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

    Barbara Boccia

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

    Boccia brings more than 30 years of professional experience to the Advisory Services Team. She has a broad range of expertise leading strategic and technical regulatory compliance engagements relating to the broad array of consumer protection regulations within the financial services sector.

    Prior to joining Wolters Kluwer, she 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, as well as fintech experience with emerging technologies from her work in Silicon Valley.

    Her expertise includes the 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. She also understands the interplay across CRA, fair lending, UDAAP, complaints and data collection, particularly HMDA and small business. Her work includes preparing clients for regulatory exams before CFPB, FRB, OCC, FDIC, and NCUA, resolving regulatory enforcement actions, and assisting with remediation efforts. Her focus includes change management, whether change is occurring due to organic growth, mergers and acquisitions, or as a proactive response to new regulations.

    Prior to working in the financial services sector, she worked as 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), McGeorge School of Law (JD). She attended the American Bankers Association National Graduate Compliance School and is a Certified Regulatory Compliance Manager (CRCM).

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    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.
    HMDA 2018 Focus: CMS, Data Integrity and Fair Lending Implications
    (Recorded Webinar, April 19, 2018) With 2017 submission out of the way, it is time to focus on 2018 HMDA data. This complimentary webinar focuses on four critical areas to which lenders should pay attention during 2018.
    2018 Regulatory & Risk Outlook: Survival of the Fittest
    (Published January 2018) In the struggle for survival, the fittest win out at the expense of their rivals not because they are the strongest, but because they are best at adapting themselves to their changing environment. In this Bank News article, compliance expert Barbara Boccia explores how banks might better equip themselves to “survive” the current winds of regulatory change.
    Top Bank Risks in 2018
    (Published December 15, 2017) From regulatory uncertainty to workforce management challenges, risks and their impacts are more interconnected than ever before. In this ABA Banking Journal article, Wolters Kluwer experts Will Newcomer and Barbara Boccia weigh in on the top bank risks in 2018.
    HMDA Final Pit Stop: Fuel Up and Be Ready for 2018
    (Recorded December 7, 2017) The Wolters Kluwer team will give you any last-minute tips and updates to get you ready for the new HMDA requirements. Prepare now and be ready to take a holistic view of the new HMDA regulation.
    Ready, Set, Report!
    What’s on your HMDA “to do” list? With 2018 fast approaching, U.S. Advisory Services’ Barbara Boccia provides a checklist of the critical HMDA compliance issues that financial institutions should focus on to maximize readiness.
    HMDA Road Trip: Directions and Navigation
    (Recorded October 4th, 2017) Before you continue your HMDA journey, stop and get directions for collecting and reporting a significantly greater number of data fields. The changes to the Government Monitoring Information (GMI) section of the LAR will require lenders to collect a more complicated set of data, including more sophisticated information on race and ethnicity. Lenders should act now to make technology and workflow changes in order to take year-end 2017 applications that close starting Jan. 1, 2018 and properly report them in 2019.
    Complaints Management Requires Tough Management
    (Published September 2017) Managing customer complaints requires a disciplined approach that demands structure and uniformity. In this Banking Exchange article, Wolters Kluwer U.S. Advisory Services’ Barbara Boccia provides commentary on why it’s important to avoid complacency and pay attention to complaint trends, especially those that regulators are focused on.
    Managing Customer Complaints
    (Published June 29, 2017)  In its July issue on best complaint management practices, Independent Banker Magazine extensively quotes U.S. Advisory Services’ Barbara Boccia in the article, “Managing Customer Complaints.” According to Boccia, banks that become really good at capturing all of the written and verbal complaint data available, conducting solid trend analysis and translating it into actions to improve their compliance management system and business practices reap the greatest benefits.
    HMDA at the Crossroads: Submissions & Scrubs
    (Webinar recorded on August 22, 2017) Wolters Kluwer experts will provide practical tips for preparing for the submission requirements for the new HMDA portal and new HMDA data fields, and working effectively with compliance and audit staff to monitor data integrity.
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