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TitreDateDurée
The “Compliance Hat” Mindset for Marketers with Kat Wong, Director of Marketing at Adro23 mai 202500:18:12

In this episode of the COMPLY Podcast, I’m joined by Kat Wong, Director of Marketing at Adro, a fintech that helps international students and workers access essential banking products in the U.S. Kat shares how she bridges the gap between marketing and compliance, ensuring clear, trustworthy messaging without getting lost in legal jargon.

Drawing on her experience across industries—from major brands to fast-growing startups—Kat explains how understanding compliance isn’t just a legal team’s job. Instead, it’s a shared responsibility where marketers play a key role in translating complex regulatory requirements into accessible, consumer-friendly language.

We discuss:

  • How compliance can empower marketing and other teams to think with a “compliance hat”
  • How marketing can transform complex legal jargon into clear, compliant messaging to foster consumer trust
  • Practical advice for marketers on building strong relationships with compliance teams

Show Notes

Smarter UDAAP Compliance Monitoring with PerformLine’s Expanded Rulebooks09 mai 202500:19:04

PerformLine’s newly enhanced UDAAP rulebooks are designed to help compliance and marketing teams work more efficiently while mitigating more risk. In this episode, I sit down with Mike Gibney, Director of Client Solutions, about how these updates are making it easier for clients to stay ahead of deceptive practices in their marketing and communications.

By combining market trends, regulatory enforcement insights, and client feedback, the updated rulebooks offer broader coverage and faster deployment across channels. Built and refined with real-world testing, they help teams spend less time reviewing content and more time making informed decisions.

We discuss:

  • How PerformLine tracks evolving deceptive trends to build its proprietary UDAAP rulebooks
  • What makes the new rulebooks more efficient and comprehensive for content review and risk mitigation
  • The role of technology like NLP and AI in speeding up rule creation and refinement
  • A preview of what’s next—including rulebooks focused on identifying and understanding complaints

If you’re a PerformLine user and haven’t refreshed your rulebooks lately, now’s the time to reconnect. And if you’re new to the platform, this episode offers a clear look at how our rulebooks can streamline your compliance efforts from day one.

Show Notes:

Spotting the Gaps and Getting Compliance Right with Tonya Farmer at Priority25 avr. 202500:15:57

In this episode, I’m joined by Tonya Farmer, a U.S. Army Veteran turned Quality Assurance Expert, whose career journey is anything but conventional. Now a pivotal member of the compliance and workforce management team at Priority, Tonya shares how her military discipline, tech-savvy background, and psychology training come together to elevate compliance operations.

With over 32 years in customer service, Tonya brings a broad and deeply empathetic perspective to her work—ensuring that every interaction, every process, and every training initiative hits the mark.

We discuss:

  • How Tonya’s background in the military and IT shaped her detail-oriented approach to compliance
  • What it takes to identify gaps in training, service, and process before they become problems
  • Why empathy, communication, and continuous feedback are essential in quality assurance
  • How tools like PerformLine and NICE support real-time insights and coaching
When Compliance Thinks Like a Marketer with Stacey Onyido at eToro11 avr. 202500:27:25

What happens when a compliance leader thinks like a marketer? In this episode, I’m joined by Stacey Onyido, Global Financial Promotions Oversight Manager at eToro, who shares how she’s changing the narrative around marketing compliance—from restrictive to strategic.

With 13+ years in the industry and a global role spanning social, influencer, and paid media channels, Stacey is rethinking how compliance can empower teams, speed up approvals, and help great ideas thrive responsibly.

We discuss:

  • Why compliance professionals benefit from speaking the language of marketing and how Stacey is making that a priority
  • The difficulty of managing regulations across multiple platforms and channels, including the rise of influencer marketing
  • The impact of AI on content creation and the pressure it puts on compliance teams to keep up
  • How a consumer-first mindset is shaping regulations globally, including the UK’s Consumer Duty
Bridging the Creativity and Compliance Gap with Ryan Bowling at OMB Bank28 mars 202500:24:16

Creativity and compliance don’t have to be at odds. In fact, they can—and should—work together from the start. In this episode, I sit down with Ryan Bowling, Vice President and Director of Marketing at OMB Bank, to explore how marketing teams can push creative boundaries while staying compliant.

With a unique background in journalism and a successful transition into the banking sector, Ryan shares how he’s built a marketing powerhouse that not only drives engagement but also meets strict compliance standards.

