 Introduction
In today’s fast-paced financial world, managing risk and ensuring compliance are becoming increasingly complex. The volume of transactions, evolving regulations, and the need for real-time decision-making make traditional methods unsustainable. Enter artificial intelligence (AI) and machine learning (ML), which are rapidly transforming how financial institutions approach risk and compliance. Our latest white paper, Harnessing AI and Machine Learning for Enhanced Risk Management and Compliance in Fintech, dives into how leading financial institutions are utilizing these technologies. This blog highlights key takeaways that every fintech executive should know. Key Insights 1. Strong Governance is Key to Successful AI Deployment To fully leverage AI’s potential in financial services, a robust governance framework is critical. Institutions must implement continuous validation, ensure regulatory alignment, and monitor AI models for bias and transparency. Why It Matters: Without rigorous oversight, AI models can underperform, leading to compliance failures or biased outcomes. Organizations must integrate governance into their AI strategy from day one. 2. AI Enhances Workflow Automation AI is streamlining processes across compliance, underwriting, and fraud detection, reducing the manual burden and improving accuracy. Human oversight, however, remains essential in ensuring regulatory standards are met. Why It Matters: Automating high-volume, low-complexity tasks allows your teams to focus on more critical decision-making areas. But a balance between automation and human intervention is vital to maintain compliance. 3. Balancing Vendor Solutions and In-House AI While many institutions rely on vendor solutions for AI, critical processes like capital stress testing should remain in-house. This ensures greater control, flexibility, and security over sensitive operations. Why It Matters: Relying entirely on external solutions can leave your institution vulnerable to transparency issues and limit control over data security. A balanced approach ensures better long-term outcomes. 4. AI "Agents" Will Reshape Workflows The introduction of AI "agents"—autonomous models that coordinate workflows—represents the future of fintech. These agents can automate complex processes, significantly reducing manual intervention and boosting operational efficiency. Why It Matters: AI agents have the potential to revolutionize fintech operations, but they require stringent governance and a solid understanding of their limitations to ensure safe and effective deployment. Conclusion AI and machine learning are poised to revolutionize risk management and compliance in fintech. Institutions that invest in robust governance frameworks, balance internal and vendor AI solutions, and educate their teams will be well-prepared to navigate this transformation. The future of AI in fintech holds immense promise, but only for those willing to take a proactive approach. Next Steps… Ready to dive deeper into these insights? Download the full white paper for FREE! Join us at the 2025 Fintech Risk & Compliance Forum on February 11th & 12th. Let’s continue the conversation on how to balance innovation with effective risk management. We’d love to hear your thoughts or answer any questions in the comments below! If you found this information useful, please like and share this post with your network. About the Fintech Risk & Compliance Forum The Fintech Risk & Compliance Forum is a two-day event for fintech executives focused on regulatory compliance, cybersecurity, and risk management. It offers expert-led sessions, peer-to-peer discussions, and networking opportunities, providing a platform for industry leaders and regulators to explore key challenges and innovations. Hosted by Converge Events, the forum equips professionals with insights to navigate the evolving fintech landscape. About Converge Events Converge Events specializes in organizing conferences for the fintech and credit union industries. Focused on peer-to-peer learning and actionable insights, our events connect industry leaders to explore new strategies, tackle regulatory challenges, and embrace technological advancements. Disclaimer: This blog post, produced by Converge Events, is based on a transcript from the Fintech Risk and Compliance Forum and generated from the content of the discussion. It is provided for informational purposes only and does not constitute legal, financial, or professional advice. Kaufman Rossin Announced as Platinum Sponsor for the 2025 Fintech Risk & Compliance Forum10/29/2024
 We are excited to announce that Kaufman Rossin will be joining us as a Platinum Sponsor for the 2025 Fintech Risk & Compliance Forum, taking place on February 11-12, 2025, in Oak Brook, Illinois. This premier two-day event will gather top fintech executives, industry leaders, and innovators to discuss cutting-edge developments in risk management, regulatory compliance, and cybersecurity.
