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Mitigating Risk through Consumer Compliance Risk Assessments
- Discover ways to identify consumer compliance risk inherent in your organization
- Identify the key program components for managing consumer compliance risk
- Discover ways to mitigate and manage your consumer compliance residual risk
- Discover best practices for conducting a consumer compliance risk assessment
Overview of the webinar
Consumer Protection is a critical component of a financial institution’s compliance management system. In this practical webinar, you will learn the essentials for building an effective consumer compliance management program tailored to meet the size, complexity, market, and assessment area of your institution. Among other things, you’ll learn the basic components necessary for developing a sound program, including board and senior management oversight, risk assessment process, policy and procedures, compliance monitoring and complaint management.
Who should attend?
- Consumer Compliance Officers
- CRA Officers
- Consumer Program Mangers
- Risk and Compliance Officer
- General Counsel
- Chief Compliance Officers
- Risk Management Officers
- Compliance Personnel
- Director of Quality Management
- Control Self-Assessment Personnel
- Compliance Managers
Why should you attend?
Regulators expect financial institutions to adhere to consumer protection laws and regulations. Failure to comply with consumer protection laws and regulations could have serious consequences for the Bank and may result in financial, legal, or other harm to consumers. Such failure could also lead to regulatory sanctions, financial losses, and reputational damage to the Bank. Regulators want institutions to be proactive about ensuring that they are in compliance with consumer protection laws and regulations. That’s why performing a consumer compliance risk assessment to see if your institution has any red flags makes more financial sense then waiting for your regulator to find consumer protection violations.
Faculty - Ms.Jennifer Newton
Jennifer Newton is a former Federal Financial Services Regulator from the U.S. Consumer Financial Protection Bureau (CFPB) and brings clients more than a decade of consumer compliance management and risk advisory experience. With her combined experience in the federal government, law firm, and in-house compliance positions, Jennifer offers an uncommonly broad range and depth of consumer compliance expertise in banking and financial service matters. She regularly consults with clients on complex issues relating to the Real Estate Settlement Procedures Act (RESPA), Telephone Consumer Protection Act (TCPA), Home Mortgage Disclosure Act (HMDA), the Gramm-Leach-Bliley Act (GLBA) and the Fair Credit Reporting Act (FCRA). She also guides clients on deposit and consumer lending issues under the Unfair Deceptive Abusive Acts and Practices Act (UDAAP), the Truth in Savings Act (TISA), Regulation CC, the CARD Act, Truth in Lending Act (TILA), Equal Credit Opportunity Act (ECOA), the Community Reinvestment Act (CRA) and the Fair Debt Collection Practices Act (FDCPA). In addition, Jennifer works with clients on privacy and financial technology (fintech) matters involving data security, data breach, open banking, and payment system issues under the Electronic Fund Transfer Act (EFTA), the Global Data Privacy Regulation (GDPR) and federal and state privacy laws, including the GLBA, HIPAA, ADA, CFAA, FCRA and the Florida FIPA.