We discuss:

  • Why involving compliance from the start of a marketing campaign prevents roadblocks and last-minute rewrites
  • How ongoing education for both marketing and compliance teams builds trust and streamlines approvals
  • How technology like PerformLine automates compliance reviews and reduces manual work to keep campaigns moving
  • How bank marketing can be exciting, even in a highly regulated industry—and how OMB Bank is “the bank that backs the pickle” with its unique branded pickleball campaign
Compliance Expert Interview with Ryan De Herrera14 mars 202500:20:58

The COMPLY Podcast showcases trailblazers in the financial services and compliance space. Each episode dives deep into the challenges, triumphs, and innovations of executives at top banks, fintechs, and enterprises.

In this episode, I’m joined by Ryan De Herrera, Senior Marketing Compliance Manager at University of Phoenix, whose experience spans compliance roles at companies like Bank of America and loanDepot. Through his experience, he’s become an expert in balancing marketing and compliance, ensuring advertising is both compelling and compliant.

We discuss:

  • How compliance should be a collaborative effort that helps businesses manage risks and achieve goals
  • The importance of continuous learning and consumer feedback in building an adaptable compliance program
  • The role of compliance in setting expectations, reducing complaints, and fostering long-term consumer trust
  • How shifting regulatory priorities will shape compliance, with consumer protection always driving the process
Compliance Expert Interview with Bert Friedman28 févr. 202500:39:36

The COMPLY Podcast showcases trailblazers in the financial services and compliance space. Each episode dives deep into the challenges, triumphs, and innovations of executives at top banks, fintechs, and enterprises.

In this episode, I’m joined by Bert Friedman, whose experience spans serving as an examiner at the CFPB to holding key compliance roles at companies like BMO Harris Bank, Deserve, and Payitoff.

We discuss:

  • The importance of compliance as an enabler rather than a roadblock, emphasizing a strategic approach to saying “yes, and here’s how” instead of defaulting to “no”
  • The evolving regulatory landscape, including UDAAP enforcement, BNPL regulations, and increased scrutiny of banking-as-a-service (BaaS) partnerships
  • The role of AI and technology in compliance, the need for human oversight, and the challenge of balancing automation with regulatory documentation and risk management
  • The increasing role of state regulators in compliance enforcement, especially as federal agencies shift priorities


Show Notes:

Compliance Expert Interview with Jim Downing14 févr. 202500:39:15

The Expert Interview Series is a segment of the COMPLY Podcast where we shine a spotlight on the industry leaders who are truly making a difference in the marketing compliance landscape. These boots-on-the-ground professionals work tirelessly to protect consumers while navigating the complex regulatory environment.

We’ll chat with these compliance experts as they share their real-world experiences, expertise, and practical insights. By hearing from those who are actively engaged in compliance, you'll gain valuable perspectives and actionable strategies to apply in your own work.

In this episode, I'm joined by Jim Downing, Chief Compliance Officer at JLL Securities and author of "The Fundamentals of Compliance." With a compliance career that began at FINRA, Jim has held leadership positions at major firms including JPMorgan Chase and BMO Harris.

We discuss:

  • Strategies for building a robust and effective compliance program, no matter the industry
  • The evolving landscape of compliance, including the impact of AI and upskilling
  • How to balance technology with the essential human element
  • The power of networking and mentorship for compliance professionals
Preparing for 2025 Compliance Challenges and Regulatory Changes31 janv. 202500:22:50

In this episode, I sit down with industry experts Doreen Ghusar, a governance & regulatory advisor with 20+ years experience at leading lenders, and Chris Hilliard, a seasoned compliance professional with 20+ years experience at major financial institutions and lenders, to talk about expectations for compliance in 2025 and best practices to mitigate risk.

We discuss:

  • The importance of proactively tracking and reviewing supervisory highlights, guidances, circulars and enforcement actions
  • Leveraging compliance tools and alerts to remain informed about regulatory updates and risks
  • Investing in compliance resources early to avoid greater costs in the future
  • Anticipating changes in 2025, including new regulations for AI and digital innovation


Show Notes:

Compliance Expert Interview with Courtney Schwoebel17 janv. 202500:21:29

The Expert Interview Series is a segment of the COMPLY Podcast where we shine a spotlight on the industry leaders who are truly making a difference in the marketing compliance landscape. These boots-on-the-ground professionals work tirelessly to protect consumers while navigating the complex regulatory environment.

We’ll chat with these compliance experts as they share their real-world experiences, expertise, and practical insights. By hearing from those who are actively engaged in compliance, you'll gain valuable perspectives and actionable strategies to apply in your own work.

In this episode, I sat down with compliance veteran, Courtney Schwoebel, where we discussed how her humble beginnings in fraud and banking gave her the skills needed to build out robust Compliance Management Systems.

Listen in as we discuss:

  • How working in operations gave her the skills she needed to become an effective compliance subject matter expert
  • Her love of protecting consumers and ensuring brand protection
  • The importance of connecting with other compliance professionals to share best practices
  • Her thoughts about compliance in 2025 and her “superpower”!