Kaufman Rossin is well known for delivering comprehensive, high-quality professional services that support business growth at every stage. Their team of over 600 professionals specializes in traditional accounting, audit, tax, and business advisory services, as well as risk management and forensic advisory. What sets Kaufman Rossin apart is their commitment to not just minimizing client stress but actively creating opportunities and new paths for growth—making business a more rewarding experience. Visit kaufmanrossin.com to learn more. Why You Should Attend FRC 2025 and Connect with Kaufman Rossin The Fintech Risk & Compliance Forum is designed for senior executives in fintech who are navigating regulatory landscapes, addressing emerging cybersecurity threats, and driving innovation. As a Platinum Sponsor, Kaufman Rossin will be sharing valuable insights and strategies on the conference floor, offering an opportunity to connect with their experienced professionals. Attendees will benefit from:
Don’t miss this opportunity to gain insights, connect with industry leaders, and explore how Kaufman Rossin’s unique services can support your organization. Register today and join us this February for an unforgettable conference experience that could shape your business strategy for years to come. Register Today! Phil Goldfeder Brings Public-Private Expertise to the 2025 Fintech Risk & Compliance Forum10/29/2024
 We are thrilled to announce that Phil Goldfeder, CEO of the American Fintech Council (AFC), will be speaking at the 2025 Fintech Risk & Compliance Forum (FRC) on February 11-12, 2025, at the DoubleTree by Hilton Chicago-Oak Brook. Phil's vast expertise, spanning nearly two decades, places him at the forefront of fintech innovation, regulation, and public-private collaboration.
As the leader of AFC, an industry association representing responsible fintech companies, Phil has been a driving force in promoting financial inclusion, consumer protection, and transparent business practices. His work at AFC centers on fostering safe and affordable financial services, setting industry standards, and advocating for regulatory frameworks that balance innovation with responsibility. Before leading AFC, Phil held the role of Senior Vice President of Global Public Affairs at Cross River, where he played a pivotal role in mobilizing resources during the COVID-19 pandemic. Under his leadership, Cross River facilitated over $12 billion in PPP loans, offering critical financial relief to small businesses across the U.S. Phil’s ability to bridge the gap between public policy and financial technology is further demonstrated through his founding of the Online Lending Policy Institute (OLPI), which helped shape the future of fintech services. Beyond his impressive corporate achievements, Phil’s public service as a former New York State Assembly member highlights his dedication to recovery and reform efforts following Superstorm Sandy. His leadership in banking and insurance modernization legislation continues to impact regulatory practices today. Phil's depth of knowledge and leadership in fintech will offer invaluable insights during the FRC, where he will engage with senior-level executives, regulators, and peers on the critical issues of regulatory compliance, cybersecurity, and risk management. Join us in welcoming Phil Goldfeder to the 2025 Fintech Risk & Compliance Forum for what promises to be an enlightening and impactful event.  Introduction:
As the fintech industry enters 2024, companies are facing growing challenges in managing risk and maintaining compliance with evolving regulations. Anti-Money Laundering (AML) and Know Your Customer (KYC) programs are becoming more complex, while cybersecurity threats continue to rise. At the recent Fintech Risk and Compliance Forum, industry leaders shared their insights on how fintechs can stay ahead of these challenges. This blog post highlights the four key strategies discussed in the white paper "Fintech Risk and Compliance in 2024." Key Insights: 1. Enhanced Data Integration for AML/KYC Programs The first critical takeaway is the need for fintechs to enrich their AML/KYC programs with more comprehensive data. By incorporating real-time data analytics and enhancing customer verification processes, fintechs can better manage compliance and reduce the risk of fraudulent activity. These advancements help fintechs stay ahead of regulatory changes while ensuring they offer secure services to customers. 2. Foster Stronger Collaborations with Sponsor Banks Effective partnerships between fintechs and sponsor banks are vital for compliance. Open and transparent communication regarding risk management, reporting suspicious activity, and defining AML/KYC responsibilities ensures that both parties are aligned. Standardizing processes across fintech-sponsor bank relationships will streamline compliance efforts and enhance transparency. 3. Strengthening Cybersecurity Cybersecurity remains one of the top concerns for fintechs, especially as they expand digital services. Fintech companies must prioritize advanced controls, including encryption, multi-factor authentication, and geolocation tracking, to mitigate risks. A proactive approach to cybersecurity will ensure both fintechs and their customers are protected from emerging threats. 