OCC ALJ Slams ex-Wells Fargo Execs

OCC ALJ Slams ex-Wells Fargo Execs

The award winning, Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode, we continue the ongoing saga of Wells Fargo and its fraudulent accounts scandal. Recently an administrative law judge has affirmed that three former audit and risk management executives at Wells Fargo should face millions in penalties for their sloppy oversight during the bank’s fake-account scandal in the 2010s. The defendants were Claudia Russ Anderson, former group risk officer for Wells Fargo’s community banking division; David Julian, former chief auditor; and Paul McLinko, former executive audit director. Some of the highlights include: · The background facts. · Will the fallout from the Wells Fargo fake accounts scandal ever end? (Hint-When our Sun goes supernova.) · What is failure to provide a credible challenge? · Why are these execs trying to defend their inaction? · Why a clear line of authority is needed in compliance. · A root cause analysis is a basic Hallmark of an effective compliance program. Why was it separately called out? · What are the lessons learned for compliance? Resources Matt Kelly in Radical Compliance Learn more about your ad choices. Visit megaphone.fm/adchoices

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 Clippers Salary-Cap Circumvention: Sham Endorsements, Contract Red Flags, and Compliance Lessons

Clippers Salary-Cap Circumvention: Sham Endorsements, Contract Red Flags, and Compliance Lessons

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into compliance-related topics, literally going into the weeds to explore a subject in greater depth. Look...

9 Syys 34min

Broken Execution in Day-to-Day Compliance Operations – The BAE Enforcement Action

Broken Execution in Day-to-Day Compliance Operations – The BAE Enforcement Action

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into compliance-related topics, literally going into the weeds to explore a subject in greater depth. Look...

2 Syys 22min

AI for Compliance: Lessons from Teaching Cohorts⁠

AI for Compliance: Lessons from Teaching Cohorts⁠

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into compliance-related topics, literally going into the weeds to explore them more fully. Looking for som...

26 Elo 24min

Compliance Implications of DOJ’s New Fraud Division and McDonald Memo

Compliance Implications of DOJ’s New Fraud Division and McDonald Memo

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into compliance-related topics, literally going into the weeds to explore them in greater depth and uncove...

19 Elo 24min

Ted Lasso, Culture and Compliance

Ted Lasso, Culture and Compliance

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Looking f...

12 Elo 28min

FinCEN’s $125MM UBS AML Order: A Culture and Resourcing Failure

FinCEN’s $125MM UBS AML Order: A Culture and Resourcing Failure

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Looking f...

5 Elo 26min

Scoular Company FCPA Settlement: Cartel Links, Border Trade Risks, and Compliance Lessons

Scoular Company FCPA Settlement: Cartel Links, Border Trade Risks, and Compliance Lessons

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully. Looking for some...

29 Heinä 26min

The Slaughter Ruling, Regulatory Volatility and a Healthcare Compliance Fraud Case

The Slaughter Ruling, Regulatory Volatility and a Healthcare Compliance Fraud Case

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it in greater depth. Looking fo...

15 Heinä 28min

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