LIVE SESSION
The Future of Compliance:
Regulatory Exams Across Banks and Fintechs
Tuesday, June 17th, 2025 at 12 PM ET
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Robin Garrison
Managing Consultant
Bates Group
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Justin Vick
Managing Consultant
Bates Group
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Daniel Wood
Counsel
Pillsbury Law
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Denise Wright
Executive Director
SMBC
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Nicole Booth
BSA Officer
Meow
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Hosted by Bates Group

As regulatory expectations continue to intensify, both traditional banks and fintech firms are facing heightened scrutiny and evolving obligations from federal and state regulators.

This complimentary CLE webinar brings together top compliance, legal, and regulatory experts from Pillsbury Law, SMBC, Meow, and Bates Group to explore how banks and fintechs can prepare for (and succeed during) regulatory exams.

Join us for an engaging, practical discussion featuring key insights on:

  • Exam Readiness Across Institutions: How exam expectations differ between fintechs and banks—and what both can learn from each other.
  • Evolving Regulatory Landscape: Understand the post-2023 enforcement climate and how agencies like the OCC, CFPB, FinCEN, and state regulators are raising the bar.
  • Common Pitfalls & Findings: Learn from real-world case studies that reveal the most frequent exam deficiencies, from SAR narratives to vendor oversight.
  • Preparing for Success: Practical guidance on internal documentation, mock audits, compliance training, and building a culture of exam readiness.
  • Leveraging Technology: Explore how RegTech, AI, and automation can enhance compliance operations, streamline audits, and improve examiner engagement.
  • Legal Considerations & Privilege: Navigating the complexities of privilege during exams and understanding when to involve legal counsel in the process.

Designed for attorneys, compliance officers, risk managers, and financial industry leaders, this session will arm you with tools and tactics to strengthen your organization’s compliance posture and stay ahead of regulatory expectations.

Reserve your spot today!

1.0 CLE credit (pending approval).

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Who Should Attend?
  • Risk, legal, and compliance professionals at financial institutions and fintech companies.
  • Executives and decision-makers navigating the evolving regulatory landscape
  • Regulators, policymakers, and legal experts monitoring fintech developments
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Industry
  • Banks
  • Law Firms
  • FinTechs
  • Money Services Businesses (MSBs)
  • Money Transmitters
  • Payments Companies
  • Cryptocurrency Firms
  • Financial Institutions
Meet our Speakers and Industry Experts
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Robin Garrison, CAMS-Audit
Managing Consultant at Bates Group

Robin Garrison (Moderator) is a Managing Consultant at Bates Group. She has over 14 years of experience in FinTech, BaaS, and RegTech, with deep expertise in AML, compliance, and risk management. Robin has held senior compliance roles at firms including Western Union and Wise, and she is an active industry speaker and panelist.

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Justin Vick, CAMS, CSMBE
Managing Consultant at Bates Group

Justin Vick is a Bates Group Managing Consultant with 10+ years of experience in MSB compliance. He supports BSA/AML/OFAC reviews, licensing, and training. Formerly with CEX.IO and the Washington State DFI, Justin specializes in regulatory reporting, examiner coordination, and AML risk assessments across federal and state requirements.

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Daniel Wood
Counsel at Pillsbury Law

Dan Wood is a partner at Pillsbury Law, advising on fintech, payments, cybersecurity, and privacy laws. A former Texas Department of Banking lawyer, he guides clients on licensing, money transmission, virtual currencies, AML, and consumer privacy, including UDAAP, CCPA, GLBA, and biometrics compliance. 

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Denise Wright, CAMS, ISCO
Executive Director at SMBC

Denise Wright is Executive Director and leader of the Operations Examination Support team at SMBC. With 20+ years in compliance at global banks, she has held senior roles at Shinhan Bank, MUFG, and more. Denise is a licensed NY attorney, CAMS-certified, and an expert in audits, regulatory exams, and financial crime compliance.

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Nicole Booth, CAMS
BSA Officer at Meow
Nicole Booth is the BSA Officer at Meow Technologies, where she leads AML and CTF compliance initiatives. She has extensive experience in fintech and financial services, with a focus on aligning regulatory strategy with innovation. Nicole collaborates across teams to build scalable, customer-focused compliance programs.
About

Bates Group is a financial services consulting firm that provides expert advice and guidance to our partners in compliance, litigation, and regulatory matters. Our subject matter experts are highly regarded in their respective fields. For over 40 years, Bates’ exposure to industry challenges, litigation matters, and enforcement actions has given us unique insight into matters that allow us to benefit all our partners.