4. Engage Proactively with Regulators Regular communication with regulators is essential to stay compliant. Fintechs must establish direct lines of engagement with regulatory bodies to ensure they are aware of upcoming compliance requirements and stay aligned with industry standards. Proactively participating in regulatory sandboxes and pilot programs can also provide valuable insights while ensuring fintech innovations remain compliant. Conclusion: As fintech companies navigate 2024, the need for strong compliance frameworks and effective risk management has never been more critical. By enhancing data integration, fostering collaboration with sponsor banks, improving cybersecurity, and engaging with regulators, fintechs can position themselves for success in a complex regulatory landscape. For more detailed insights and strategies, download the full white paper on "Fintech Risk and Compliance in 2024" at www.FintechRiskandCompliance.com. Next Steps… Ready to dive deeper into these insights? Download the full white paper for FREE! Join us at the 2025 Fintech Risk & Compliance Forum on February 11th & 12th. Let’s continue the conversation on how to balance innovation with effective risk management. We’d love to hear your thoughts or answer any questions in the comments below! If you found this information useful, please like and share this post with your network. ________________________________________ About the Fintech Risk & Compliance Forum The Fintech Risk & Compliance Forum is a two-day event for fintech executives focused on regulatory compliance, cybersecurity, and risk management. It offers expert-led sessions, peer-to-peer discussions, and networking opportunities, providing a platform for industry leaders and regulators to explore key challenges and innovations. Hosted by Converge Events, the forum equips professionals with insights to navigate the evolving fintech landscape. About Converge Events Converge Events specializes in organizing conferences for the fintech and credit union industries. Focused on peer-to-peer learning and actionable insights, our events connect industry leaders to explore new strategies, tackle regulatory challenges, and embrace technological advancements. ________________________________________ Disclaimer: This blog post, produced by Converge Events, is based on a transcript from the Fintech Risk and Compliance Forum and generated from the content of the discussion. It is provided for informational purposes only and does not constitute legal, financial, or professional advice.  Attention all fintech enthusiasts, risk managers, and compliance professionals! The clock is ticking, and early registration for the FinTech Risk & Compliance Conference is closing soon. Be sure to secure your spot before the deadline on Friday, November 1st!
This year’s conference promises to be an unmissable event for anyone involved in the fintech industry. With the rapid evolution of technology and regulations, it's crucial to stay informed about the latest trends and best practices in risk management and compliance. What to Expect The FinTech Risk & Compliance Conference will feature: Insightful Keynotes: Hear from industry leaders who are shaping the future of fintech and compliance. Gain valuable insights into emerging risks and how to navigate them. Interactive Panels: Participate in discussions with experts about the challenges and opportunities in risk management and compliance in the fintech sector. Networking Opportunities: Connect with peers, industry leaders, and potential collaborators. This is your chance to build relationships that could help advance your career and your organization. Why Register Early? By registering early, you not only secure your place at this essential event but also benefit from reduced registration fees. Take advantage of the savings and ensure you’re part of the conversation on the future of fintech risk and compliance. How to Register Visit HERE to complete your registration. Don’t wait until the last minute—ensure your seat at this pivotal event! Mark your calendars for November 1st, and let’s take the next step towards enhancing our understanding of risk and compliance in the ever-evolving fintech landscape. We look forward to seeing you there! Stay informed, stay compliant, and let’s shape the future of fintech together!  We are excited to announce that Stacey Chieng, Chief Anti-Money Laundering (AML) Officer at Interactive Brokers, will be a speaker at the 2025 Fintech Risk & Compliance Forum. Stacey brings a wealth of experience and expertise in financial compliance, particularly in the areas of AML monitoring, sanctions compliance, and risk management.
With over a decade of experience in the financial industry, Stacey has played a critical role in shaping and enhancing compliance programs across multiple organizations. Before joining Interactive Brokers in 2020, she was the Vice President of Economic Sanctions at U.S. Bank, where she helped build a robust sanctions compliance framework. Earlier in her career, she worked as a consultant at Protiviti, specializing in AML remediations for financial institutions. Stacey holds a BSBA and Masters in Accounting from Washington University in St. Louis and is a Certified Anti-Money Laundering Specialist (CAMS) with additional FINRA 7 and 24 licenses and a CPA (inactive) license. At the 2025 Fintech Risk & Compliance Forum, Stacey will be leading an insightful session titled “Harnessing Advanced Technology for Efficient AML Monitoring and Compliance.” In this interactive discussion, Stacey will explore how fintech companies can leverage advanced technologies like artificial intelligence (AI) and machine learning (ML) to enhance AML monitoring and ensure regulatory compliance. Topics will include:
If you’re looking to learn from one of the top leaders in AML compliance, this session is a must-attend! Don’t miss the opportunity to gain insights directly from Stacey and other experts as they discuss the future of AML technology. 📅 Event Dates: February 11-12, 2025 📍 Location: DoubleTree by Hilton, Oak Brook, IL For more details on the full agenda or to register for the event, visit Fintech Risk & Compliance.  Are you a fintech executive with a passion for navigating the ever-evolving landscape of risk management and regulatory compliance? The 2025 Fintech Risk & Compliance Forum (FRC) invites you to share your insights and expertise with an audience of industry leaders. As one of the most anticipated events in the fintech calendar, FRC provides an exceptional platform for professionals to showcase their thought leadership, drive meaningful conversations, and shape the future of fintech risk and compliance.
