Best Practices for Proactive Supervision and Examination Readiness

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Watch this webinar featuring Cheryl Ritchey and Mike Pagani to learn:

  • How leading compliance professionals are responding to new communication channels with a proactive approach to supervision.
  • Best practices for adapting to evolving regulations and preparing for the regulatory examination process.
  • The next wave of compliance challenges on the horizon and what new technologies are pushing compliance forward.

With more options for communicating than ever before, leaving your firm’s regulatory compliance to chance with a policy of prohibition isn’t enough. As a proven compliance expert, Cheryl Ritchey of BBVA Compass has developed a proactive approach to supervision that enables her to be a pioneer in compliance as channels like web, collaboration platforms, instant messaging, and text messaging become a bigger part of the workplace.

Webinar Panelists

Cheryl Ritchey

VP, Compliance Group Manager, BBVA Securities Inc.
Cheryl-Ritchey

Cheryl Ritchey

VP, Compliance Group Manager, BBVA Securities Inc.

Cheryl leads the team responsible for the securities registration, insurance licensing and mortgage lending registration of over 2500 employees at BBVA Securities and Compass Bank. She has held this position for 19 years and been a part of the Compass Bank team for 37 years. In addition to licensing and registration, the scope of her areas of responsibility include administration of BSI’s relationship with its email retention vendor, Smarsh, as well as developing continuing education programs, delivery of insurance and securities continuing education to licensees, and communicating compliance issues to the field.

Mike Pagani

Chief Evangelist
Mike-Pagani

Mike Pagani

Chief Evangelist

Mike Pagani is Senior Director of Product Marketing and Chief Evangelist at Smarsh. He is a seasoned IT professional and recognized subject matter expert in the areas of mobility, identity and access management, network security and virtualization. In his role, Mike also works with industry regulators, such as the SEC and FINRA, to keep customers and partners informed of the latest developments and requirements related to electronic communications compliance.