Past Event

Compliance Management for the Dodd-Frank Era
Hyatt Regency Huntington Beach

Dodd-Frank and the reaction of the regulatory agencies have changed the way compliance programs must function. This program will show you how to develop a more proactive, efficient and strategic model that will withstand increased regulatory scrutiny.

Why should you attend this forum?

  • Dodd-Frank is necessitating a change in compliance management for financial institutions
  • Bank compliance programs are structured to deliver technical regulatory compliance but not fairness
  • Enforcement actions will continue to hit institutions in operational areas that are not covered by compliance functions
  • Compliance management must change its scope and practice in order to keep banks out of trouble in the future.

The Dodd-Frank Act and the reaction of the federal banking agencies have fundamentally changed the way compliance programs must function. For example, the increase in UDAAP (Unfair, Deceptive or Abusive Acts or Practices) enforcement by the federal regulatory agencies has changed the way successful bank compliance programs must be managed. Enforcement is subjective and broadly applied, targeting practices that occur “between the cracks.” While compliance functions are operating from checklists and testing programs that are tied to specific regulations, violations are being cited in operational areas outside of the bank’s scope.

This session explores how compliance management must evolve to meet these types of challenges. Regulatory compliance must move beyond subject matter expertise to acquire more diverse skill sets and better integration with the other areas of the bank-particularly risk management functions.

Smart chief compliance officers will utilize technology more than ever to identify problems. Piling on processes and procedures and hiring more people will be unacceptable to management in these times of revenue reduction. Compliance managers must use process improvement methodologies to see the waste in their programs and work to eliminate it whenever possible, without sacrificing effectiveness.

This forum is sponsored by our affiliate member MetricStream



Scheduled Speakers

Kathlyn L. (Lyn) Farrell, Managing Director, Treliant Risk Advisors, has worked in Regulatory Compliance for over 30 years. She is a licensed attorney and has functioned as in-house counsel and compliance officer to financial institutions. She has been in consulting for the past 15 years and was Managing Director of Risk Management Services for Sheshunoff Consulting + Solutions.

Carl Pry, JD, CRCM, CRP, is a Senior Director for Treliant Risk Advisors. Previously he was a Compliance Manager for Key Bank. He brings over 15 years experience through positions at Kirchman Regulatory Service and Accenture. He has written extensively about compliance, tax, audit, and financial institution legal issues and has taught for numerous banking, compliance, state bar associations and financial institutions across the country.

Susan Palm is the Vice President of Industry Solutions for MetricStream, with over 27 years as a practitioner in Governance and Risk Management. Most recently, as the Senior Vice President of Audit and Risk at Sterling Savings Bank, Susan was responsible for Audit, Compliance, Fraud, Credit Review and Enterprise Risk Management. Prior to that, Susan spent over two decades at Norwest and Wells Fargo where she served as the Senior Vice President of Enterprise Governance and Risk Management.

Bob Karchinski is Senior Vice President and General Auditor of Boston Private Financial Holdings, Inc. Bob brings over 35 years of financial services experience performing both audit and consultative roles.  Bob has held senior level positions with multinational organizations, such as Citibank and Bank of America, where he managed audit activities of domestic and international banking functions.

Susan E. McGovney is Senior Vice President, Chief Compliance Officer for City National Bank in Los Angeles.  Ms. McGovney has over 40 years of experience working in financial institutions.  She joined City National Bank in 2008 as the Chief Compliance Officer.  Prior to joining City National, Ms. McGovney has held positions with Fullerton Savings, Glendale Federal, GE Capital Mortgage Insurance, First Interstate Bank of California and IndyMac Bank.

Veronica Johnston is the Risk and Compliance Assistant Manager at MidCountry Financial in Minneapolis.


  • Compliance officers and managers
  • Risk managers
  • Operations managers
  • Internal auditors
  • Credit administrators
  • Bank counsel
  • Senior bank managers


The session will run from 8:30 a.m. to 3:30 p.m., with breakfast and registration beginning at 7:30 a.m. and lunch at noon.




Current Compliance Challenges 

  • What cultural changes are necessary for a new compliance management model to be successful
  • How compliance programs must integrate compliance with business processes
  • What leadership skills are now necessary for compliance managers to successfully lead their institutions forward
  • How compliance management must become more efficient to contain costs in the future


UDAAP –Why it is different




Case Study

10:45 The Case for a New Compliance Model


Streamlining Compliance Risk to meet Regulatory Expectations (Banker Panel)

  • Processes for Assessing, Managing and Reporting Compliance Risk, including emerging requirements for Complaint Management
  • Building centralized and structured regulatory processes to minimize time and external legal expenses
  • Responding to an increasingly active Board




Transforming the Compliance Program

How to make your compliance program more:

  • Strategic
  • Proactive
  • Efficient
  • Integrated.




Basics of Building a UDAAP Program


Case Study



Registration Fees

Early Bird Registration Extended thru November 25, 2012
CBA Member: $345
Non-Member: $445

Regular Registration
CBA Member: $445
Non-Member: $545

Cancellation Policy

The full registration fee will be refunded if a written notice is received by November 6th and 50% if by November 16th. No refunds will be provided after November 16th. Substitutions are allowed.

Location Information

Tuesday, November 27, 2012
Hyatt Regency Huntington Beach 
21500 Pacific Coast Highway
Huntington Beach, CA 92648

Please make your reservation by the cut-off date: October 26, 2012.

We have arranged for a small number of rooms at a courtesy room block rate of $185/night.  To reserve a room, please call (714) 698-1234 and reference the California Bankers Association or you can reserve online by going to:

CBA will also host parking at the hotel.