Why Speak at the FRC 2025? 🌟 Amplify Your Expertise Speaking at FRC 2025 positions you as a leader in fintech risk management. This is your opportunity to present innovative solutions, share success stories, and offer fresh perspectives on critical challenges like cybersecurity, regulatory updates, and operational risk. By sharing your knowledge, you can influence peers and decision-makers while enhancing your own professional reputation. 🌐 Connect with Senior-Level Executives. The FRC attracts an audience of senior-level executives from across the fintech spectrum. Speaking at this forum places you in the company of key decision-makers from top fintech companies, regulators, and technology providers. The two-day event is packed with opportunities for high-level networking, including panel discussions, peer-to-peer sessions, and special networking events designed to foster collaboration and new partnerships. 📈 Elevate Your Brand As a speaker. You'll gain unparalleled visibility, not only during the event but through promotional efforts leading up to the conference. Your profile and topic will be featured on the official FRC website and other promotional materials, providing excellent exposure for both your personal brand and your organization. You’ll be highlighted as a thought leader on fintech’s most pressing issues. What We’re Looking For The Call for Speakers is now open! We are seeking speakers who can deliver compelling, action-oriented presentations in the following areas:
Whether you have a groundbreaking case study, a forward-looking analysis, or an innovative technology solution to share, we encourage you to apply. The FRC aims to feature a diverse group of voices, representing a variety of viewpoints, to foster rich discussions and practical takeaways for all attendees. Benefits of Being an FRC Speaker
The forum will take place February 11-12, 2025 at the DoubleTree by Hilton in Oak Brook, Illinois—an accessible and luxurious venue, perfect for a high-caliber event like FRC. Ready to Inspire? Submit Your Proposal Today! To submit your proposal, visit the Call for Speakers page on the FRC website. Proposals will be reviewed on a rolling basis, so don’t wait to showcase your expertise and lead the conversation on fintech risk and compliance. If you're ready to take your place among fintech’s top thought leaders, this is your chance! We look forward to seeing you at FRC 2025.  Introduction:
In today’s rapidly evolving fintech landscape, financial institutions face the challenge of balancing the benefits of technological innovation with the risks of regulatory non-compliance and operational vulnerability. This is no small task, as banks must navigate a complex regulatory environment while embracing cutting-edge technologies such as artificial intelligence (AI) and blockchain. These were some of the key themes discussed at the January 2024 Fintech Risk and Compliance Forum, where industry leaders gathered to share insights on managing the intersection of innovation and risk. Key Insights: 1. Regulatory Complexity Requires Agile Risk Management CROs discussed the increasing difficulty of navigating regulatory requirements in fintech partnerships. As innovation moves faster than regulations, banks must develop agile risk management frameworks to remain compliant. 2. Collaboration is Critical to Innovation Successful fintech partnerships rely on clear, continuous communication between banks and fintechs. Establishing a shared risk appetite and understanding of compliance requirements is essential to effective collaboration. 3. Technology is Transforming Risk ManagementAI and machine learning are revolutionizing how financial institutions assess risk. However, these technologies require human oversight to ensure they are implemented correctly and align with regulatory standards. 4. Risk Appetite Must be Clearly Defined and Monitored CROs must establish clear risk appetites and use key risk indicators (KRIs) to monitor real-time risk levels. Regular updates ensure that fintech partners operate within the bank’s risk thresholds. 5. Third-Party Risk Management is Essential Fintech partnerships introduce new risks that require enhanced third-party risk management practices. Banks must ensure that their fintech partners adhere to the same regulatory standards through continuous oversight and regular audits. Conclusion: As the fintech industry continues to grow, banks must take proactive steps to manage the risks that come with innovation. This requires a balanced approach, with an emphasis on collaboration, advanced technology, and clear communication. To learn more about these critical strategies, download our full white paper today. Next Steps…
About the Fintech Risk & Compliance Forum The Fintech Risk & Compliance Forum is a two-day event for fintech executives focused on regulatory compliance, cybersecurity, and risk management. It offers expert-led sessions, peer-to-peer discussions, and networking opportunities, providing a platform for industry leaders and regulators to explore key challenges and innovations. Hosted by Converge Events, the forum equips professionals with insights to navigate the evolving fintech landscape. About Converge Events Converge Events specializes in organizing conferences for the fintech and credit union industries. Focused on peer-to-peer learning and actionable insights, our events connect industry leaders to explore new strategies, tackle regulatory challenges, and embrace technological advancements. Disclaimer: his blog post, produced by Converge Events, is based on a transcript from the Fintech Risk and Compliance Forum and generated from the content of the discussion. It is provided for informational purposes only and does not constitute legal, financial, or professional advice.  We are thrilled to announce Andrea Shaw as the keynote panelist for the opening discussion, Fintech Regulation: A CCO’s Roadmap for Future-Proof Compliance, at the 2nd Annual Fintech Risk & Compliance Forum (FRC), taking place February 11-12, 2025, at the DoubleTree by Hilton Chicago-Oak Brook in Oak Brook, Illinois.
