CE Credits: CRCM 1.25
Description: This webinar will cover the regulatory and compliance issues related to retail deposit mobile banking in the modern age. Topics discussed will include:
- Third Party Vendor Management
- Regulation CC (Funds Availability, Indemnity/Liability for Electronically Created Items)
- App Security & Customer Privacy
- Heightened BSA Risks and Risk Management, Monitoring, and Reporting
- Advertising/CAN-SPAM
- FFIEC Retail Payments Booklet Appendix E
People who should attend: Fundamental background information for the Executive team involved in mobile initiatives. ISO, IT Auditor, Risk Officers, Compliance Officers, and IT Management looking to understand or improve current risk management practices around mobile financial services.
Presenters:
James McGuire, Associate General Counsel
James McGuire has worked as an attorney and legal researcher in the financial industry since 2010. After graduating from the University of Minnesota Law School in 2007, he served as Assistant General Counsel for the Texas Attorney General in the Open Records Division, and later worked as a solo practitioner in the Austin area. Prior to joining Compliance Alliance in July of 2015, James assisted a major mortgaging servicer with the OCC’s independent foreclosure audit and was an SEC filing researcher for a major financial and legal research firm. He has extensive first-hand experience with open records, mortgage servicing, consumer law and securities regulation.
After a hiatus, James returned to C/A in his former role as Associate General Counsel. You may see James on the hotline from time-to-time—he also handles documents and advertisements submitted to us for compliance review. James is also one of our featured authors.
Cindy Prince, CRCM
Cindy Prince, CRCM, brings over 30 years of experience in the financial industry to our group, which includes 17 years of experience as a Compliance Officer and Advisor. Previously, she served as a conduit for individuals involved in compliance at financial institutions seeking training, resources and answers to their compliance questions. Cindy has taught at several large conferences, been published in industry and association magazines, and is considered a specialist on the new HMDA rules.
In her new role as Compliance Specialist here at C/A, Cindy will be working in the Education Department and will be a presenter nationwide at conferences, schools, conventions, and remotely via bi-monthly webinars. She’ll also be assisting in the creation of tools and resources, policy and document reviews, and be a featured author across C/A’s publications.
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