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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    “On Your Mark, Get Set…” Racing Through the Top Issues in HMDA Readiness
    (Published September/October 2017) In this ABA Banking Journal article, Wolters Kluwer’s U.S. Advisory Services’ Barbara Boccia outlines the critical checklist items that lenders need for compliance with the impending Home Mortgage Disclosure Act (HMDA) rules.
    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.
    HMDA Road Trip: Directions and Navigation
    (Live webinar 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.
    HMDA Final Pit Stop: Fuel Up and Be Ready for 2018
    (Live Webinar: 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.
    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.
    HMDA With 2020 Hindsight
    (Published Summer 2017)  If you could travel back in time, what advice would you give your past self to help you better prepare for HMDA in the year 2020? In this article, Regulatory Consultant Barbara Boccia offers a year-by-year guide for HMDA readiness.
    HMDA Expansion: A Year-By-Year Guide to Focus Areas, Solutions and Strategies
    (Published March/April 2017) Are you ready for HMDA? In this California Banker article, Wolters Kluwer regulatory expert Barbara Boccia provides a year-by-year guide outlining the HMDA strategies that bankers should focus on now to ready themselves for the expanded submission and data collection rules in 2018.