Overview

The internal audit and risk management professions have changed dramatically over the past decade, adapting and responding to increasingly complex challenges.

The 2019 Internal Audit Annual Conference, hosted by the SIFMA Internal Auditors Society (SIFMA IAS), will bring together internal audit, risk management and compliance professionals from across the financial services industry on October 27-30 in Miami to explore:

  • The Fundamentals of an Effective Internal Audit Program
  • Intelligent Automation in Audit
  • Mitigating Risk: Outsmarting Your Brain to Interrupt Bias
  • Regulation Best Interest
  • Auditing Cyber: Operational Risks
  • Chief Audit Executive Perspective
  • Risk Assessment Using Analytics
  • And more!

Register Today

Internal Audit Annual Conference

Audit and Risk 20/20: Our Vision for the Future

Date

October 27 - October 30, 2019

Location

Miami, FL

Hosted by

SIFMA IAS

Pre-Conference Rates – Until 10/26/19

  • Member $1495
  • Non-Member $1695
  • Regulator $495

Overview

The internal audit and risk management professions have changed dramatically over the past decade, adapting and responding to increasingly complex challenges.

The 2019 Internal Audit Annual Conference, hosted by the SIFMA Internal Auditors Society (SIFMA IAS), will bring together internal audit, risk management and compliance professionals from across the financial services industry on October 27-30 in Miami to explore:

  • The Fundamentals of an Effective Internal Audit Program
  • Intelligent Automation in Audit
  • Mitigating Risk: Outsmarting Your Brain to Interrupt Bias
  • Regulation Best Interest
  • Auditing Cyber: Operational Risks
  • Chief Audit Executive Perspective
  • Risk Assessment Using Analytics
  • And more!

Register Today

Program

5:30pm – 7:00pm

Registration Desk Hours
Welcome Reception

7:30am – 2:30pm

Registration Desk Hours

7:30am – 8:30am

Sponsored by Deloitte

Sponsored by Deloitte

8:30am – 2:30pm

General Session Audio Visual

8:30am – 8:35am

Participants

Jack McNamara

Speaker

Jack McNamara

Deputy Chief Auditor

BNY Mellon

Chair, Internal Auditors Society

Jack McNamara’s Biography

8:35am – 8:40am

Participants

Steven LaBarbera

Speaker

Steven LaBarbera

Senior Vice President and Chief Audit Executive

Raymond James Financial, Inc.

Steven LaBarbera’s Biography

8:40am – 9:40am

Participants

Quentin Hardy

Speaker

Quentin Hardy

Head of Editorial

Google Cloud

Quentin Hardy’s Biography

9:40am – 10:30am

Every day we hear stories in the news or from our organizations about artificial intelligence, machine learning and robotics and how these capabilities are changing existing business processes and jobs…

Every day we hear stories in the news or from our organizations about artificial intelligence, machine learning and robotics and how these capabilities are changing existing business processes and jobs – but what does this mean for internal audit? What if these were used in bold, unconventional ways that we hadn’t thought of before, digitizing Audit in a way that makes it ‘app’ like, and creating nontraditional processes and fresh audit products. This session explores current and future examples of how intelligent automation is being used, how it could potentially be used and explores some of the key factors to using these capabilities successfully.

Participants

Gemma Cook, Edward Kirkorian, Shahina Rahim, Sumukh Shah

Panelists

Gemma Cook

Executive Director, Internal Audit

JPMorgan Chase & Co.

Gemma Cook’s Biography

Edward Kirkorian

Managing Director, Audit Technology

BNY Mellon

Edward Kirkorian’s Biography

Shahina Rahim

Vice President, IT Audit and Digital Products

RBC

Shahina Rahim’s Biography

Sumukh Shah

Managing Director - General Insurance Audit

AIG

Sumukh Shah’s Biography

10:30am – 10:50am

10:50am – 11:40am

Innovating the BSA/AML Audit with Automation, AI and Analytics: See and discuss practical examples of how routine activities in the BSA / AML audit - SAR and CTR reviews, sampling,…

Innovating the BSA/AML Audit with Automation, AI and Analytics: See and discuss practical examples of how routine activities in the BSA / AML audit – SAR and CTR reviews, sampling, policy reviews and more – are transformed by innovative technology applications, leading to higher value findings and audit efficiency.

