Compliance Continuity

Regulators are not just checking whether your policies exist. They are checking whether you actually follow them. In this session of Compliance & Coffee, Melissa Grindel, Head of Compliance at ActiveComply, sits down with Ed Miller, Managing Director at Conforma Compliance Group, to unpack what compliance continuity really looks like once the exam is over and the day-to-day work begins again.

The conversation covers where state regulators are focusing right now, how to keep exam deliverables ready year-round, and why a lack of continuity, not malicious intent, is behind many of the largest recent enforcement actions.

Missed the live session? The conversation is available to watch on demand below.

What You’ll Learn

• Where are state regulators focusing attention right now? Recent exam findings touch on social media comment monitoring, co-marketing video review, branch inspections, remote work licensing, and website accessibility.
• What happens when your policies and procedures do not match your practice? Examiners are increasingly holding institutions to the letter of their own documented commitments.
• How do you keep exam deliverables ready between exams, not just before them? Reporting, vendor management, and documentation habits that hold up under scrutiny.
• Why do compliance gaps open up during staff transitions? How to protect institutional knowledge when team members exit or change roles.
• What can the Bank of America enforcement action teach every lender? A closer look at how an education and training gap, not intent, drove a multimillion dollar penalty.
• What should remediation actually include? Why monitoring after a fix matters as much as the fix itself.