Meet Andrea Shaw: A Regulatory Compliance Powerhouse With nearly two decades of experience as a senior regulatory compliance attorney, Andrea Shaw brings a wealth of knowledge and practical expertise to the fintech industry. Currently serving as Chief Risk & Compliance Officer at GenuBank, Ms. Shaw oversees enterprise risk, compliance, and anti-money laundering (AML) frameworks, partnering closely with Blockchains Inc. on cutting-edge self-sovereign identity solutions. Andrea has held key legal and compliance roles at top financial institutions, including Morgan Stanley, UBS Wealth Management, and Deutsche Bank. Her deep understanding of enterprise risk management, financial crime, data privacy, and regulatory compliance has made her a sought-after leader in both traditional finance and emerging fintech sectors, including digital assets. Andrea has direct experience working with regulatory bodies across the globe, having successfully obtained and maintained licenses with authorities in the U.S., Canada, APAC, and the EU/UK. Her role as a regulatory trailblazer is further highlighted by her contributions to academic discourse, where she serves as an adjunct professor of law at Albany Law School, teaching cutting-edge courses on technology, financial markets, and the evolving regulatory landscape. The Opening Keynote: A Must-Attend Session for Compliance Officers The opening keynote panel, Fintech Regulation: A CCO’s Roadmap for Future-Proof Compliance, will set the stage for in-depth discussions on the ever-evolving challenges of regulatory compliance in the fintech space. Andrea Shaw, alongside other industry leaders, will explore how Chief Compliance Officers (CCOs) can navigate complex regulations, manage risk, and future-proof their compliance frameworks amid rapid technological advancements. This session promises actionable insights and strategic guidance for fintech executives looking to stay ahead of regulatory shifts. Why Attend the Fintech Risk & Compliance Forum? The FRC is the premier event for senior-level executives in the fintech sector, providing unparalleled access to industry thought leaders, regulators, and peers. Over two days, attendees will engage in expert-led panel discussions, peer-to-peer conversations, and exclusive networking opportunities, all focused on tackling the most pressing challenges in fintech risk management and compliance.
This is your chance to learn from the best in the field, gain practical knowledge, and connect with other professionals shaping the future of fintech. Register and secure your spot today!  We are excited to announce that Joshua Rosenberg, Chief Risk Officer and Executive Vice President at United Texas Bank, will join the Fintech Risk & Compliance Forum 2025 as a panelist for the closing session, "Fintech Risk & Compliance in 2025 and Beyond: Key Takeaways for Senior Executives." This panel will offer insights from leading industry veterans on the trends discussed throughout the forum, providing a comprehensive roadmap for senior executives to align their risk management strategies with the future of fintech. Josh Rosenberg: An Authority in Risk Management
With a stellar career that includes serving as Chief Risk Officer at the Federal Reserve Bank of New York, Josh Rosenberg brings invaluable expertise to the panel. At the New York Fed, Mr. Rosenberg co-chaired the Risk Committee and led several high-impact initiatives in risk management and regulatory oversight. His academic background as an Assistant Professor of Finance at NYU's Stern School of Business and his extensive research in asset valuation and risk management further solidify his reputation as a thought leader in the fintech sector. What to Expect from the Panel This session will close out the Fintech Risk & Compliance Forum 2025 by synthesizing the key takeaways from the event. Panelists will explore how executives can future-proof their organizations in areas such as:
Secure Your Spot Don’t miss out on this opportunity to engage with industry leaders like Josh Rosenberg! Registration is now open, and early registration benefits are available, including full access to all sessions, networking lounges, and the exhibit hall.  