Show Notes

Compliance Expert Interview with Colin Darke03 janv. 202500:30:26

Description

The Expert Interview Series is a segment of the COMPLY Podcast where we shine a spotlight on the industry leaders who are truly making a difference in the marketing compliance landscape. These boots-on-the-ground professionals work tirelessly to protect consumers while navigating the complex regulatory environment.

We’ll chat with these compliance experts as they share their real-world experiences, expertise, and practical insights. By hearing from those who are actively engaged in compliance, you'll gain valuable perspectives and actionable strategies to apply in your own work.

In this episode, I sat down with Colin Darke, CEO of CompliSun, where we talked about how his career journey took him from practicing law to serving as General Counsel and Chief Compliance Officer of Rocket Loans to becoming Founder and CEO of CompliSun, which is an AI-enhanced compliance management system.

Discussion topics include:

  • The importance of compliance and legal working together to build out organized systems so that they can tell their compliance story.
  • Why tech resources for compliance should be a priority and not a reactive response to a problem.
  • Preventing credibility issues with regulators by proactively building strong compliance programs that are not dependent on the knowledge of only a handful of individuals.
  • Colin shares his predictions for Fintech and compliance in 2025 and reveals his amazing "superpower"!

Show Notes

Compliance Expert Interview with Andrew Grant06 déc. 202400:22:30

The Expert Interview Series is a segment of the COMPLY Podcast where we shine a spotlight on the industry leaders who are truly making a difference in the marketing compliance landscape. These boots-on-the-ground professionals work tirelessly to protect consumers while navigating the complex regulatory environment.

We’ll chat with these compliance experts as they share their real-world experiences, expertise, and practical insights. By hearing from those who are actively engaged in compliance, you’ll gain valuable perspectives and actionable strategies to apply in your own work.

In this episode, I sat down with Andrew Grant, Partner at Runway LLP, where we talked about his extensive experience in financial services law and how companies can operationalize compliance effectively. We explored Andrew’s unique insights from his 15-year career, particularly in the evolving fintech landscape and its regulatory challenges.

Discussion topics include:

  • How compliance teams can shift from being seen as “the team that says no” to being problem solvers who help businesses succeed
  • Why strong compliance programs can help companies stand out and win partnerships with banks and other financial players
  • The importance of gaining compliance buy-in from leadership and other departments (and tips on how to get it)
  • Predictions for 2025 amidst a new administration, including steady enforcement from the CFPB, a decrease in new federal regulations, and increased state-level activity to address gaps in financial oversight


Show Notes:


Creating A Culture of Compliance with Kristina Sacco Pt. 225 oct. 202400:27:21

In this episode of the COMPLY Podcast, I sat down for part 2 of a discussion with my special guest Kristina Sacco about building a strong culture of compliance.  In this episode, Kristina shares some additional bits of wisdom and best practices for making sure that everyone understands the importance of compliance.

Topics include:

  • The important task of training and continuing education of yourself and your organization
  • Why it is important for the message of compliance to be communicated from the top down.
  • How compliance can work with the business to inspire change
  • Advice for those new to compliance

Show Notes


Creating A Culture of Compliance with Kristina Sacco Pt. 111 oct. 202400:21:12

In this episode of the COMPLY Podcast, I sat down with my special guest Kristina Socco to talk about what it takes to build a strong culture of compliance.  Kristina shares some of her thoughts and best practices for getting everyone on board to partner together to make sure that the lines of communication are open and that everyone feels like they have some ownership in the process.

Discussion topics include:

  • Compliance departments as the gatekeepers of the organization
  • How the compliance team can help the organization shine
  • The importance of networking with other compliance professionals

Show Notes


The Supreme Court’s Chevron Doctrine and Statute of Limitations Ruling20 sept. 202400:16:43

This COMPLY Podcast episode is part 2 of a conversation between Eric Goldberg, Partner at Akerman LLP, Catherine Brennan, Partner at Hudson Cook LLP, and Rhonda McGill, PerformLine’s Senior Director of Customer Marketing as they discuss the impact of recent regulatory activities on marketing compliance.

They discuss:

  • The implications of the Supreme Court's decision to overturn the Chevron Doctrine
  • Changes to the statute of limitations for regulatory challenges, which could result in a wave of new challenges to long-established regulations
  • Best practices for navigating these regulatory changes and more

Show Notes

Expert Insights on Regulatory Shifts in EWA and BNPL06 sept. 202400:24:00

This COMPLY Podcast episode is part 1 of a conversation between Eric Goldberg, Partner at Akerman LLP, Catherine Brennan, Partner at Hudson Cook LLP, and Rhonda McGill, PerformLine’s Senior Director of Customer Marketing as they discuss the impact of recent regulatory activities on marketing compliance.