Participants

Carl Case

Speaker

Carl Case

Principal

EY

Carl Case’s Biography

In this breakout session, Nav Makol, Partner at CrossCountry Consulting and Erwin Shilling, Managing Director at Goldman Sachs, will discuss how the changing data environment is impacting Internal Audit and…

In this breakout session, Nav Makol, Partner at CrossCountry Consulting and Erwin Shilling, Managing Director at Goldman Sachs, will discuss how the changing data environment is impacting Internal Audit and how this brings new challenges including highlighting limitations in the existing audit process.

Participants

Nav Makol, Erwin Shilling

Speakers

Nav Makol

Partner - Banking Capital Markets

CrossCountry Consutling

Nav Makol’s Biography

Erwin Shilling

Managing Director, Internal Audit

Goldman Sachs

Erwin Shilling’s Biography

This panel discussion will examine the correlation between risk indicators and what is actually occurring in the business.

This panel discussion will examine the correlation between risk indicators and what is actually occurring in the business.

Participants

Nicola Short, Richard Aiello, Steve Erickson, Seth Morgan, Douglas Wilbert

Moderator

Nicola Short

Director and Head of Infrastructure, Governance and Risk Advisory, Operational Risk Management

Credit Suisse

Nicola Short’s Biography

Panelists

Richard Aiello

Vice President, Operational Risk Management

E*TRADE Financial Corporation

Richard Aiello’s Biography

Steve Erickson

SVP, Risk Management, Chief Operational Risk Officer

Raymond James & Associates

Steve Erickson’s Biography

Seth Morgan

Director, Deputy Chief Auditor US

Scotiabank

Seth Morgan’s Biography

Douglas Wilbert

Managing Director

Protiviti

Douglas Wilbert’s Biography

11:45am – 12:35pm

This fireside chat will provide attendees with an overall understanding of what Market Conduct Risk (MCR) is, and importantly, how we as an industry got to where we are.  Participants…

This fireside chat will provide attendees with an overall understanding of what Market Conduct Risk (MCR) is, and importantly, how we as an industry got to where we are.  Participants will hear from 3rd Line of Defense leaders on the key elements of an MCR Internal Audit program, various approaches to covering the risks associated with MCR, and innovative approaches to executing MCR testing.   We’ll also hear from the 2nd Line of Defense MCR program leader about the key principles of an MCR framework, its ongoing impact on the industry, and how internal audit can partner with the business to add value to the overall MCR program.

Participants

Mary Krupinski, Kenyada Meadows, Edward McLaren

Speakers

Mary Krupinski

Senior Vice President, Senior Audit Director

Bank of America

Mary Krupinski’s Biography

Kenyada Meadows

Senior Vice President, Senior Audit Manager

Bank of America

Kenyada Meadows’s Biography

Edward McLaren

Compliance and Operations Risk Executive

Bank of America Merrill Lynch

Edward McLaren’s Biography

Cybersecurity related incidents represent a growing threat to the reputation and economic stability of financial institutions across the globe. Regulators, such as the SEC are also placing the topic of…

Cybersecurity related incidents represent a growing threat to the reputation and economic stability of financial institutions across the globe. Regulators, such as the SEC are also placing the topic of cybersecurity operational risk under heightened scrutiny, with an increase in the number of cybersecurity focused examinations expected over the coming years.
In response to these challenges, many organizations have made a commitment to assess whether their cybersecurity operational risks are in alignment with regulatory expectations and leading industry practices. This session will cover how to identify and appropriately audit a business’s cybersecurity operational risks.
Specific areas will include:

  • Identification of key cybersecurity operational risks – Identify key cybersecurity threats and operational risks posed to identified sensitive data, critical business processes, and key systems.
  • Evaluation of key cybersecurity inherent risks – Categorize the key cybersecurity operational inherent risks based on impact and likelihood.
  • Mapping of cybersecurity operational risks to control areas – Understand key cybersecurity operational controls across key control domains to mitigate the inherent cybersecurity operational risks management is most concerned about.
  • Identification of current capabilities and control environment for the cybersecurity domains – Evaluate IT security domains to assess the design of current tools, capabilities, and controls.
  • Evaluation of key cybersecurity design risks – Categorize the key cybersecurity business risks and assess the impact to the organization and likelihood of experiencing an event based on the evaluation of the design of current tools, capabilities, and controls.
  • Auditing those key risks defined.