We are excited to announce that Converge Events is now the unified brand managing all of TreaSolution’s premier conferences, including the 2nd Annual Fintech Risk & Compliance Forum, taking place February 11 - 12, 2025 in Oak Brook, IL. This rebranding signals a shift towards delivering a more streamlined and cohesive experience for our attendees. Important Update: Communications Now from Converge Events All communications regarding the 2nd Annual Fintech Risk & Compliance Forum including emails, newsletters, event updates, and announcements — will now come directly from Converge Events. Please update your email filters and contact lists to ensure you receive all important updates leading up to the event. About Converge Events Converge Events specializes in hosting industry-leading B2B conferences designed to foster meaningful conversations among professionals. With a focus on fintech, financial services, and technology, our events feature expert-led panel discussions, peer-to-peer networking, and actionable insights. Converge Events aims to provide high-quality, integrated experiences that drive innovation, offering attendees valuable takeaways long after the event ends. Why You Should Attend The 2nd Annual Fintech Risk & Compliance Forum
Exclusive Industry Insights: Attendees will engage in peer-to-peer discussions and panel sessions led by top experts and government regulators. Sessions cover critical topics like advanced fraud detection, AML compliance, AI in regulatory frameworks, and managing global compliance Networking Opportunities: You can expect numerous networking sessions, including an evening reception, where you can connect with senior executives, thought leaders, and innovators from across the fintech industry. Actionable Takeaways: The conference is designed to generate actionable insights, with white-paper takeaways documenting key discussions. You’ll leave with strategies to improve your organization’s risk management and compliance operations. Cutting-Edge Solutions: The exhibit hall and sponsorship showcases will introduce you to the latest fintech solutions that can enhance your risk mitigation and compliance capabilities. Register now for the 2nd Annual Fintech Risk & Compliance Forum and stay ahead in the ever-evolving fintech industry. Don’t miss exclusive insights, networking, and solutions tailored for today’s fintech professionals.  We are excited to announce that Alan Carlisle, Chief Compliance Officer (CCO) at Marqeta, will be a keynote speaker at the 2025 Fintech Risk & Compliance Forum! With over 25 years in regulatory compliance, Alan will share his expertise in his panel, “Fintech Regulation: A CCO’s Roadmap for Future-Proof Compliance.”
Alan's impressive career includes leading compliance programs for fintechs and traditional financial services, as well as his work as the Enterprise CCO at SoFi Technologies (SOFI). His deep understanding of regulatory compliance, AML, privacy, and capital markets makes him a key voice in the evolving fintech landscape. Why Attend? The 2025 Fintech Risk & Compliance Forum is designed for senior fintech professionals to explore key trends in regulatory compliance, cybersecurity, and risk management. Don’t miss the chance to hear from Alan Carlisle and other industry leaders as they discuss how to build future-proof compliance programs.  We are thrilled to announce the 2nd Annual Fintech Risk & Compliance Forum, taking place on February 11-12, 2025, in Oak Brook, Illinois. This two-day event is designed for senior fintech professionals, offering in-depth sessions on regulatory compliance, cybersecurity, and risk management. Attendees will have the opportunity to network with industry leaders, regulators, and peers through panel discussions and interactive forums. Why Attend?
 We are very excited to announce that Terri Germano, Deputy Chief Compliance Officer at Sutton Bank will be a panelist for the "CCOs Discuss Compliance Excellence in Fintech" panel discussion.
Terri Germano serves as the Deputy Chief Compliance Officer at Sutton Bank, overseeing the bank’s Compliance and Bank Secrecy Act programs. Prior to joining Sutton, Terri held global and regional leadership roles at Sallie Mae Bank, Citibank and JP Morgan Chase, including in Internal Audit, Compliance and BSA. During her nearly 30-year career in banking, she has had the opportunity to work in numerous positions at some of the largest and most complex financial institutions in the world. This has included various roles in Accounting, Project Management, Enterprise Systems, Internal Audit and Compliance. She has a true talent for compliance and risk management and has successfully applied these skills throughout her career. She has a passion for growing the business while also protecting consumers from harm and ensuring they are treated fairly. Terri is a CPA in Pennsylvania and a Certified Anti-Money Laundering Specialist (CAMS).  We are thrilled to announce that Keela Davis, Co-Founder and Chief Executive Officer from Decise will be a moderator for the Peer-to-Peer Discussion "Cryptocurrency, Blockchain & Exchange Industry".