They discuss:

  • How recent CFPB rulings are redefining Earned Wage Access (EWA) and Buy Now, Pay Later (BNPL) products
  • The specific challenges EWA and BNPL providers face in adapting to new regulations, such as the need for revised disclosure practices and handling consumer disputes
  • Potential long-term impacts of these regulatory changes
Banking Industry Compliance Roundtable Recap Q3 202409 août 202400:17:38

In this episode of the COMPLY Podcast, I sat down with my co-host Rhonda to debrief on our recent banking industry compliance roundtable and highlight key themes and takeaways from the event.

Discussion points include:

  • Social media compliance for mortgage and loan officers
  • Insights on the compliance review process of marketing materials
  • Best practices for bank-fintech partnerships and marketing compliance
  • Common BSA/AML challenges for fintechs


Show Notes:

Staying Ahead of Compliance with Insights from Sandhya Brown26 juil. 202400:19:19

In this episode of the COMPLY Podcast, we’re joined by Sandhya Brown, Assistant Director in the Division of Financial Practices at the Federal Trade Commission as she shares her perspective on what the Commission has been up to and what financial service providers should keep in mind in terms of compliance and consumer protection.

Discussion points include:

  • The two-sided risks of AI for compliance
  • Her insights on a couple of FTC cases involving lead generation
  • Updates on FTC rulemakings and guides
Expert Insights on UDAAP and Deceptive Advertising Pt. 212 juil. 202400:29:34

This COMPLY Podcast episode is part 2 of a discussion between John Zanzarella, PerformLine’s SVP of Sales, Jonathan Pompan, Partner at Venable LLP, and Brian Serafin, Counsel at Weiner Brodsky Kider, as they take a deep dive into recent regulatory activity around UDAAP and deceptive advertising and best practices for getting ahead of risk.

They discuss:

  • Problematic terms in marketing materials, such as “instant,” “free,” and “affordable”
  • The FDIC’s updated advertising rule and how it impacts both banks and non-banks
  • Best practices for ensuring transparent communication in marketing


Show Notes:

Expert Insights on UDAAP and Deceptive Advertising Pt. 128 juin 202400:35:16

This COMPLY Podcast episode is part 1 of a discussion between John Zanzarella, PerformLine’s SVP of Sales, Jonathan Pompan, Partner at Venable LLP, and Brian Serafin, Counsel at Weiner Brodsky Kider, as they take a deep dive into recent regulatory activity around UDAAP and deceptive advertising and best practices for getting ahead of risk.

They discuss:

  • Recent activity from the CFPB and FTC around UDAAP and deceptive advertising
  • Expectations for the impact of the Supreme Court’s ruling to uphold the CFPB’s constitutionality
  • Why product, marketing, and compliance teams need to collaborate for success

Show Notes:

Mortgage Compliance Roundtable Rundown and Takeaways Q2 202431 mai 202400:25:26

In this episode of the COMPLY Podcast, I sit down with my co-host Rhonda McGill to discuss the latest trends and challenges shaping the mortgage compliance landscape, drawing from our most recent mortgage industry roundtable with compliance leaders.

We’ll cover:

  • State licensing disclosures in marketing and advertising materials
  • Compliance considerations for QR codes that point consumers to loan information or to directly apply
  • The frequency and intensity of regulatory examinations
  • How companies adapting their business practices to stay compliant and competitive
  • How the Supreme Court’s ruling on the CFPB’s constitutionality could affect compliance practices within the mortgage industry

Show Notes:

Strengthening Bank-Fintech Partnerships with Compliance03 mai 202400:35:54

2023 was a year of increased regulatory scrutiny for bank-fintech partnerships. This, coupled with a challenging macroeconomic environment and an election year, means there’s a lot on the horizon for the compliance space for the industry in 2024.

In this podcast, we’re joined by industry experts Elizabeth Gorz, Chief Strategy Officer & Head of Legislative Affairs at American Fintech Council, and Ed Greene, BSA Officer at Middlesex Federal Savings, to discuss:

  • How banks can establish and maintain compliance over their fintech program after a challenging year of budget cuts and being asked to do more with less
  • Best practices for fintechs to better prepare themselves for a cohesive and compliant partnership with banks
  • How banks can ensure accurate communication to consumers when that communication comes from fintechs and their partners

Show Notes:

A Look Back as the COMPLY Podcast Turns Two19 avr. 202400:11:16

COMPLY is turning 2! To celebrate, we have pulled together a compilation of some of our favorite moments from the last couple of years so that we could highlight some of the many great speakers that we have had on the show.