Participants

Michael Fiore, Michael Paliseno

Speakers

Michael Fiore

Senior Director, National IT Audit Practice Leader

Accume Partners

Michael Fiore’s Biography

Michael Paliseno

Managing Director, Head of Audit - Information Technology

Guggenheim Partners

Michael Paliseno’s Biography

An Internal Audit Department is not entirely dissimilar from any other service provider. Have you considered what you want the brand of your department to be? Is it part of…

An Internal Audit Department is not entirely dissimilar from any other service provider. Have you considered what you want the brand of your department to be? Is it part of the strategy for the department, or has it grown organically over time, without any particular direction? Without a marketing strategy that aligns with your department’s goals and objectives – how are you sure that the stakeholders are perceiving you and your work in the right light? In this session, participants will:

  • Obtain an understanding of the concept of branding as it would relate to Internal Audit functions and how to market the Internal Audit Department that the view may shift towards that of a successful partnership; and
  • Develop ideas for a marketing plan for their department.

Participants

Hania Abrous-McCarthy, Adam Losner

Speakers

Hania Abrous-McCarthy

Managing Director

Gladclif LLC

Hania Abrous-McCarthy’s Biography

Adam Losner

Vice President, Corporate Audit and Chief Audit Executive

Broadridge Financial Solutions Inc.

Adam Losner’s Biography

12:40pm – 1:40pm

Sponsored by KPMG LLP

Sponsored by KPMG LLP

Participants

Maddie Dwyer, Edward Fulloon

Moderator

Maddie Dwyer

Business Development Manager

Experis Finance

Maddie Dwyer’s Biography

Speaker

Edward Fulloon

Supervising Examiner, Deputy Team Leader, National Audit Team

Federal Reserve Bank of New York

Edward Fulloon’s Biography

1:40pm – 2:30pm

This panel of Chief Audit Executives (CAE’s) from leading Financial Services Industry Firms will discuss, among other things, the current practices in addressing the topic of managing risk in a…

This panel of Chief Audit Executives (CAE’s) from leading Financial Services Industry Firms will discuss, among other things, the current practices in addressing the topic of managing risk in a disruptive environment. This will include updates of its impact on the Internal Audit Function and the role Internal Audit can be expected to play in response to emerging economic and technological risks.

Participants

Paul E. Lindow, Kathleen Connolly, Amy Hamilton, Celia Edwards Karam, Mihal Nahari

Moderator

Paul E. Lindow

Partner, Risk and Financial Advisory

Deloitte

Paul E. Lindow’s Biography

Panelists

Kathleen Connolly

Global Director of Internal Audit

Goldman Sachs

Kathleen Connolly’s Biography

Amy Hamilton

Executive Vice President, Chief Audit Executive

LPL Financial

Amy Hamilton’s Biography

Celia Edwards Karam

Chief Audit Officer

Capital One

Celia Edwards Karam’s Biography

Mihal Nahari

Chief Audit Executive

DTCC

Mihal Nahari’s Biography

5:30pm – 7:00pm

Networking Reception

8:00am – 4:40pm

Registration Desk Hours

8:00am – 8:55am

Sponsored by MetricStream

Sponsored by MetricStream

8:55am – 4:40pm

General Session Audio Visual

8:55am – 9:00am

Participants

Bruce Goldberg

Speaker

Bruce Goldberg

Managing Director, Deloitte Risk and Financial Advisory

Deloitte

2018 Annual Conference Chair

Bruce Goldberg’s Biography

9:00am – 9:50am

If you have a brain you have bias. Unconscious bias in the workplace exists everywhere and presents a risk to decision-making, financial operations, governance, people processes and even client relationships.…

If you have a brain you have bias. Unconscious bias in the workplace exists everywhere and presents a risk to decision-making, financial operations, governance, people processes and even client relationships. This lively panel of experts in their field will discuss these implications and what can be done to intentionally interrupt bias. You’ll walk away with insights regarding how you can address unconscious bias at the individual level and how internal audit can use this knowledge to mitigate risk and influence their organizations in a positive way.

