New York Lecture Series - Effective Compliance Risk Management in a Rapidly Changing Regulatory Environment

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Friday, November 22, 2013

12:45 PM

2:15 PM

The Pierre, New York, NY

Hosted by The Center for Banking and Finance, UNC School of Law

Compliance and legal risk management remains a top priority on the agenda of bank regulators and the U.S. government more broadly. The challenge of managing these risks, however, has never been greater as the post-financial crisis regulatory architecture continues to evolve and take shape. Panelists will share their thoughts on supervisory expectations as well as approaches to effective implementation and management of compliance and control mechanisms. Topics within the scope of the discussion include: regulatory change management, senior management and board engagement in compliance and compliance risk, the bank – examiner dynamic, reputational risk, compliance function and culture, and best practice approaches for compliance professionals.


  • Timothy P. Clark, Senior Associate Director, Board of Governors of the Federal Reserve System
  • Sally Belshaw, Deputy Comptroller for Large Banks, Office of the Comptroller of the Currency
  • Carol Hunley, Executive Vice President and Chief Compliance Officer, Sovereign Bank
  • Steve Kaplan, Northeast Regional Director, Consumer Financial Protection Bureau
  • Paula Dominick, Global Compliance Executive, Bank of America
  • Moderator, Lissa Broome, Wells Fargo Professor of Banking Law and Director of the Center for Banking and Finance, UNC School of Law
  • Moderator, Richard Neiman, Vice Chairman, Global Regulatory Practice, PricewaterhouseCoopers LLP

This session is offered at no charge to UNC School of Law alumni and the UNC Center for Banking and Finance Board of Advisers. Pre-registration is required.


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