A scientist and engineer by training, Keela focuses her analytical abilities to grow businesses. Prior to co-founding Decise, Keela was a principal management consultant where she formed and led the M&A Practice for World Wide Technology. She managed client programs exceeding $100M in revenue working with some of the largest institutions in the world. Prior to WWT, Keela was the head of Research & Innovation for Mercy Health. Keela is highly experienced in working with global financial institutions and is trained in internal audit, IT compliance and IT controls. Her enthusiasm for blockchain technologies is contagious. After building her own blockchain and coin, she continues to tinker in exploration of threats and innovations.  We are excited to announce that Luisa Franco, Founder and CEO from LFP Risk Solutions will be a moderator for the Peer-to-Peer Discussion: "Cybersecurity & Data Privacy".
Luisa Franco is the Founder and CEO of LFP Risk Solutions, a consulting firm specializing in risk management, regulatory compliance, and bank-fintech collaborations. In addition to her business, Luisa is the author of the bi-weekly newsletter Compliance and Fintech Wisdom. Over her two decades of experience, Luisa has influenced hundreds of compliance officers and startup founders, resulting in increased customer acquisition, additional revenue streams, and expanded target markets for banks and fintechs across the country. With nearly 10,000 hours of coaching experience, Luisa helps founders and executive leaders become innovators in their industry by offering market disruption strategies and customer-centric approaches to driving product and service development. Luisa excels at helping leaders navigate potential risk management challenges and uncertainties, enabling executives to innovate with confidence. Luisa is a sought-after speaker whose personality and broad-friendly presenting style have delighted audiences and readers alike. She has invested interests in advancing women in banking and fintech, empowering individuals to navigate the complex regulatory landscape, and fostering collaboration between traditional financial institutions and emerging fintech companies.  We are thrilled to announce that Amelia Childress, Chief Compliance and BSA/AML Officer from Block, Inc. will be a panelist for the "CROs Discuss Fintech Innovation vs. Risk Panel Discussion".
Amelia Childress is the enterprise Chief Compliance and BSA/AML Officer for Block, Inc. She most recently served as the Head of Compliance for Block’s global consumer business, Cash App. Previously she was Head of Compliance at Fundbox, an online lending platform and she also spent time at traditional financial institutions in due diligence and financial crimes. Amelia graduated from the Monterey Institute for International Studies with a master’s in International Policy, she’s ACAMS certified, and also holds a certificate in Nuclear Nonproliferation Studies.  We are excited to announce that Terry Hoover, Chief Risk Officer from Thread Bank will be a panelist for the "CROs Discuss Fintech Innovation vs. Risk Panel Discussion".
Terry Hoover has over thirty years of risk management experience in the financial services industry. He currently serves as Chief Risk Officer for Thread Bank where he oversees the Bank’s risk management framework, including all risk areas, with a particular focus on FinTech and embedded banking risk assessment and monitoring. Before joining Thread Bank, he served as the Managing Director of Enterprise Risk Management for Strategic Risk Associates, where he led consulting services for financial institutions, including ERM program development, FinTech monitoring, ERM and GRC software implementation and risk and control assessments. Prior to Strategic Risk Associates, Terry spent twenty years working for community banks in senior risk management roles, most recently serving as Chief Financial Officer and Head of Risk for TIB – The Independent Bankers Bank in Dallas. Terry also spent five years as a bank regulator with the OCC and FDIC.  TreaSolution is very excited to announce that Decise will be a Silver Sponsor of the of the Fintech Risk & Compliance Forum on January 17-18, 2024 in Chicago, Illinois!
Decise builds best-in-class automated compliance programs for blockchain and crypto. Headquartered in Chicago, their team of blockchain experts are focused on audit & compliance to securely bring blockchain technology to billions of customers. Blockchain technology is revolutionizing many industries. Decise passionately works to deploy compliance programs that protect customers and allow businesses to scale confidently. Their services include: Building and maturing compliance programs, automation of compliance processes, compliance effectiveness testing, internal audit advisory services, and compliance operations support. Visit www.decise.io to learn more Fintech Compliance Chronicles Becomes a Marketing Partner of The Fintech Risk & Compliance Forum!1/5/2024
 We are thrilled to announce that Fintech Compliance Chronicles has become an official marketing partner of the 2024 Fintech Risk & Compliance Forum. This strategic alliance brings together two of the most innovative and dynamic organizations in the fintech compliance industry to provide you with the latest insights, news and trends.
