Streamlining Regulatory Exams: Building Trust & Credibility with Regulators

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Streamlining Regulatory Exams: Building Trust & Credibility with Regulators Former Deputy Comptroller, OCC highlights practical strategies for streamlining regulatory exams that reduces the risk of regulatory sanctions and enhances the reputation for compliance and competence Date: Wednesday June 29, 2011 Time: 8 am PDT \| 3 pm GMT \| 11 am EDT Duration: 1 hour

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Increasing regulatory mandates and scrutiny is putting pressure on Banks and Financial Institutes to manage their compliance effectively and provide supporting evidence during subsequent examination. The regulatory exam can get complicated given the myriad of complex rules governing banking today. In addition the Banks have more than one regulator - for example, a federal and state regulator, or two different federal regulators for the bank and its holding company. This regulatory complexity compounds the need for streamlining the regulatory exam process internally. The structured approach to regulatory exam will also help in establishing trust and credibility with focused efforts and constant vigilance.

To successfully overcome these challenges, banks need to strengthen their regulatory compliance process internally with an efficient solution that facilitates regulatory examination process through centralization of relevant documents, efficient management of regulatory findings and improved enterprise wide visibility into the regulatory compliance process.

Join this online session with Jo Ann Barefoot, former Deputy Comptroller, OCC as she highlights key steps to be taken for streamlining the regulatory exam process.

Managing regulatory exam challenges confronting banks and the associated risk with them
Identifying & managing the regulatory exam process and taking necessary steps to streamline it
Rationalizing key policies and documents across the organization required for the regulatory exam process
Building centralized and structured regulatory exam framework to manage exams

Panelists

Jo Ann S. Barefoot - Co-Chair, Treliant Risk Advisors
Jo Ann Barefoot is Co-Chair of Treliant Risk Advisors in Washington, D.C. She has over thirty-five years of management, strategy, and consulting experience focused on the consumer regulatory challenges facing financial companies. A former Deputy Comptroller of the Currency, partner at the global consulting firm KPMG, and president and CEO of the banking compliance firm Barefoot Marrinan & Associates, she has advised most America's largest financial institutions, scores of community banks, and numerous non-profits and government agencies. Prior to holding the above positions, Ms. Barefoot served on the staff of the U.S. Senate Banking Committee and of the Federal Home Loan Bank Board (now the Office of Thrift Supervision). She was also Director of Mortgage Finance for the National Association of Realtors. Ms. Barefoot is a frequent speaker and media source on financial issues; has authored several books and over 150 articles; has testified repeatedly before Congress and federal officials; and has built several organizations focused on consumer financial issues

Anurag Jain - Product Marketing Head, MetricStream
Anurag Jain, head of GRC product marketing, comes with more than 15 years of experience in the risk and compliance space that includes a decade of experience of working with top wall street banks in New York. Anurag has also spent several years in management role with venture-backed enterprise software and product companies (such as i-flex & Dendrite). Anurag is a graduate of Schulich school of business and IIM Bangalore.

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