Archives: Episode
Episode 55
Episode 55 Helen Touchton, Independent BSA/AML Consultant Helen Touchton, Independent BSA/AML Consultant, provides listeners with practical advice for navigating audits and exams, including that effective audits are fast-paced and require organization and responsiveness from both the auditor and the bank. She lists common audit issues and highlights the highest risk findings that should concern BSA […]
Episode 54
Episode 54 Matthew Largent, SVP of Retail at City National Bank Matthew Largent, SVP of Retail at City National Bank, tackles servant leadership in this week’s episode of Banking Matters. He shares how his military background helped shape his approach to leading and serving others, the significance of perception change in employee accountability, and the […]
Episode 53
Ed Burdzinski, Of Counsel at Spencer Fane LLP, dives into the history of the beneficial ownership rules and the Corporate Transparency Act. He contrasts the beneficial ownership and CDD rules banks currently operate under with FinCEN’s new final Reporting Rule as well as the current status of the proposed Access Rule, and yet to be issued Conforming Rule to conform the current CDD to the Corporate Transparency Act requirements. Ed discusses banks continuing to follow the current CDD rules until FinCEN releases the final Access Rule and the Conforming Rule.
Episode 52
Episode 52 Jeff Swenson, the retail banking chief at Eastern Connecticut Savings Bank In the latest installment of Banking Matters, Daniel Baker engages in a conversation with Jeff Swenson, the retail banking chief at Eastern Connecticut Savings Bank. They discuss the importance of the upcoming generation of individuals joining the banking industry and how community […]
Episode 51
Episode 51 Shawn Tuma, Partner at Spencer Fane LLP Shawn Tuma, Partner at Spencer Fane LLP, reflects on the evolution of “incident response” from the Y2K scare to today. He describes the steps institutions must complete after a cybersecurity incident occurs, including determining the pervasiveness of the incident. Shawn then introduces the concept of a […]
Episode 50
Episode 50 Jenifer Waller, President and CEO of the Colorado Bankers Association. In this episode of Banking Matters, Daniel interviews Jenifer Waller, President and CEO of the Colorado Bankers Association. They discuss Jenifer’s background in banking, her passion for lowering the number of unbanked and underbanked individuals, and the unique challenges and opportunities of marijuana […]
Episode 49
Ed Burdzinski, Of Counsel at Spencer Fane LLP, dives into the history of the beneficial ownership rules and the Corporate Transparency Act. He contrasts the beneficial ownership and CDD rules banks currently operate under with FinCEN’s new final Reporting Rule as well as the current status of the proposed Access Rule, and yet to be issued Conforming Rule to conform the current CDD to the Corporate Transparency Act requirements. Ed discusses banks continuing to follow the current CDD rules until FinCEN releases the final Access Rule and the Conforming Rule.
Episode 48
Episode 48 Olga Gladkova, Vice President and BSA officer at Northwest Bank. Olga Gladkova, Vice President and BSA officer at Northwest Bank, discusses the impact of geopolitical events on financial institutions and the importance of CDD and EDD. She highlights the challenges of dealing with false positives in OFAC screening and the need for robust […]
Episode 47
Elizabeth Schroeder, VP of Regulatory Compliance at Washington Trust Bank, confronts regulatory change management across business lines. She emphasizes the importance of relationships between the first and second lines of defense, shares her methods for relationship development, and reminds compliance professionals to stay humble in post-implementation testing.
Episode 46
Michele Carfello, Vice President of Member Relations at the Texas Bankers Association, engages in a conversation with Daniel concerning strategies for banks to become better acquainted with their state bankers associations. Their discussion highlights the pivotal role of sustained engagement, explores the supportive functions provided by the TBA to its member banks, and outlines the advocacy efforts undertaken by the Association on behalf of banks within the state and in some cases even beyond its borders.