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January 2024 Compliance Huddle

For this month’s Huddle, we will be including a special focus on the potential economic headwinds we will be facing as we head into 2024 and discussing why it is critical for banks to ensure they are appropriately managing safety and soundness risks in anticipation.

Please have relevant bank staff attend to the extent possible, including:

  • ALCO committee
  • Risk department
  • Finance/accounting department
  • Credit department
  • Executive/senior management – CFOs, COOs, Investment Officers, etc.

If any are not able to attend, reviewing potential issues with them in advance will be helpful in developing a more robust live discussion. Some of these may include:

  • Has the bank had any exam or audit feedback regarding asset-liability management, interest rate risk, liquidity, capital, etc.?
  • Has the bank made any changes based on the Fed’s recent statement that rates may be reduced? Any other similar strategic changes?
  • Which particular economic headwinds do you anticipate will most affect your bank in 2024?
  • Any other similar safety and soundness topics

Thank you for your participation and we look forward to our discussion!

Register Here

Presenters:

Victoria E. Stephen, JD, CRCM,
Senior Vice President and Deputy General Counsel

Victoria serves as Senior Vice President and Deputy General Counsel for Compliance Alliance. Since joining C/A in 2015, Victoria’s played a role in various facets of the organization, including leading our team of hotline attorneys and compliance officers, developing new products for members, and trainings, both internal and external. She was the first editor of ACCESS magazine and took a leading role in the website development team. Victoria has spoken at a number of compliance conferences and schools, and written for many national and state banker publications. 

While working toward her B.B.A. in Finance from The University of Texas McCombs School of Business, Victoria developed a passion for banking and compliance during an internship with a community bank in South Texas. She continued her interest at The University of Texas School of Law, becoming a licensed attorney in the state of Texas.

In her career, Victoria has worked in the consulting industry, counseling some of the nation’s largest banks on all matters involving regulatory risk, compliance, and controls. Her experience includes advising on the design of compliance risk management programs and a variety of enforcement action remediation efforts for institutions with assets over $100 billion.

Carol Ann Warren, JD,
Associate General Counsel

Carol Ann Warren serves as Associate General Counsel for Compliance Alliance. She graduated cum laude from Mississippi College with a Bachelor of Finance. She earned a Juris Doctorate and a Master of Business Administration through a joint degree program at Mississippi College School of Law and Mississippi College. During law school, she received Best Paper Awards for Securities Regulation and Electronically Stored Information. She is one of our featured authors on the B/A ACCESS magazine and for other publications.
 
After graduation, Carol Ann worked as an attorney for the Mississippi Insurance Department, where she began her passion for helping others navigate through the regulatory environment. She has a diverse educational and experiential background in business management, business law, securities, and insurance. Carol Ann is a licensed attorney in Mississippi, Tennessee, and Texas.
  • January 17, 2024
  • Time: 2:30 pm – 3:30 pm CST
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