Navigating Fintech's Legal Maze: Compliance, Risk,
and Regulations Panel Discussion
Panel Discussion Date & Time:
Date: Thursday January 18th
Time: 3:00 PM to 4:00 PM
Panelist Information:
Name: Juan Azel
Organization: Winston & Strawn LLP
Name: Jennifer Correa Riera
Organization: Robinhood Markets, Inc.
Name: Mark Dabertin
Organization: Sutton Bank
Name: Benjamin Saul
Organization: Greenberg Traurig
Panel Discussion Description: The "Navigating Fintech's Legal Maze: Compliance, Risk, and Regulations" panel discussion will bring together senior executives from the fintech risk, compliance, and regulation sectors. They will explore the ever-evolving compliance challenges, risk mitigation strategies, and the latest regulatory updates affecting the industry.
This session is your opportunity to gain practical knowledge and strategic insights that will empower you to navigate the complex legal terrain of fintech effectively. This panel discussion will offer valuable insights and practical guidance for senior executives aiming to make well-informed choices within the ever-changing realm of fintech regulations.
Date: Thursday January 18th
Time: 3:00 PM to 4:00 PM
Panelist Information:
Name: Juan Azel
Organization: Winston & Strawn LLP
Name: Jennifer Correa Riera
Organization: Robinhood Markets, Inc.
Name: Mark Dabertin
Organization: Sutton Bank
Name: Benjamin Saul
Organization: Greenberg Traurig
Panel Discussion Description: The "Navigating Fintech's Legal Maze: Compliance, Risk, and Regulations" panel discussion will bring together senior executives from the fintech risk, compliance, and regulation sectors. They will explore the ever-evolving compliance challenges, risk mitigation strategies, and the latest regulatory updates affecting the industry.
This session is your opportunity to gain practical knowledge and strategic insights that will empower you to navigate the complex legal terrain of fintech effectively. This panel discussion will offer valuable insights and practical guidance for senior executives aiming to make well-informed choices within the ever-changing realm of fintech regulations.
Juan Azel's Biography
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Juan Azel is a Partner at Winston & Strawn LLP in Miami. Juan counsels and assists financial institutions and FinTech companies on the development, implementation, and execution of sound, comprehensive risk management frameworks—including tailored consumer and financial crime compliance management systems (CMS)—that identify, manage and effectively mitigate the risks associated with the development, offering, and delivery of cutting-edge FinTech products and services, such as marketplace lending (MPL) and buy-now-pay-later (BNPL), banking-as-a-service (BaaS), cards, payments, and digital assets, whether conducted directly or through third-party relationships.
Juan focuses his practice in FinTech, banking and consumer, and financial crime regulatory compliance. He has 25 years of both in-house and external counsel experience assisting domestic and foreign financial institutions and FinTech companies in regulatory compliance (both consumer and financial crime), direct and third-party risk management, supervision and examinations, governance, internal audit, investments, M&A, lending, capital markets, and corrective action/remediation responses to supervisory concerns and enforcement actions. Juan serves as general counsel to the Financial & International Business Association (FIBA) and is a member of the Legal Advisory Committee of the American Fintech Council. Juan is also a member of the Bank Receivership Task Force, created in March of 2023. Prior to joining Winston, Juan served as Deputy General Counsel and Chief Compliance Officer at Cross River Bank, one of the country’s most active FinTech financial services organizations, and as General Counsel for Standard Chartered Bank (Americas – Private Bank) and BBVA Private Bank (Americas). |
Jennifer Correa Riera's Biography
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Jennifer Correa Riera is the Financial Crimes Program Lead at Robinhood Markets, Inc. Prior to
joining Robinhood, Jennifer was a practicing attorney at nationally and internationally known law firms practicing in the areas of anti-money laundering, sanctions, and tax. Jennifer holds a Juris Doctor and a bachelors in Finance from the University of Miami. |
Benjamin Saul's Biography
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Benjamin Saul is a shareholder in Greenberg Traurig’s Financial Regulatory and Compliance Practice. For two decades, Ben has been a trusted advisor to banks, FinTechs, consumer and commercial lenders, payments companies, officers and directors and investors on high-stakes regulatory, enforcement, litigation and transactional matters.
Since the CFPB’s 2011 inception, Ben has helped clients navigate dozens of contentious supervisory, enforcement, and litigation matters involving the Bureau. He also assists clients regularly in matters involving the FTC, DOJ, HUD, OCC, FRB, FDIC, state financial services authorities, state attorneys general, and state civil rights commissions. Ben’s enforcement matters have concerned anti-discrimination and fair lending (including algorithmic bias), unfair deceptive or abusive trade practices, other federal and state consumer finance laws, payments and card network issues, AML/BSA, troubled or failed banks, fiduciary duties, financial institution fraud, leveraged lending, supervisory ratings, and other safety and soundness issues. These matters often have involved parallel proceedings by multiple enforcement agencies and private parties. Ben’s regulatory practice includes advising lenders, servicers, money services businesses, various FinTech platforms and program managers, digital banks, SaaS companies, e-commerce companies and retailers, e-sports companies, personal finance companies, and crypto and digital asset companies on cutting-edge financial product and service development, licensing and chartering, structuring and negotiating joint venture, outsourcing and bank partnership agreements, compliance program enhancement, and the applicability of federal and state financial services laws. Such matters frequently involve new technologies such as artificial intelligence and blockchain. Ben also advises private equity funds, venture capital funds, hedge funds, and strategic investors on risk identification and mitigation and obtaining necessary regulatory approvals for financial services and FinTech mergers and acquisitions and other investments. He likewise provides financial services regulatory advice to issuers and underwriters of public and private securities offerings. |