In today’s podcast, our guests will share their insights on the following:

  • How taking a look at past enforcement actions can help you shore up your compliance program.
  • What the growth of the CFPB means for future enforcements.
  • Why training and ongoing discussions with your team matter when building a culture of compliance.
  • The importance of organizations proactively taking extra steps to protect consumers.
  • The importance of having an automated RegTech solution in place to ensure both compliance and brand protection.

Show Notes

BaaS Partnerships and Fintech Meetup Insights15 mars 202400:30:50

Fintech Meetup provides an opportunity for the fintech industry to connect and collaborate to shape the future of fintech. PerformLine and FS Vector were both in attendance and had a birds-eye view of this event and were able to glean some great takeaways for us to share with our listeners.

In today’s COMPLY Podcast episode, I am joined by Ethan Singleton, Principal at FS Vector, and Alex Morris, Sr. Account Executive at PerformLine, where we will chat about:

  • BaaS partnerships—is there light at the end of the tunnel?
  • The growing fintech community and the blooming collaborations
  • Compliance still matters!
  • Regulators support innovation while warning about consumer protection

Show Notes:

Sneak Peek of the 2024 State of Marketing Compliance Report01 mars 202400:14:02

Each year, PerformLine conducts a survey of marketing compliance professionals throughout the consumer finance industry to provide insights into the current state of marketing compliance in various organizations, their challenges, and future expectations. It aims to help organizations benchmark their compliance practices and identify areas for improvement.

In this sneak peek, we discuss:

  • Key data points and takeaways from the report
  • The most consistent and inconsistent data points year over year
  • Insights on how marketing and compliance teams are collaborating


Show Notes:

Building, Evolving, and Automating Fintech Marketing Compliance16 févr. 202400:27:43

There has been a shift in how regulators are approaching regulation of BaaS and FinTech’s.  As enforcement actions continue to increase, having a well prepared compliance program in place is important now more than ever.

In today’s COMPLY Podcast episode, I am joined by Ethan Singleton, Principal at FS Vector where we will chat about:

  • Regulation in a new age of fintechs
  • How banks and fintechs can apply what they have learned from regulatory actions
  • How to know when the time is right to get out of spreadsheets and into a technology solution
  • The cost of not having a monitoring process in place (and it's not just monetary)

Show Notes:

Beyond the Booths: Marketing Compliance Conference Insights02 févr. 202400:21:19

In today's dynamic compliance landscape, marketing compliance remains an overlooked realm within banks and fintechs. The potential solution? Increased collaboration and representation at industry conferences, along with more fintech participation.

In this COMPLY Podcast episode, I'm joined by Alex Morris, Senior Account Executive at PerformLine, where we chat about:

  • The need for more marketing compliance resources and content at consumer finance industry conferences
  • Challenges faced by compliance teams who need to do more with less
  • The crucial role technology plays in scaling consumer finance offerings
  • Heightened enforcement actions and higher standards in marketing compliance education in 2024

Show Notes:

Recent CFPB Rulemaking Activity & Looking Ahead for 202419 janv. 202400:26:45

2024 is already shaping up to be an unprecedented year that will continue to be filled with regulatory and compliance pressures including increased rulemaking, examinations and enforcement. As we enter what is sure to be yet another busy year in the regulatory space, regulators are gearing up to ensure that consumer protection continues to be the focus of their ever-growing agenda.

Today's episode is part 2 of a discussion featuring CFPB alumni Gary Stein and Melissa Baal Guidorizzi, where they discuss:

  • Recent CFPB Rulemaking Activity
  • Steps you can take now to get ahead of regulatory scrutiny
  • Looking ahead at rulemaking for 2024
  • Will the upcoming election impact operations at the CFPB?

Show Notes

CFPB Complaints, Enforcements, & Navigating New Compliance Challenges05 janv. 202400:26:37

Facing another record-breaking year of consumer complaints in 2023, the consumer finance industry faces a pivotal crossroads. This surge, along with intensified rulemaking and enforcement activities from the CFPB, signals unprecedented regulatory and compliance pressures.

Today's episode is part one of a discussion featuring CFPB alumni Gary Stein and Melissa Baal Guidorizzi, where they discuss:

  • Consumer complaint trends in 2023 and factors that led to the record volume
  • Leveraging consumer complaint data for internal compliance processes
  • Recent enforcement action numbers and the impact they have for the CFPB
  • How CCOs can navigate new challenges in 2024

Show Notes:

Banking on Efficiency: Unveiling the Future of Compliance and Risk with Industry Experts15 déc. 202300:16:49

If you missed our session at Money20/20 this year on The New Era of Banking Efficiencies, you’re in luck. Today’s episode is the second part of that discussion featuring PerformLine’s CEO and Founder Alex Baydin, Harsha Ragunath, Head of Product Compliance at Stripe, and Babette Reynolds, Head of the Enterprise Compliance Program Office at Truist.