Participants

Stacey Mendoza, Elizabeth Derby, Patsy Doerr, Angela D. Harrell

Moderator

Stacey Mendoza

Vice President, Global Client Services

RGP

Stacey Mendoza’s Biography

Panelists

Elizabeth Derby

Global Head of Diversity & Inclusion

Avanade

Elizabeth Derby’s Biography

Patsy Doerr

Global Head Diversity & Inclusion

Credit Suisse

Patsy Doerr’s Biography

Angela D. Harrell

Senior Vice President Chief Diversity & Corporate Responsibility Officer

Voya Financial

Angela D. Harrell’s Biography

10:00am – 10:50am

In this breakout session, Pat Conroy, Managing Director at ACA Technology and Erwin Shilling, Managing Director at Goldman Sachs, will discuss how leveraging quantitative and qualitative data can drive a…

In this breakout session, Pat Conroy, Managing Director at ACA Technology and Erwin Shilling, Managing Director at Goldman Sachs, will discuss how leveraging quantitative and qualitative data can drive a more effective risk assessment process.

Participants

Patrick Conroy, Erwin Shilling

Speakers

Patrick Conroy

Managing Director

ACA Compliance

Patrick Conroy’s Biography

Erwin Shilling

Managing Director, Internal Audit

Goldman Sachs

Erwin Shilling’s Biography

This session will explore the impact of technology innovation on the IT Audit function and Risk Assessment process. Leading technologies such as CyberSecurity, Blockchain, Robotic Process Automation and Artificial Intelligence/Machine…

This session will explore the impact of technology innovation on the IT Audit function and Risk Assessment process. Leading technologies such as CyberSecurity, Blockchain, Robotic Process Automation and Artificial Intelligence/Machine Learning will profoundly impact the way audit departments consider risks in the Internal Audit Department of the Future. The world of high-volume transactions and complex technological interactions will force us to rethink how we approach assurance. The goal posts are continuously moving. Join us to keep a sharp eye on the future at this point-in-time as checklist auditing are waning.

Participants

Kristofer Lindstrom, A. Michael Smith

Speakers

Kristofer Lindstrom

Senior Audit Director of Technology Audit

BNY Mellon

Kristofer Lindstrom’s Biography

A. Michael Smith

Partner, US Internal Technology Audit Services Leader for Financial Services

PwC

A. Michael Smith’s Biography

This roundtable discussion will dive into the evolution of Risk and the intersection of risks across all three lines of defense

This roundtable discussion will dive into the evolution of Risk and the intersection of risks across all three lines of defense

Participants

Richard Aiello, Kevin Bertscha, Nicola Short

Moderator

Richard Aiello

Vice President, Operational Risk Management

E*TRADE Financial Corporation

Richard Aiello’s Biography

Panelists

Kevin Bertscha

Managing Director

BNY Mellon

Kevin Bertscha’s Biography

Nicola Short

Director and Head of Infrastructure, Governance and Risk Advisory, Operational Risk Management

Credit Suisse

Nicola Short’s Biography

10:50am – 11:10am

Networking Break

11:10am – 12:00pm

The end of 2021 is fast approaching - and marks when the London Interbank Offered Rate (LIBOR) may cease to exist. Now is the time to assess whether your organization…

The end of 2021 is fast approaching – and marks when the London Interbank Offered Rate (LIBOR) may cease to exist. Now is the time to assess whether your organization will be ready for this seismic shift. With many pressing internal and external challenges and evolving timelines, firms are struggling to prioritize this transition. The breadth of LIBOR’s impact expands across many critical aspects of an organization. It touches on financing and transactions, clients and contracts, operations, systems, models, processes, and accounting.  In this panel session, we will explore how internal audit is planning for cover the challenges that will come with the LIBOR transition by discussing topics such as strategic planning, risk assessments, audit execution techniques and pre-implementation reviews, key stakeholder reporting, skills assessments and resource strategies, tech-enabled assessments and data challenges.

Participants

Theodore J. Scallon, Jr., Christopher J. Dias, Erwin Shilling

Moderator

Theodore J. Scallon, Jr.

