Wednesday, October 10, 2018 • 2:00 - 4:00 p.m. ET
2.5 CRCM, 2.5 CERP
Bank employee misconduct cannot only result in costly fines and damage to the bank's reputation, it also causes consumer and employee harm, erodes the market's confidence and trust in the bank, depletes capital, and decreases the bank's resiliency. While sales practices and employee compensation are currently a top focus, conduct risk is not limited to that topic.
You will receive guidance on managing conduct risk, including sales practices and employee compensation risk. Get your questions answered.
This briefing features information originally presented during the June 2018 Regulatory Compliance Conference. Content has been updated for this program. If you or your colleagues missed the conference session, now is the chance to participate!
Discussion Highlights:
- Governance and oversight
- Policies and procedures
- Establishment of communications standards
- Detection and monitoring
- Staff engagement
- Risk identification
- People management
- Investigation, evaluation, and escalation of problems
- Measuring and reporting effectiveness
Speakers:
- Kathlyn (Lyn) L. Farrell, CRCM, CAMS, AMLP, Senior Advisory Board Member, Treliant (moderator)
- Kara Tucker, J.D., Enterprise Ethics Office, Sun Trust Bank
- Aprille M. Savarese, Director, Senior Vice President, Conduct, Security and Financial Crimes Risk Management, Zions Bancorporation
- Cara Williams, CRCM, CCEP-I, Senior Vice President, Head of Risk Assessment and Monitoring Corporate Risk, Conduct Management Office, Wells Fargo