During today’s episode, they discuss:

  • The prevailing industry theme of prioritizing efficient and profitable growth over growth at any cost, and the crucial role technology plays in achieving more with less.
  • The significance of leveraging advanced technology, such as PerformLine, to enhance the efficiency of compliance teams, and how this strategic use of technology facilitates the transition of top performers from task-oriented roles to thought leaders within the organization.
  • And finally, the discussion ends with the guests sharing their predictions regarding the future of technology in the compliance and risk sector.

Show Notes:

Risk Management and Fintech Collaboration: Lessons from Stripe and Truist01 déc. 202300:21:41

If you missed our session at Money20/20 this year on The New Era of Banking Efficiencies, you’re in luck. Today’s episode is the first part of that discussion featuring PerformLine’s CEO and Founder Alex Baydin, Harsha Ragunath, Head of Product Compliance at Stripe, and Babette Reynolds, Head of the Enterprise Compliance Program Office at Truist.

During today’s episode, they discuss:

  • The role of fintechs in compliance & collaboration, and how Stripe's compliance team collaborates cross-functionally to ensure compliance in product design and development; and acts as a communication bridge to facilitate discussions between fintech features and partner banks' compliance.
  • The current transformation that Truist, and many other large banks, are undergoing right now to automate a lot of the risk and compliance functions, especially as they pertain to their fintech partnerships.
  • And finally, the group speaks to the issued guidance earlier this year from the Fed, FDIC, and the OCC, which noted that banks are accountable for the risk management of third-party providers and how both fintechs and partner banks can go about vetting potential partners to align on compliance requirements.

Show Notes:

Enforcement Expectations and Marketing Compliance Best Practices17 nov. 202300:17:27

This COMPLY Podcast episode is part three of a discussion between Rhonda McGill, PerformLine's Senior Director of Client Success, and Kimberly Monty Holzel and Courtney Hayden from Goodwin as they take a deep dive into recent marketing compliance enforcement actions and share their advice for getting ahead of regulatory scrutiny.

Listen as they discuss:

  • Why public CFPB enforcement actions are down in recent years
  • Enforcement action expectations on both the federal and state level for the rest of 2023 + 2024
  • Marketing compliance best practices and takeaways


Show Notes:

Dark Patterns, Enforcements, and Best Practices for Compliance03 nov. 202300:20:08

This COMPLY Podcast episode is part 2 of a discussion between Rhonda McGill, PerformLine's Senior Director of Client Success, and Kimberly Monty Holzel and Courtney Hayden from Goodwin as they take a deep dive into recent marketing compliance enforcement actions and share their advice for getting ahead of regulatory scrutiny. Listen as they discuss:

  • What dark patterns are and some examples
  • A notable enforcement action against a large organization for engaging in dark patterns
  • Tips for avoiding dark pattern compliance issues

Show Notes

Fair Lending and FDIC Insurance Enforcement Trends20 oct. 202300:23:22

This COMPLY Podcast episode is part one of a discussion between Rhonda McGill, PerformLine's Senior Director of Client Success, and Kimberly Monty Holzel and Courtney Hayden from Goodwin, as they take a deep dive into recent marketing compliance enforcement actions and share their advice for getting ahead of regulatory scrutiny.

Listen as they discuss several enforcement actions and trends, including:

  • Fair lending and redlining in mortgage and beyond
  • FDIC misrepresentation by fintechs

Show Notes:



Navigating BaaS Partnerships: Regulatory Insights with Christina Tetreault of the California DFPI06 oct. 202300:13:22

This week I sat down with a special guest, Christina Tetreault, with the California DFPI, to discuss: 

  • How partnerships between traditional banks and BaaS providers benefit both parties
  • The measures these institutions can take to ensure they meet regulatory requirements when offering banking services through a third-party provider
  • And how the California DFPI is taking a proactive approach focused on understanding your business to address potential challenges in the financial sector

Show Notes: 

[Sneak Peek] 2023 CFPB Consumer Complaint Trends & Insights22 sept. 202300:17:50

This week, I sat down with our Content Marketing Manager here at PerformLine, Gianna Barrere, to discuss our annual Complaint Risk Signal Report. 

Listen as Gianna and I discuss:

  • The background of the report, the importance of consumer complaints, and how they are used by the CFPB to regulate financial institutions
  • Key topics and a few interesting takeaways the report covers this year
  • Guidance on how organizations can establish a process for monitoring these complaints in the database system
  • Best practices for how to implement monitoring of marketing communications for compliance with regulations effectively
  • Finally, we share how you can access the report and give a rundown of the additional content pieces coming out this quarter that you can look forward to


Show Notes:


Benefits of Automating Your Marketing Compliance Processes08 sept. 202300:26:47

This week I sat down with our SVP of Sales here at PerformLine, John Zanzarella, to discuss the Benefits of Automating your Marketing Compliance Processes. 

