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WOLF & CO Events Massachusetts Bankers Association – Bank Compliance Academy

Massachusetts Bankers Association – Bank Compliance Academy



Date

December 6, 2021, 9:00 am

Presenters

Stephen R. King, JD, AMLP

Principal

Ryan J. Rodrigue, CISA, CISSP

Principal

 

Description

Location: TBD

Steve King will be speaking on the topic Integrating Compliance Across the Bank. 

Using your Compliance Management system as your starting point, this presentation will then explore the interaction of CMS with the Three Lines of Defense (LOD) concept showing the dynamic nature of how business units, risk/compliance and internal audit work together effectively. Utilizing examples and real scenarios, this session will provide practical approaches for integrating all of these activities, linking compliance to ERM, and elevating the compliance conversation to a more meaningful level.

  • Level setting responsibilities within the Compliance Management System
  • A practical overview of the Three Lines of Defense concept
  • Expectations when designing and pitfalls to avoid when implementing the LOD concept
  • How to identify the important data points and use them in coordination to tell a holistic story
  • What you will need to evolve in your communication practices to tell your story

Ryan Rodrigue will be speaking on the topic Technology and Regulatory Compliance:  Vendor Risk Management Best Practices. 

Does your vendor management program address both the technology and regulatory compliance concerns during the full life cycle of the vendor relationship? The risks associated with outsourcing processes to third and fourth parties continue to rise. These days a mature program is proactive rather than the classic reactive approach; analyzing regulatory compliance responsibilities that interact with such relationships. Wolf will provide its industry experience to discuss what a mature program looks like, as well as shedding light on what can go wrong if a proactive approach is not taken. Attendees will leave this session with the knowledge of how an effective vendor management program functions across lines within a bank.

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