Partner, Financial Services Leader - Internal Audit and Enterprise Risk Services

KPMG LLP

Theodore J. Scallon, Jr.’s Biography

Panelists

Christopher J. Dias

Principal, Risk Analytics

KPMG

Christopher J. Dias’s Biography

Erwin Shilling

Managing Director, Internal Audit

Goldman Sachs

Erwin Shilling’s Biography

In this session participants will gain understanding of operational resilience and the emerging concepts to comply with. Topics to Cover will include: Overview of resilience Pending regulation information New concepts…

In this session participants will gain understanding of operational resilience and the emerging concepts to comply with.

Topics to Cover will include:

  • Overview of resilience
  • Pending regulation information
  • New concepts to comply with:
    • Critical Business
    • Impact Tolerance
    • Economic Impact
    • What firms need to do in order to comply with regulation

Participants

Carl Hatfield, Maz Kothari, Amy Shanle, Douglas Wilbert

Speakers

Carl Hatfield

Managing Director

Protiviti

Carl Hatfield’s Biography

Maz Kothari

Managing Director

JPMorgan Chase & Co.

Maz Kothari’s Biography

Amy Shanle

Global Head of Enterprise Resiliency Strategy, Regulatory and Governance

BNY Mellon

Amy Shanle’s Biography

Douglas Wilbert

Managing Director

Protiviti

Douglas Wilbert’s Biography

The Three Lines of Defense (3LOD) is a standard for internal auditors, but after 20 years, the IIA has decided it’s to update the model to reflect changing practices in…

The Three Lines of Defense (3LOD) is a standard for internal auditors, but after 20 years, the IIA has decided it’s to update the model to reflect changing practices in governance, risk and compliance. The IIA, in collaboration with specialists in governance and risk management from around the globe (the “working group”), recently asked for input on a proposed update to the 3LOD model, weighing in on strengths, application, and effectiveness toward ensuring its continued relevance in today’s ever-changing climate. Although the refreshed model is not available for release, working group member Shannon Urban of EY will share insights coming out of the working group, thought process behind the release, and answer questions.

Participants

Lisa Hershey, Susan Goldberg, Veronica Kakuda, Kate Valleau

Moderator

Lisa Hershey

Managing Director, Head of Operational Risk Management

DTCC

Lisa Hershey’s Biography

Panelists

Veronica Kakuda

Internal Audit Executive Director

DTCC

Veronica Kakuda’s Biography

Kate Valleau

Vice President, Internal Audit

Raymond James Financial, Inc.

Kate Valleau’s Biography

12:00pm – 1:00pm

Sponsored by Protiviti

Sponsored by Protiviti

1:15pm – 2:30pm

New research reveals a tight connection between your professional network and leadership success, whether it be growing the business, gaining commitment from people for your bright ideas, or improving creativity…

New research reveals a tight connection between your professional network and leadership success, whether it be growing the business, gaining commitment from people for your bright ideas, or improving creativity and productivity.  Yet, many leaders build weak networks, inadvertently hampering their performance.  This talk shows how the scientifically proven characteristics of a powerful network can advance your leadership talent, collaborations, and influence.

Participants

Brian Uzzi

Speaker

Brian Uzzi

Professor of Leadership and Organizational Change

Kellogg School of Management

Brian Uzzi’s Biography

2:30pm – 3:20pm

In today’s dynamic business environment, with new risks rapidly emerging, it’s more challenging than ever to remain safe and sound, while driving strategic execution. In this session, speakers will introduce…

In today’s dynamic business environment, with new risks rapidly emerging, it’s more challenging than ever to remain safe and sound, while driving strategic execution. In this session, speakers will introduce the Citi Internal Audit and Compliance programs, discussing leading practices to strengthen collaboration across lines of defense to best safeguard the organization. Maximizing the collaborative efforts between these otherwise independent functions can enable businesses to optimize its resources for improved, more effective oversight.

