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Sponsored by
Your Instructor
Kimberly Hebb
Over 25 years of experience in financial industry risk management serving as chief risk officer, federal regulator, banker, and regulatory consultant. Kimberly is a veteran regulator that understands the challenges of managing third and fourth party risk associated with a portfolio of fintech clients.
Agenda
9:00am - 9:30am
9:30am - 10:30am
Introductions & Goals of the Training Session
Current BaaS Environment & Overview of Regulated Landscape
A candid conversation about the evolution from fintechs-as-competitors to partners-under-a-BaaS program, including a look at the laws, regulations, supervisory guidance, and industry rules to consider when building a program.
10:30am - 10:45am
10:45am - 11:15am
Break
BaaS Sponsor Bank Perspective
Understanding what a BaaS program is and is not, with a focus on connecting the bank’s risk appetite and business strategy to the BaaS program parameters.
11:15am - 12:00pm
Building a BaaS Program – Constructs
Walk through constructing a BaaS Program and its corresponding risk management. The first step is defining the constructs, including what products and services will be supported and how.
12:00pm - 1:00pm
1:00pm - 2:00pm
Lunch
Building a BaaS Program - Due Diligence
Once the bank frames out permissible constructs, the next step is establishing the process to vet potential fintech clients. This process will determine if the fintech’s business use case(s) align with the bank’s constructs and if the fintech’s CMS is mature enough to meet the bank’s program requirements.
2:00pm - 3:00pm
Building a BaaS Program – Monitoring & Reporting
Learn how to build processes that track your fintech client’s compliance performance against your defined constructs and contractual obligations, establish effective Risk Management guidelines across your portfolio and build insightful reporting for senior management and regulators.
3:00pm - 3:30pm
Conclusion - Bringing it all Together/Q&A
About Balanced Trust.
A new type of Risk & Compliance Management platform, designed to help Bankers consolidate their fintech portfolios and risk management controls in one platform.
While providing Fintech & Digital Asset firms a fully tailored compliance program which is directly aligned with how your sponsor bank is monitored by its regulator, all but guaranteeing you are regulatory compliant.
Our new innovative design on a Risk & Compliance platform solves those nasty compliance evidence validation challenges and best manages the systemic risk in third and fourth party relationships.
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