Building a Strong Culture of Compliance from the Top Down

Culture oc Compliance banner 

Credits Awarded: 1.25 CRCM, 1 CAMS 


BSA/AML shortcomings have resulted in several recent enforcement actions. As a result, FinCEN emphasizes the importance of a strong culture of compliance. Compliance is a shared responsibility, and maintaining a culture of compliance is a key strategy in avoiding penalties and personal liability.

In this presentation, former OCC Examiner Jessica Caballero will discuss properly communicating with the board to ensure a good culture of compliance from the top down. She will cover board reporting, training, continuous communication and more. 



Presented By

Jessica Caballero, CRCM

Risk Management Consultant, Banker’s Toolbox

Jessica Caballero

Jessica Caballero is a former OCC Examiner with a focus in the Bank Secrecy Act and consumer compliance regulations. She started her career at a large community bank before joining the OCC. As an examiner, she was responsible for examining all functional areas including asset quality, consumer compliance, capital markets, and information technology for financial institutions of varying risk profiles and asset size. After her years as an examiner, she worked as a Bank Secrecy Act Officer at a small commercial bank. Before joining Banker’s Toolbox, Jessica was a compliance consultant with a boutique consulting firm assisting community banks with the implementation of Dodd-Frank. She assisted banks with the risk assessment process, policy creation, and the overall implementation of a comprehensive compliance management program.