Participants

Lynn Rohland, Gregory Johnson, Jessica Roos

Moderator

Lynn Rohland

Partner, Data Privacy and Cybersecurity Solutions

RGP

Lynn Rohland’s Biography

Panelists

Gregory Johnson

Chief Compliance Officer, Institutional Clients Group

Citi

Gregory Johnson’s Biography

Jessica Roos

Chief Auditor

Citi

Jessica Roos’s Biography

3:20pm – 3:40pm

Networking Break

3:40pm – 4:40pm

Participants

Jack McNamara, Joe Echevarria

Moderator

Jack McNamara

Deputy Chief Auditor

BNY Mellon

Chair, Internal Auditors Society

Jack McNamara’s Biography

Speaker

Joe Echevarria

Deloitte Chief Executive Officer, Retired

Deloitte

Joe Echevarria’s Biography

6:30pm – 9:00pm

Closing Night Reception & Dinner

8:15am – 1:10pm

Registration Desk Hours

8:15am – 8:55am

Networking Breakfast

8:55am – 1:10pm

General Session Audio Visual

8:55am – 9:00am

Participants

Tim Ryan

Speaker

Tim Ryan

Managing Director of Adherence (Assurance)

FS-ISAC Sheltered Harbor

Tim Ryan’s Biography

9:00am – 10:00am

This panel discussion will address emerging and viable cybersecurity threats within financial services and what is needed in addressing such threats.  Panelists will review emerging cyber threats impacting financial services,…

This panel discussion will address emerging and viable cybersecurity threats within financial services and what is needed in addressing such threats.  Panelists will review emerging cyber threats impacting financial services, recent publicized events, related control defects and lessons learned.  Additional topics considered will include legal aspects, regulatory trends, disclosure requirements and internal interactions with the board of directors and the audit committee.  Lastly, audit and risk management practices will also be included as part of the dialog.

Participants

N. MacDonnell Ulsch, Josephine Cicchetti, Jessica Orench, Cameron Over, Tom Patterson

Moderator

N. MacDonnell Ulsch

Chief Executive Officer

Cyber 20/20

N. MacDonnell Ulsch’s Biography

Panelists

Josephine Cicchetti

Partner and Lead Counsel, Insurance Data Privacy and Security

Drinker Biddle & Reath LLP

Josephine Cicchetti’s Biography

Jessica Orench

Supervisory Special Agent (SSA)

Federal Bureau of Investigation (FBI) - Miami

Jessica Orench’s Biography

Cameron Over

Chief Information Security Officer (CISO), Director of Cybersecurity & Privacy

CrossCountry Consulting

Cameron Over’s Biography

Tom Patterson

Chief Trust Officer

Unisys

Tom Patterson’s Biography

10:10am – 11:00am

In 2018, the Senior SAFE Act and FINRA Rules 4512 and 2165 (collectively, the “Senior Protection Rules”) went into effect. These Rules require financial institutions, specifically broker-dealers, to make reasonable…

In 2018, the Senior SAFE Act and FINRA Rules 4512 and 2165 (collectively, the “Senior Protection Rules”) went into effect. These Rules require financial institutions, specifically broker-dealers, to make reasonable efforts to identify a “Trusted Contact Person” (Rule 4512) to be contacted in the event of potential capacity issues or fraud. Additionally, Rule 2165 provides a safe harbor for firms to hold wires and withdrawal requests in any instance when the firm has reason to believe the client may be a victim of fraud or other criminal activity.
Since the passage of the Senior Protection Rules, firms have been building Senior and Vulnerable Investor Programs that are designed to include clear policies and procedures for employees to follow, as well as employee training. Regulators have been willing to work with firms in developing reasonable controls, but they now expect firms to have a mature program that is reasonable, auditable and repeatable. Internal Audit staff should be testing these programs for compliance with rules and regulations and to ensure they are operating in a way that will prevent customer harm.
The session will cover:
1. Senior protection rules and regulatory expectations
2. Leading practices and internal audit staff role
3. Key risks to review and tips on how to review them

Participants

Robert Lavigne

Speaker

Robert Lavigne

Managing Director, Bates Compliance

Bates Group LLC

Robert Lavigne’s Biography

Participants

Peter Bannister

Speaker

Peter Bannister

SVP for Governance, Risk & Compliance

MetricStream

Peter Bannister’s Biography

When their processes don't change but our results do – How do we bridge the gap? In this roundtable of experts, join us for an open discussion on the impact…

When their processes don’t change but our results do – How do we bridge the gap? In this roundtable of experts, join us for an open discussion on the impact of organizational culture in risk management and how you could assess, test, and monitor that culture within your company.