Fintech Compliance Chronicles is a biweekly newsletter which highlights developments in the banking, payments and finance regulatory compliance and risk space along with amplifying events and conferences on these topics. Past highlights of coverage include a multi-part series deep diving into the CFPB's 1033 open banking proposal, "Card Wars" our two part look at the potential Credit Card Competition Act, special coverage of the SVB collapse and the aftermath, and much more. We are proud to partner with Fintech Compliance Chronicles and are confident that this collaboration will bring even more excitement and opportunity to the U.S. Fintech Symposium attendees. Keep an eye out for further updates on this exciting partnership!  TreaSolution is thrilled to announce that DataSeers will be a Silver Sponsor of the of the Fintech Risk & Compliance Forum on January 17-18, 2024 in Chicago, Illinois! DataSeers is a B2B SaaS company with a mission to address the challenges experienced by the banking and payments industry. The company was founded in 2017 by Adwait Joshi. Instead of updating legacy banking software built for the age of checks and wire transfers, DataSeers reimagined back-office software from the perspective of ACH payments and prepaid cards. More specifically, DataSeers looked into the key pain points of Fraud, Compliance, and Reconciliation, eventually broadening this to include KYC/KYB and onboarding. These solutions have led to DataSeers’ exponential growth, year after year, as more institutions learn of this modern technology advantage. Visit https://www.dataseers.ai/ to learn more.  We are thrilled to announce that Adwait Joshi fron DataSeers will be a moderator for the Peer-to-Peer Discussion "KYC, CDD & Consumer Protections" at the Fintech Risk & Compliance Forum.
Mr. Joshi is the founder and CEO of DataSeers, an award winning FinTech that helps banks and payment companies by “Taming the Data Demon.” His skillful managing of people and resources has driven DataSeers to continue to successfully grow. Mr. Joshi has vast experience in FinTech, which allows him to provide a rich perspective on the industry. He is well versed in big data and analytics at a large scale, using algorithms and techniques to solve the unique challenges of this industry. Organizations that value analytics and business intelligence would benefit from his industrial expertise. When it comes to all things FinTech, Adwait is among the most trusted people to talk to. His depth of knowledge and experience have made him a driving force in the industry.  We are excited to announce that Jason Honeycutt from Netspend will be a panelist for the "CCOs Discuss Compliance Excellence in Fintech" at the Fintech Risk & Compliance Forum.
Mr. Honeycutt is a Texas licensed attorney who is a board certified criminal law specialist. He holds both the AML (CAMS) and Advanced AML (CAMS-Audit) Certifications issued by ACAMS. He is a past chair of the Texas Bar Association’s Minimum Continuing Legal Education Committee. His legal experience includes State prosecutor, Federal prosecutor (United States Department of Justice, United States Attorney’s Office for the Southern District of Texas), and private practice of law in civil litigation and criminal defense work. His trial experience as a State prosecutor ranges up to murder, including numerous white collar criminal matters and drug cases. His federal prosecutorial experience on the U.S.-Mexico border includes public corruption, drug trafficking, and money laundering. He was involved in thousands of criminal cases while acting as a prosecutor. As an AML/BSA/OFAC Officer, Jason has implemented complete program overhauls of two financial institutions. Jason’s AML programs have received a total of 3 FinCEN Awards.  TreaSolution is thrilled to announce that Fairly AI will be a Bronze Sponsor of the of the Fintech Risk & Compliance Forum on January 17-18, 2024 in Chicago, Illinois!
Fairly AI is a leader in AI governance and risk management. Fairly AI‘s Asenion, an AI compliance agent designed to expedite the adoption of safe AI is a crucial ally, ensuring AI systems meet stringent compliance and safety standards. Developed with leading financial institutions including tier-1, regional and sponsor banks, Asenion offers a tailored solution to the growing complexity of AI compliance. This platform empowers teams to configure and deploy a custom AI agent that aligns with their specific engineering, compliance, and business requirements. With the ability to analyze datasets and models against both internal policies and external regulations, Asenion acts as a vigilant guardian in the cloud, seamlessly integrating into CI/CD pipelines for continuous assurance of AI system robustness and integrity. Visit https://www.fairly.ai/ to learn more.  The Fintech Regulatory State Panel, comprised of Keri Kern (Office of the Comptroller of the Currency), Kyle Storm (Federal Reserve Bank of Chicago) with moderator B.J. Moravek (Kaufman Rossin), will present a thorough examination of the existing regulatory landscape in fintech. Delving into the most recent developments, they will explore compliance challenges and effective strategies for navigating the complex and constantly evolving realm of fintech regulations.
This panel discussion offers a unique opportunity to gain valuable insights, regulatory updates, and practical solutions to stay compliant and competitive in the fintech industry. Whether you're a seasoned professional or new to the field, this session is a must-attend for professionals looking to stay informed and make informed decisions in the dynamic world of fintech regulations. |