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Frontline Compliance Fundamentals for Financial Institutions


Maneuver through complex topics gracefully by exploring several key concepts that frontline personnel encounter on a daily basis.

The business is the first line of defense for compliance issues. Each and every day, they interact with your customers through letters, monthly statements, over the phone, and text messages. What processes do you have in place to make sure that what they say complies with your legal and regulatory obligations? This presentation will walk through the implementation of COVID-19 legal and regulatory requirements as a test case on what steps you should take to ensure the business is set up for success so your organization can reduce risk. We will walk through best practices on implementation, discuss legal cases that touch on these issues, and end with an enforcement action brought by the OCC that highlights potential pain points when implementing new laws and regulations.



Joshua C. Prever

Joshua C. Prever

Holland & Knight LLP

  • Partner at Holland & Knight LLP
  • Trial and appellate lawyer who focuses his practice on representing financial services companies both inside the courtroom and before state and federal regulators
  • National expert on remote online notarization and its use for offering completely digital loan platforms, including mortgages/deeds of trust and electronic notes
  • Supports lenders with mortgage servicing outsourcing and related vendor management programs
  • Author and speaker on the use of technology in the financial services sector, important regulator initiatives, and emerging legal issues.
  • Member of the D.C., Florida, and Virginia bars; ABA, Florida Constitutional Judiciary Committee, Mortgage Bankers Association, board member of Big Brothers Big Sisters of Miami
  • J.D. degree, University of Miami School of Law; B.A degree, Honors College at Florida International University
Todd Domjan

Todd Domjan

PNC Bank, National Association

  • Senior Counsel at PNC Bank
  • Provides legal support to home-lending servicing areas of the bank
  • Focuses on practical business solutions in response to statutory, regulatory, and contractual obligations of the bank
  • Experience with regulatory, investor, and internal examinations and audits
  • Prior to joining PNC, he was an associate with a leading national law firm focusing on financial services and commercial litigation
  • J.D. degree, Pepperdine University School of Law; B.A. degree, University of Notre Dame

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