Discussion Topics
• Explain how to recognize the need to evaluate organizational culture within the various business units.
• Challenge the existing risk assessment process and how it can be enhanced to incorporate organizational culture.
• Develop approaches to test and monitor organizational culture.

 

Participants

Alexander Brehier, Isaac Juarez, Dr. Jonathan Sweet

Speakers

Alexander Brehier

Senior Financial Search Manager

Alexander Brehier’s Biography

Isaac Juarez

Partner

KPMG LLP

Isaac Juarez’s Biography

11:00am – 11:20am

Networking Break

11:20am – 12:10pm

This session provides an overview of techniques that will sharpen your writing skills and help organize an audit report that will inform and influence your readers.

This session provides an overview of techniques that will sharpen your writing skills and help organize an audit report that will inform and influence your readers.

Participants

Anthony M. Palma

The Reg BI breakout session will provide insight into the SEC’s recent adoption of Regulation Best Interest, including a discussion of the rule’s components, the new obligations broker-dealers must satisfy…

The Reg BI breakout session will provide insight into the SEC’s recent adoption of Regulation Best Interest, including a discussion of the rule’s components, the new obligations broker-dealers must satisfy when recommending securities transactions to retail customers and the steps firms must take to meet the implementation requirements and deadline. The session will also cover recent controversy surrounding the rule and its impact.

Participants

Gino F. Ercolino, Christine M. Lombardo, Esq.

Speakers

Gino F. Ercolino

Director

Treliant, LLC

Gino F. Ercolino’s Biography

12:20pm – 1:10pm

This roundtable discussion will focus on hot topics faced by Internal Auditors and their departments. Topics to be discussed will consider for example: managing risk in a disruptive environment; use of analytics/AI…

This roundtable discussion will focus on hot topics faced by Internal Auditors and their departments. Topics to be discussed will consider for example: managing risk in a disruptive environment; use of analytics/AI and robotics; the relationship with other control functions (second line of defense); managing regulatory expectations; and staff development. This will be an interactive session led by experienced internal auditors from leading Financial Services Industry Firms with the participants encouraged to bring additional topics with them for discussion and to provide their perspective on the topics discussed.

Participants

Martin Breheny

Speaker

Martin Breheny

Managing Director, Internal Audit

Guggenheim Partners, LLC

Martin Breheny’s Biography

The IT Audit Roundtable breakout session will focus on the current and future roles of IT Audit and IT risks emerging from changing technology, internet growth and social media popularity.…

The IT Audit Roundtable breakout session will focus on the current and future roles of IT Audit and IT risks emerging from changing technology, internet growth and social media popularity. The session will discuss and recommend pragmatic approaches to managing these emerging risks, such as cloud, development containers, distributed ledger and associated cyber threats. Factors to be considered will include the increasing levels of scrutiny from internal stakeholders, senior management, risk committees and audit committees, as well as, changing requirements from regulatory agencies. In addition, the challenges associated with identifying and developing the innovative skill sets needed by auditors and risk managers from a technology prospective.

Participants

Steven Jacovetti, Tim Ryan

Moderators

Steven Jacovetti

Executive Director, Head of IT Audit

DTCC

Steven Jacovetti’s Biography

Tim Ryan

Managing Director of Adherence (Assurance)

FS-ISAC Sheltered Harbor

Tim Ryan’s Biography

1:10pm – 1:10pm

Conference Adjourns

Venue

Eden Roc

4525 Collins Avenue
Miami, FL 33140

With easy access to Miami and Fort Lauderdale International Airports, Eden Roc Miami provides the ultimate venue for business travelers attending a conference, participating in meetings and networking.

Picture of venue

Hotel Accommodations

Rates will start at $289 per night and are quoted exclusive of applicable room tax, applicable service/hotel-specific fees, resort fees or other miscellaneous taxes.

Please note that the group rates are good through Monday, October 14, 2019 but rooms are limited and only available on a first-come, first-served basis–they may sell out early! Once the block is sold out, the hotel’s market price applies regardless of the date booking.

Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.

Accreditation

CPE

Conference participants will be eligible for 13.6 CPE credits

For more information, contact Meagan Prescott.

CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individuals courses for CPE credit. Complaints regarding registered sponsors may be substitutes to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390.

Media Registration
Contact Evan Grogan at 212.313.1134.

Policy
View SIFMA’s official press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.