Listen as John and I discuss:

  • Some of the key concerns that keep marketing compliance professionals up at night
  • The specific industry trends and regulatory changes that have heightened these concerns in recent times
  • How automation can play a role in addressing these compliance challenges
  • Some real-world success stories of organizations that have benefited from automating their marketing compliance processes


Show Notes: 

The State of Mortgage Compliance, August 202325 août 202300:26:28

This week I sat down with our Senior Director of Client Success here at PerformLine, Rhonda McGill, to discuss the state of mortgage marketing compliance. This month we hosted our quarterly roundtable with compliance leaders in this space, and during today's episode Rhonda and I sat down to discuss some key takeaways from that event, including: 

  • The ongoing complications with manual compliance review of loan officers
  • The increased risk of loan officers seeking additional revenue from affiliate partnerships due to the interest rate market, and what compliance teams can do to mitigate this risk
  • Compliance Concerns with Loan officers adopting group names (or “team names”) for branding and how to address the regulatory scrutiny around these
  • The ever-popular topic of monitoring loan officers across social media, specifically the new platform Threads
  • And finally, remote work policy requirements that are being issued by states and how compliance teams can proactively address these.


Show Notes


Building a Culture of Compliance with Faraz Rana04 août 202300:23:22

This week’s podcast features a special guest, Faraz Rana, Founding Team Member and Former Chief Legal Officer at Bread and current Co-Founder and CEO of Affinity. During today's episode, we sit down with Faraz to discuss building a culture of compliance, including:

  • What the compliance team and processes looked like during his time at Bread
  • How he prioritized what needed to be done to build this true culture of compliance
  • How technology can be an integral part of the compliance process, especially as it pertains to automating and scaling this function
  • And finally, some top tips for fintech listeners as it pertains to their compliance programs and readying them for bank partnerships


Show Notes:

Sandhya Brown of the FTC14 juil. 202300:19:26

This week’s podcast features a very special guest, Sandhya Brown, Assistant Director in the Division of Financial Practices at the FTC. This past year, the FTC issued their staff report on dark patterns (“Bringing Dark Patterns to Light”) and also brought a number of cases involving dark patterns: Credit Karma, Epic Games (Fortnite), and Vonage, to name a few. 

They’ve also initiated rulemakings in a few areas related to dark patterns – in particular, junk fees and click-to-cancel. 

Listen as she talks about the staff report, key aspects of the cases they brought, the rulemaking proposals, and tips for compliance.

Show Notes:

UDAAP Compliance Trends and Best Practices Pt. 2 09 juin 202300:32:34

This week’s podcast is the second part of a conversation between four industry experts—James Kim from Troutman Pepper, Brian Serafin from Weiner Brodsky Kider PC, Pia Thompson from lawesomeGC,  and Rhonda McGill from PerformLine.

 Today they continue their discussion on  UDAAP. Topics on today's episode include:

  • How to avoid common UDAAP pitfalls
  • Mitigating UDAAP compliance risk in marketing materials
  • Developing effective UDAAP compliance programs


Show Notes:


UDAAP Compliance Trends and Best Practices Pt. 126 mai 202300:26:00

This week’s podcast is the first part of a conversation between four industry experts—James Kim from Troutman Pepper, Brian Serafin from Weiner Brodsky Kider PC, Pia Thompson from lawesomeGC, and Rhonda McGill from PerfomLine. 

Today they discuss their unique insights on compliance with Unfair, Deceptive, or Abusive Acts or Practices (UDAAP). Listen as they discuss: 

  • Background on UDAAP
  • Compliance risks to be aware of as it pertains to UDAAP
  • Their takes on the CFPB's policy statement on abusive acts and practices

Show Notes:

Navigating Marketing Compliance Challenges Pt. 212 mai 202300:25:20

This week’s podcast is part two of a conversation between our SVP of Sales John Zanzarella, and two heavy hitters in marketing compliance - Alexandra Megaris, Partner at Venable LLP, and John Henson, General Counsel at ConsumerAffairs. 

