Regulatory Compliance

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Tuesday, September 14, 2021

  • Applied Compliance Track: Working with Your Vendors to Solve Common Challenges

    Location: Independence Ballroom A,
    Independence Level


    Speaker(s)

    Amanda Phillips, EVP of Compliance, ACES Quality Management

    Roger Fendelman, Chief Compliance Officer, Roostify, Inc.

    Vernon Tanner, CRCM, AML. BSA Officer, VP, Real Estate Governance, 1st Franklin Financial Corporation

    Monika McCarthy, Managing Director & General Counsel, CrossCheck Compliance LLC

    Compliance management is a team sport. Learn best practices for engaging with vendors to solve common compliance challenges based on scenarios presented by industry practitioners.

    Speaker(s)

    Amanda Phillips, EVP of Compliance, ACES Quality Management

    Amanda Phillips has two decades of experience in the financial services industry including holding executive roles in legal and regulatory compliance.  Prior to joining ACES Quality Management, Mrs. Phillips was with the law firm Ballard Spahr, LLP where she advised clients on federal and state regulatory requirements governing mortgage lending, including business processes and practices, software, and mortgage documents.  Prior to Ballard Spahr, she spent 6 years as in-house counsel/EVP of Legal and Regulatory Compliance for Mortgage Cadence and 5 years as SVP-Director of Compliance for a national mortgage lender.  Prior to her roles in compliance, Mrs. Phillips worked in multiple roles on the business side ranging from file set-up and disclosures to processing and underwriting.

    Roger Fendelman, Chief Compliance Officer, Roostify, Inc.

    Roger Fendelman is Chief Compliance Officer at Roostify, a leading Fintech that focuses on enhancing the digital mortgage experience. He oversees the company’s governance, risk, compliance, and information security programs, bringing an extraordinary ability to tread through regulatory challenges. A seasoned banking attorney, Roger specializes in the confluence of mortgage compliance and technology, with 25 years of experience in the sector. As an early fintech pioneer, Roger co-created PredProtect at Interthinx (now First American), a trailblazing automated regulatory compliance solution, at a time when the industry was facing unparalleled increase in lending regulations. Later in his career, Roger co-founded both the law firm Garris Horn LLP and mortgage compliance advisory Firstline Compliance LLC. He left Garris Horn and has transitioned from CEO to Principal/Advisor at Firstline Compliance so that he could join the team at Roostify. Roger has also served in operations and compliance positions at KKR-backed Nexstar Financial and CitiMortgage.

     

    Vernon Tanner, CRCM, AML. BSA Officer, VP, Real Estate Governance, 1st Franklin Financial Corporation

    Vernon Tanner began his banking career as a Bank Examiner, then entered the private sector as a Loan Officer, Credit Officer, and Chief Compliance Officer. He recently joined 1st Franklin Financial to lead the company’s R/E lending compliance program. He’s been published in the ABA Banking Journal and State Trade Association Journals on the topic of improving examination ratings. He’s served in leadership roles in our industry as a guest faculty and speaker at state and national trade association schools and conferences. He’s been a panelist at the Atlanta chapter of the Professional Risk Managers International Association, and for CPA firms advising Banks. He holds designations as a Certified Regulatory Compliance Manager (CRCM) and Certified Anti Money Laundering Specialist (CAMS).

    Monika McCarthy, Managing Director & General Counsel, CrossCheck Compliance LLC

    Monika brings her passion for building relationships and connecting people to the company’s business development activities. Her unique experience as both in-house counsel and outside counsel working with public, private and start-up companies enables her to add valuable insight to CrossCheck’s engagements with mortgage companies, banks, credit unions and fintech companies. Her work frequently involves partnering directly with in-house counsel and outside counsel to provide strategic advice and help clients both mitigate risk and cost effectively scope engagements. As general counsel, Monika advises the firm on ethics, conflicts of interest, governance, internal controls, risk management issues, contracts, and vendor management and provides guidance on client matters. Monika brings over twenty-five years of experience in nationwide financial services companies. She has advised senior management and boards of directors on both crisis critical and fundamental legal issues, including regulatory compliance, internal audit, fair lending, litigation, due diligence, and enforcement actions. Monika joined CrossCheck from Stonegate Mortgage Corporation where she was associate general counsel. Previously she has been general counsel for Cove Financial Group, Stearns Lending and New Century Mortgage Corporation. Her background includes all phases of mortgage lending including origination, compliance, fair lending, regulatory affairs, litigation, servicing, secondary market transactions, and claims resolution; as well as general business operations for all types of distribution channels including wholesale, retail, correspondent, commercial, as well as servicing and loss mitigation. She has also been senior director, Compliance and Fair Lending at Treliant Risk Advisors. She has been active in both mortgage industry and legal associations, non-profit boards and is a frequent speaker.

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