday deposit processes tend to break down, and why those moments draw the most customer frustration and regulatory attention, and
  • Apply practical strategies to align disclosures, operations and customer experience to reduce compliance risk across deposit products and services.

We close out day one with a brief recap and interactive Q & A session. 

DAY TWO:
JUNE 11, 2026


A consumer applying for credit moves through a sequence that feels straightforward on the surface, but is tightly structured behind the scenes. The first step typically involves the submission of an “application” – whether applying for a credit card, mortgage, auto loan, personal loan, or line of credit. The financial institution then collects, verifies and evaluates personal and financial information, and decides whether to approve or decline the application.

During this initial stage, several regulatory frameworks are in place to shape how the process must be handled. For example, the Truth in Lending Act (TILA)/Reg Z requires standardized disclosure of pricing elements like the APR, finance charges, and repayment expectations so consumers will have a clear understanding of what they are agreeing to before accepting credit.

The Fair Credit Reporting Act (FCRA) governs how credit information is accessed, used, and shared in the decisioning process. Across all credit products and services, additional compliance touchpoints appear throughout the lifecycle of the relationship, from origination through servicing and repayment. In this session, we will introduce the key requirements that apply to credit products and services and provide a big picture view of the regulatory landscape.

 

In this session you will learn how to:

  • Gain familiarity with the key regulations that shape the consumer credit life cycle, including what their purposes are and how they relate to lending activity,
  • Identify the key touch points where those requirements come into play as the credit experience unfolds from application through underwriting, servicing, and repayment, and
  • Understand how regulatory requirements translate into practical lending operations, shaping how credit decisions are made, how terms are communicated, and how the consumer experience is consistently delivered across credit products and services.

 


As consumers seek access to credit, expectations around fairness, consistency, and equal treatment shape every stage of the lending process. This session follows that experience, from initial inquiry through application, underwriting, and ongoing servicing, to examine how institutions ensure that borrowers are treated equitably and evaluated on a consistent basis. Along the way, we will explore how the Equal Credit Opportunity Act (ECOA)/Reg B and other fair lending laws govern lending decisions, pricing, and communications to ensure equal access to credit.  We will also examine how data is collected under the Home Mortgage Disclosure Act (HMDA) and used to monitor outcomes and identify potential disparities.

We will also consider situations where additional protections apply for servicemembers under the Servicemembers Civil Relief Act (SCRA) and Military Lending Act (MLA), and how those requirements intersect with day-to-day operations. While the regulatory environment continues to evolve, the foundational expectations remain, and are important to support fair access to credit.

In this session you will learn how to:

  • Assess lending practices across the customer journey to evaluate consistent, equitable treatment across the lifecycle of the lending process,
  • Collect, submit, and interpret data to evaluate outcomes and identify potential fair lending risk, and
  • Recognize when additional borrower protections apply for servicemembers, and how to incorporate them into operational process.


Residential mortgage lending follows a defined consumer journey from application through closing, with regulatory requirements shaping each stage of the process. This session follows that path, exploring how a borrower’s ability to repay Is evaluated, how information is gathered and verified, and how cost and terms are communicated along the way, including a review of key elements of the TILA/RESPA Integrated Disclosure (TRID) requirements.

We will also discuss property-related considerations, including appraisal standards and what happens if the home is in a flood zone.   In some cases, additional rules apply, such as when high-cost mortgages trigger HOEPA requirements.  Real-world examples and common examination findings are used throughout our discussion to connect regulatory expectations to what actually happens in day-to-day operations.

In this session, you will learn how to:

  • Identify ability-to-repay requirements and related documentation and verification standards as they apply throughout the mortgage lending process,
  • Recognize the intricacies and challenges inherent in the TRID timing and tolerance rules for Loan Estimates and Closing Disclosures, and
  • Detect key compliance triggers and operational requirements tied to high-cost mortgages, flood insurance, appraisal standards, and document retention.

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.

Additional attendees just $150 each!

* Please keep in mind that when you sign up, you'll register with BankersOnline's official training partner Compliance Resource.

$ 995.00

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