If you haven’t listened to the first part of their conversation, we recommend you do that first, and then head back here to see how they wrap up their conversation with these topics: 

  • How to mitigate risk across marketing channels
  • How to prioritize communication methods for compliance
  • Regulatory hot topics and expectations for 2023
  • How to share regulatory updates that affect the business with the appropriate teams

Show Notes:



Navigating Marketing Compliance Challenges Pt. 128 avr. 202300:28:27

In this week’s podcast our SVP of Sales John Zanzarella, sits down with two heavy hitters in marketing compliance - Alexandra Megaris, Partner at Venable LLP, and John Henson, General Counsel at ConsumerAffairs - as they discuss how organizations are facing a unique set of marketing compliance challenges in 2023. Their discussion topics include: 

  • How small compliance teams can keep up with increasing demands
  • Effectively prioritizing and allocating compliance budgets
  • The risks of not prioritizing training and development
  • How organizations can make the most of their relationship with consultants and outside counsel

Show Notes:

The Top UDAAP Compliance Issues Across Published Content14 avr. 202300:28:46

On this week’s podcast we sit down with two PerformLine colleagues - Gianna Barrere, our Content Manager and Mike Gibney, our Client Solutions Manager and we discuss all things UDAAP (or Unfair, Deceptive, Abusive Acts or Practices). 

First we chat with Gianna about her newly released report: The Top UDAAP Compliance Issues Across Published Content, the methodology behind the report, and some of the key takeaways. 

And then we chat with Mike about PerformLine’s rules engine, rulebooks - specifically those that help with UDAAP, and why it’s critical to take a proactive approach to marketing compliance.

Show Notes: 


BaaS: Compliance as a Competitive Advantage Pt. 231 mars 202300:21:55

This week’s podcast is part two of a conversation all about BaaS or banking-as-a-service. If you haven’t listened to our previous podcast it contains part one of this conversation, so we recommend that you go back and listen if you haven’t yet. This week though we are rejoined by Paul Wilmore, PerformLIne’s COO, Tanner Mayo, President of FedFis and the BaaS association, and Amanda Swoverland, Chief Compliance officer at Unit, as they discuss:

  • The inconsistency in the regulatory climate in this industry, and thoughts on what’s to come.
  • How players in this space can use compliance as a competitive advantage.
  • How using a scalable platform to automate your compliance process can increase your number of fintech partnerships and thus growth.
  • And what the next 6-10 months might look like in this space.

Show Notes:

BaaS: Compliance as a Competitive Advantage Pt. 117 mars 202300:19:17

This week’s podcast is part one of a conversation all about BaaS (banking-as-a-service). Paul Wilmore, PerformLine’s COO, sits down with Tanner Mayo, President of FedFis and the BaaS association, and Amanda Swoverland, Chief Compliance officer at Unit to discuss:

  • The current state of this rapidly growing industry
  • How Fintechs are building trust with consumers as we see more a shift to the less traditional banking model
  • Their stance on who is responsible for regulatory compliance and consumer protection in this space - the bank, the fintechs, or both.
  • The expertise in compliance that banks can offer these fintechs given their history of regulatory oversight.

Show Notes:

The State of Mortgage Marketing Compliance17 févr. 202300:22:26

This week I sat down with our Senior Director of Client Success here at PerformLine, Rhonda McGill, to discuss the state of mortgage marketing compliance. Last week we hosted a quarterly roundtable with compliance leaders in this space and today Rhonda and I discuss some key take aways from that event. 

This includes doing a lot more - such as examinations and compliance reviews, with a lot less - as we see market trends impacting these teams.  As well as the ongoing need for monitoring for non-compliant posts and brand mentions across loan officer’s social media channels. We discuss these key themes and some helpful takeaways for folks in this industry to start thinking about and implementing today. 

Show Notes:


The State of Marketing Compliance03 févr. 202300:13:33

This week I sat down with our content manager here at PerformLine, Gianna Barrere, to discuss the release of our upcoming State of Marketing Compliance Report. 

This is our second annual release of this report, which is a comprehensive overview of the data we collected in Q4 of 2022 , when we surveyed compliance professionals across a wide variety of industries on their marketing compliance practices, concerns, and challenges. 

During today’s podcast Gianna and I discuss: 

  • Key insights from the report
  • The most consistent and inconsistent data points year-over-year
  • A few key takeaways for the mortgage, buy now, pay later, fintech, and partner bank industries
  • And a sneak peek at our upcoming webinar with compliance professionals to dig into these insights


Show Notes: 

CFPB Compliant Risk Signal Report Pt. 220 janv. 202300:16:12

This week’s episode is part two of a conversation about one of our top annual content pieces - the CFPB Compliant Risk Signal Report. Every year we analyze the consumer complaints submitted to the Consumer Financial Protection Bureau and the compliance risk signals they present to financial institutions. 

Today’s podcast is a continuation of a conversation between experts at PerformLine as they continue to talk through compliance risk signals from the CFPB's consumer complaint database, including: 

  • Enforcement trends over the past year and expectations in 2023
  • Prioritization of enforcement over consumer education
  • Increased scrutiny of UDAAP
  • The States' role in enforcement and consumer protection
  • Key takeaways to mitigate compliance risk

Show Notes:

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