Join Us as We Master Regulatory Examinations: Best Practices for Success and Improvement

With experts from:
Bates Group, eToro, Alviere, and Pillsbury Winthrop Shaw Pittman LLP

Bates Group is hosting a webinar to provide practical insights and best practices for managing the state regulatory examination process.

We will delve into topics such as navigating examination requests, scheduling and managing the on-site portion of the exam, and responding to the report of the examination, including managing exam action items.

Attend to hear discussions on: 

  • Structured Approach to Examinations
    • Learn why your firm should have an examination plan - even (especially) if you have never been examined before. 
    • Staff assignment and preparation.
    • Analyzing the examination request list.
  • Managing the Examination
    • Best practices for success during the on-site portion of the examination.
    • Tracking and managing requests and meetings.
    • Early issue remediation.
  • Examination-Driven Improvement
    • Viewing the report of examination as an opportunity for improvement rather than just criticism.
    • Creating and executing a remediation plan.
    • Using the examination to build your relationship with your regulators.
Can’t make it? Register anyway, and we’ll send you a recording to watch at your own convenience.

Register Now

Time left to register!


Who Should Attend?

Chief Compliance Officers
Compliance Managers
BSA Officers
Regulatory Compliance Professionals
Anyone who works with regulators



Money Services Businesses (MSBs)
Cryptocurrency Firms
Payments Companies



Structured Approach to Examinations
Managing the Examination
Examination-Driven Improvement

Meet our

Speakers and Industry Experts


Brandi Reynolds, CAMS-Audit, CCAS

Managing Director at Bates Group

Brandi B. Reynolds is Managing Director of AML & Compliance at Bates Group with nearly 20 years of experience in the financial services industry supporting companies in the areas of Anti-Money Laundering (AML), Fintech and Banking Compliance. Ms. Reynolds was President and Chief Executive Officer of CorCom, LLC (now part of Bates Group), a consulting firm specializing in federal compliance and risk management offering services in BSA/AML/OFAC Program Development, Risk Management, Training, and Independent Reviews, and specializing in areas such as AML, Financial Crimes Prevention, and Consumer Lending. Prior to CorCom, she was an in-house Deputy Chief Compliance Officer for 11 years. Ms. Reynolds recently partnered with the Association of Certified Anti-Money Laundering Specialists (ACAMS) to re-develop their advanced certification course, CAMS-Audit and is a frequent speaker at the International Money Transmitter Conferences (IMTC) and events.



Managing Consultant at Bates Group

John Ashley is a Bates Managing Consultant who has over seven years of experience in financial regulatory compliance with startups WorldRemit Corp. and Etana Custody. He specializes in establishing and maintaining robust and productive working relationships with U.S. financial regulators both during license application, and license maintenance. John has experience in compliance program, policy, and procedure development; product compliance; regulatory analysis; and consumer protection programs. In addition, John has experience in the cryptocurrency space, including development of KYC and transaction monitoring programs and procedures specific to cryptocurrency risk. He also specializes in U.S. data privacy compliance and holds a CIPP/US certification from the International Association of Privacy Professionals.


Daniel Wood


Daniel is a member of Pillsbury’ s Fintech, Payments & Blockchain team and the Cybersecurity, Data Protection & Privacy team. As a former attorney for the Texas Department of Banking, Daniel is uniquely able to advise clients on regulatory issues, such as licensing and compliance, relating to money transmission, virtual currencies, foreign exchange, bank and trust matters, and anti-money laundering. He also advises clients on consumer protection and privacy matters, such as compliance with UDAAP, CCPA, GLBA and financial privacy laws, and biometrics laws.


Nicole Murphy


Nicole Murphy is a financial industry veteran of nearly 17 years. She has experience with traditional financial firms like TD Ameritrade, E*TRADE, and Morgan Stanley, as well as new fintechs like Cash App and eToro. Nicole currently serves as the Chief Compliance Officer and AML Compliance Officer, where she brings her extensive knowledge and expertise in a variety of assets and businesses, including equities, options, fixed income, futures, and cryptocurrencies.


Jorgen Osio Norgaard


Jorgen leads the Compliance and Risk functions at Alviere. He is a seasoned executive with over 20 years of experience in the global financial industry, specializing in regulatory AML, KYC programs, and risk management. With a track record leading Compliance, KYC, AML, and Sanctions teams, Jorgen develops robust compliance policies to drive sustainable operational success. With previous roles at WorldRemit, JPMorgan Chase, and Citi, Jorgen is known for his strategic leadership, operational management, and effective engagement with regulators. Jorgen is Chairperson of the Money Services Business Association (MSBA) Board of Directors.

About Bates Group

Bates Group is a leading financial services consulting firm that provides expert advice and guidance to our clients in compliance, disputes, and investigations. We are proud to have a team of subject matter experts who are among the most highly regarded in their respective fields. For over 40 years, our success has been driven by our dedication to providing clients with cutting-edge solutions to address their most pressing needs.