Continue to Climb

This year’s theme for the Risk & Compliance Summit is “Continue to Climb”. The Summit is a unique opportunity to engage in proactive discussions with leaders and peers on how to prepare your organization in this ever-changing regulatory compliance environment. General and breakout sessions will guide you in developing and maintaining compliance programs that conform with industry best practices. 

We are excited to have a fantastic line-up of respected speakers and panelists, including industry thought leaders, lenders, regulators and a special appearance from the founder of Rolling Stone Magazine during dinner.


Some of the topics and highlights will include:

  • Regulatory and supervisory updates from regulators
  • Changing the perception of compliance from an emergency brake to an integrated partner
  • How quality compliance can generate robust growth opportunities
  • Innovations in RegTech

Click Here to View the Agenda

This event is designed to encourage insightful dialogue and high-level networking amongst compliance leaders and professionals as you ‘Continue the Climb’. You don't want to miss this annual event and we look forward to seeing you in San Francisco in November.

Who Should Attend

Sending teams from your company is encouraged

- Compliance Officers

- Compliance Managers

- Legal Counsel

- Operations Manager

- Credit Policy Managers

- QC Managers

- Risk Officers

- Auditors

- Examiners

Justify Your Attendance

We have created a template to justify your attendance at the 2017 Risk & Compliance Summit.

Click Here to View Justification Template


Please register as early as possible, and take advantage of our special early bird discounted registration fee before August 18.

Early Bird Registration Fee - $495 (compare at standard fee $695) 

Registration Fee includes:

  • Admission to the Risk & Compliance Summit sessions
  • Wednesday opening reception
  • Thursday breakfast, lunch, and dinner events
  • Friday breakfast and lunch
  • Daily refreshments and conference materials
  • (Air travel and hotel room are not included in registration fee.)



  • San Francisco International Airport (SFO)
  • 13.4 miles away from Summit Venue
  • 13.3 miles away from the Harbor Court Hotel
  • 2.0 miles away from ComplianceEase HQ


The Harbor Court Hotel (TripAdvisor 4 star hotel) has blocked a limited number of rooms for attendees of the Risk & Compliance Summit - available Wednesday, November 1 - Friday, November 3 at the special rate of $229 excluding taxes and fees. To reserve your room, click the below link or call contact Jhonae Mazique, Group Reservation Coordinator at or (415) 882-1300. Please use Group Code "171101COMP". Special rate expires on August 18.

Harbor Court Hotel, 165 Steuart St, San Francisco, CA 94105

Wednesday, November 1

1:00 PM – 4:00 PM

Pre-Summit Workshops

(A) ComplianceAnalyzer Best Practices, Tips & Tricks

(B) Mastering TRID Monitor

(C) Use PerformanceAnalyzer to Get a Raise: Uncover Risk in Your Data and Impress the Boss

Speakers: ComplianceEase SMEs

*ComplianceEase Clients Only*

One Market Restaurant

Wine & Wall Room

30 Steuart Street (at Market)

5:00 PM – 7:30 PM Registration 34/F Sunset Foyer

6:00 PM – 7:30 PM

Welcome Reception

Sponsor: Morrison & Foerster

34/F Sunset Foyer


*Schedule, speakers, and topics subject to change.

Thursday, November 2

8:00 AM – 5:00 PM


33/F Main Foyer

7:30 AM – 8:30 AM



33/F Town Hall A & B,
Alcatraz Room,
Golden Gate Room

8:30 AM – 9:00 AM

Welcome Remarks

Speaker: Dan Smith, SVP, ComplianceEase

33/F Town Hall A & B

9:00 AM – 9:45 AM

Risk Management: What It Really Means

Speaker: Don Lampe, Partner, Morrison & Foerster

33/F Town Hall A & B

9:45 AM – 10:00 AM

Refreshment Break


10:00 AM – 11:00 AM

Digital Mortgage and eClosings: Rethinking the Process

Panel: Melissa Richards (moderator), Chief Risk Officer, CMG Financial

Scott Aberle, VP IT Compliance, Quicken Loans

Rick Hill, VP Technology, MBA

33/F Town Hall A & B

11:00 AM – 12:00 PM

Developing a Compliant Social Media Strategy

Panel: David Lykken (moderator), President, Transformational Mortgage Solutions

Don Lampe, Partner, Morrison & Foerster

33/F Town Hall A & B

12:00 PM – 1:00 PM Networking Lunch 33/F Town Hall A & B,
Alcatraz Room, 
Golden Gate Room

1:00 PM – 2:00 PM

Regulatory Update: What’s Here to Stay, Gone Tomorrow, and Coming Soon

Speakers: Ken Markison, VP Regulatory Counsel, MBA

CFPB (invited)

33/F Town Hall A & B

2:00 PM – 3:00 PM

State Exam and Enforcement Update: No Signs of Slowing Down

Panel: Sharif Mahdavian (moderator), Vice President, ComplianceEase

Chuck Cross, SVP Consumer Protection & Non-Depository Supervision, CSBS

Laura LaRaia, Chief Compliance Officer, Supreme Lending

33/F Town Hall A & B

3:00 PM – 3:15 PM

Refreshment Break


3:15 PM – 4:15 PM

Info Security and Privacy – What You Want to Know but Afraid to Ask

Panel: Rick Hill (moderator), VP Technology, MBA

Debbie Hoffman, Chief Legal Officer, DigitalRisk

Jason Roth, CMT, CTO, ComplianceEase

33/F Town Hall A & B

4:15 PM – 5:30 PM

Roundtable Discussion


(A) Mock Exams

33/F Town Hall A & B


(B) State Compliance Issues

33/F Alcatraz Room



33/F Golden Gate Room

6:30 PM – 9:00 PM

Dinner - San Francisco Unplugged: A Peek into the City’s Rich (and Dark) History

Speaker: Charles Fracchia, Founder, Rolling Stone Magazine

One Market Restaurant

Wine & Wall Room

30 Steuart Street (at Market)


*Schedule, speakers, and topics subject to change.

Friday, November 3

8:00 AM – 12:00 PM


33/F Main Foyer

7:30 AM – 8:30 AM


33/F Town Hall Foyer

8:30 AM – 9:30 AM

RegTech Innovation Lab

Speakers: Jason Roth, CMT, CTO, ComplianceEase

Frank Tuttle, SVP Product Management, ComplianceEase

Al Ogrodski, SVP Solution Strategy, ComplianceEase

33/F Town Hall A & B


9:30 AM – 10:30 AM

Best Practices to Ensure HMDA / Fair Lending Compliance

Panel: Angela Kleine (moderator), Partner, Morrison & Foerster

CFPB (invited)


33/F Town Hall A & B


10:30 AM – 10:45 AM

Refreshment Break

33/F Town Hall Foyer

10:45 AM – 11:45 AM

Preparing for NMLS 2.0

Panel: Tim Lange, Senior Director – SRR Policy, CSBS

33/F Town Hall A & B

11:45 AM – 12:00 PM

Closing Remarks

Speaker: John Vong, President, ComplianceEase

33/F Town Hall A & B

12:00 PM

Lunch Box To-Go

33/F Town Hall Foyer


*Schedule, speakers, and topics subject to change.


If you have any questions related to 2017 Risk & Compliance Summit, please email