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Description: Annual BSA/AML training is not only a regulatory requirement, but also part of the successful foundation of a bank’s overall program. This session provides a high-level overview of the compliance requirements for a robust BSA/AML program with a focus on the responsibilities and expectations of the board of directors. It will touch on the major components of the bank’s program, the role of the board, and more.
People Who Should Attend:
Compliance Officers and other relevant compliance team members, Operations, Internal Audit, Board of Directors, and any other team members involved in third-party relationship process.
Presenter: Julia A. Gutierrez, Vice President of Education
Julia A. Gutierrez serves as C/A’s Vice President of Education; developing curriculum and presentations, as well as presenting at various schools and seminars; both live and in a livestream/hybrid format. Julia has over 20 years of financial industry experience to the Compliance Alliance team. She began her career in banking in 2000 while receiving her Bachelor of Business Administration degree in Finance from the University of Alabama. Her compliance knowledge and understanding derive from her combined experience in community banks and consulting. Ms. Gutierrez served as a Risk Management and BSA Officer, assisted in the development of an enterprise wide risk management and compliance program for a de novo institution, assisted in the compliance remediation efforts for an institution who was referred to the DOJ, held positions in retail and branch management, and was a Senior Compliance Advisor for a large regulatory compliance consulting firm.
In addition, Julia also joins the Hotline from time-to-time where her experience is invaluable as a resource. She also is one of our featured authors for both the monthly C/A Access magazine and for articles published by state bankers associations across the nation.