Barbara Boccia | Wolters Kluwer
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  • Barbara Boccia, CRCM, MBA, JD

    Barbara Boccia

    Senior Director, U. S. Advisory Services and Regulatory Relations

    Barbara Boccia brings more than 30 years of professional experience to her role as senior director with the Wolters Kluwer U.S. Advisory Services team, assisting financial institutions and non-bank financials of all sizes effectively manage compliance and risk in a complex and evolving regulatory environment.  Ms. Boccia leads a team of experienced regulatory compliance professionals across a wide range of consulting engagements, delivering exceptional value across a broad range of regulatory compliance needs, including fair lending, CRA, HMDA and UDAAP/UDAP.  

    Additional expertise includes development and assessment of compliance management systems (CMS), compliance risk assessments (including fair lending, UDAAP), compliance monitoring and testing, control processes, complaint management programs, and third party vendor management programs. Projects also include a broad range of regulatory compliance issues relating to lending (including mortgage, auto/indirect auto and credit cards), deposits, social media, marketing, underwriting, servicing, collections, and BSA/AML/OFAC. Boccia’s work includes driving strategic change management, preparing clients for regulatory exams, and assisting with remediation efforts.

    Prior to joining Wolters Kluwer, Boccia served as a regional director at a national consulting firm, where she managed a variety of compliance engagements with financial institutions of all sizes. Prior to consulting, she developed deep, practical skills and experience in compliance through various positions held at financial institutions in the San Francisco Bay Area, as well as fintech experience with emerging technologies from her work in Silicon Valley.  

    Prior to working in the financial services sector, she was a senior trial attorney in the insurance sector in San Francisco. Boccia is a graduate of the University of Tennessee (BS), San Francisco State University (MBA), and McGeorge School of Law (JD). She attended the American Bankers Association National Graduate Compliance School and is a Certified Regulatory Compliance Manager (CRCM).

    Boccia regularly speaks at financial and banking industry events on a wide variety of bank regulatory compliance topics such as HMDA, UDAP/UDAAP, fintech, fair lending, complaint management and social media. She is also a frequent writer and commentator on bank compliance issues in various bank journals and other industry publications. Among her more recent bylines is an article on the OCC’s CRA Modernization ANPR (September 2018).

  • Insights

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    The Risks and Management of Algorithmic Bias in Fair Lending
    (Published November 6, 2019) The use of alternative data for lending continues to grow. And Congress, regulatory agencies, community organizations and civil rights advocates will continue to focus on whether use of these technologies adversely impacts fair lending compliance. In this ABA Bank Compliance article, Britt Faircloth argues that banks must be prepared to assess and mitigate both new fair lending risks and existing risks that may evolve in new ways within the rapidly changing environment.
    Yin-Yang: Creating Harmony Between Legal and Compliance
    (Published October 31, 2019) Banks that struggle with harmony and balance between their Legal and Compliance departments may want to step back to consider approaches that can better align culture and values as an over-arching theme. In this ABA Bank Compliance article, Barbara Boccia offers insights on how these functions can collaborate more closely to benefit a bank’s overall regulatory compliance program.
    UDAAP in the Digital Age
    (Published September 13, 2019) In this ABA Bank Compliance feature, Barbara Boccia looks at the practical applications for identifying key risk indicators to better manage one’s UDAAP risks.
    A Strong Compliance Culture Starts with a CMS Review
    (Published May 31, 2019) Compliance and fintech expert, Barbara Boccia, reviews the essentials of having a solid compliance management system when implementing fintech.
    Effective CMS Tactics to Support Corporate Governance
    (Published April 10, 2019) Given today’s fast and dramatic change of pace in financial services, author Barbara Boccia encourages financial institutions of all sizes to recalibrate their Compliance Management System (“CMS”) framework, helping ensure that all corporate governance responsibilities are addressed as an institution evolves and grows.
    UDAAP Controls for Managing Risk
    (Published March 29, 2019) Barbara Boccia traces the evolution of UDAAP standards and regulatory oversight in this "Journal of Financial Compliance" feature, illustrating how some U.S. federal regulatory agencies have retained the ability to enforce the standard even without rulemaking authority. The article provides financial institutions with practical guidance on managing associated risks.
    Is Fintech Choosing You?
    (Published March 13, 2019) Are you ready to play in the fintech space? There is so much to consider with changing demographics, the competitive landscape and evolving technologies. Will your financial institution invest and build? Are you considering to buy, partner or network with a fintech? Barbara Boccia provides context and clarity on the strategies for implementing fintech.
    A Look at the OCC’s CRA Modernization ANPR
    (Published September 7, 2018) The OCC issued an ANPR for the CRA on August 28, 2018 and this article reviews the comments made in 6 areas of CRA in this report.
    The Three C's of Compliance
    (Published August 21, 2018) Barbara Boccia, CRCM, MBA, JD of Wolters Kluwer outlines three factors that can turn a bank’s compliance department into a strategic asset.
    Check Your Watch: It’s Time to Update Your Social Media Policy Again
    (Published May 2018) When was the last time you reviewed and updated your Social Media Policy and Procedures? In this ABA Bank Compliance article, Wolters Kluwer compliance expert Barbara Boccia explains why now is the time to evaluate how your institution interacts with the public, as well as consider ways to identify, measure, monitor and mitigate associated risks.
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