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!

Early bird rates available.

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

Early Bird Rates – Until 9/27/19

  • Member $1345
  • Non-Member $1595
  • 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!

Early bird rates available.

Program

5:30pm – 7:00pm

Registration Desk Hours
Welcome Reception

7:30am – 2:30pm

Registration Desk Hours

7:30am – 8:30am

Networking Breakfast

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

Keynote Speaker

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, Information Technology Audit

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

Breakout Session MA1: IT Analytics
Breakout Session MA2: Analytics
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

Moderator

Nicola Short

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

Credit Suisse

Nicola Short’s Biography

11:45am – 12:35pm

Participants

Mary Krupinski

Speaker

Mary Krupinski

Senior Vice President, Senior Audit Director

Bank of America

Mary Krupinski’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

Director of IT Audit

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, Prashant Modani

Speakers

Hania Abrous-McCarthy

Managing Director

Gladclif LLC

Hania Abrous-McCarthy’s Biography

Prashant Modani

Vice President, Corporate Audit

Broadridge Financial Solutions, Inc.

Prashant Modani’s Biography

12:40pm – 1:40pm

Regulatory Panel Luncheon

1:40pm – 2:30pm

Participants

Paul Ludlow, Kathleen Connolly, Amy Hamilton, Celia Karam, Mihal Nahari

Moderator

Paul Ludlow

Partner

Deloitte

Paul Ludlow’s Biography

Panelists

Kathleen Connolly

Chief Audit Executive

Goldman Sachs

Kathleen Connolly’s Biography

Amy Hamilton

Executive Vice President, Chief Audit Executive

LPL Financial

Amy Hamilton’s Biography

Celia Karam

Chief Audit Officer

Capital One

Celia Karam’s Biography

Mihal Nahari

Chief Audit Executive

DTCC

Mihal Nahari’s Biography

4:30pm – 5:30pm

First Timers & Future Leaders Reception

5:30pm – 7:00pm

Networking Reception

8:00am – 4:40pm

Registration Desk Hours

8:00am – 8:55am

Networking Breakfast

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

Elizabeth Derby, Patsy Doerr, Angela Harrell

Moderator

Elizabeth Derby

Global Head of Diversity & Inclusion

Avanade

Elizabeth Derby’s Biography

Panelists

Patsy Doerr

Global Head of Diversity & Inclusion

Credit Suisse

Patsy Doerr’s Biography

Angela Harrell

Head of Corporate Social Responsibility and Inclusion & Diversity

Voya Financial

Angela Harrell’s Biography

10:00am – 10:50am

Breakout Session TA1: Risk Assessment Using Analytics
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

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 interactive roundtable conversation will dive into the evolution of Risk and the intersection of risks across all three lines of defense.

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

Participants

Richard Aiello

Moderator

Richard Aiello

Vice President, Operational Risk Management

E*TRADE Financial Corporation

Richard Aiello’s Biography

10:50am – 11:10am

Networking Break

11:10am – 12:00pm

Breakout Session TB1: LIBOR
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, Douglas Wilbert

Speakers

Carl Hatfield

Managing Director

Protiviti

Carl Hatfield’s Biography

Douglas Wilbert

Managing Director

Protiviti

Douglas Wilbert’s Biography

This panel of Third Party Risk Management experts will discuss the evolving risk landscape and practices used across the financial services industry to manage third party risk. You will hear…

This panel of Third Party Risk Management experts will discuss the evolving risk landscape and practices used across the financial services industry to manage third party risk. You will hear from representatives across the 3 lines of defense about how they’re changing their management programs, audit methods, and other techniques to stay ahead of the risks posed by third parties. In addition, panelists will discuss how their reporting structure and how their “lines” have developed over the years.

Participants

John Gilbridge, Lisa Hershey, Veronica Kakuda

Panelists

John Gilbridge

Executive Director and Head of Third Party Risk Management Governance and Regulatory Engagement

JPMorgan Chase & Co.

John Gilbridge’s Biography

Lisa Hershey

Managing Director, Head of Operational Risk Management

DTCC

Lisa Hershey’s Biography

Veronica Kakuda

Internal Audit Executive Director

DTCC

Veronica Kakuda’s Biography

12:00pm – 1:00pm

Sponsored by Protiviti

Sponsored by Protiviti

1:15pm – 2:30pm

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

8:15am – 1:00pm

Registration Desk Hours

8:15am – 8:55am

Networking Breakfast

8:55am – 9:00am

Conference Chair’s Opening Remarks

9:00am – 10:00am

Participants

N. MacDonnell Ulsch, Jo Cicchetti, James Klatt, Cameron Over, Tom Patterson

Moderator

N. MacDonnell Ulsch

Chief Executive Officer

Cyber 20/20

N. MacDonnell Ulsch’s Biography

Panelists

Jo Cicchetti

Partner and Lead Counsel, Insurance Data Privacy and Security

Drinker Biddle & Reath LLP

Jo Cicchetti’s Biography

Cameron Over

Director - Cyber & Privacy Expert

CrossCountry Consulting

Cameron Over’s Biography

Tom Patterson

Chief Trust Officer

Unisys

Tom Patterson’s Biography

10:10am – 11:00am

Breakout Session WA1: Senior Investors
Breakout Session WA2: GRC
Breakout Session WA3: Data Privacy

11:00am – 11:20am

Networking Break

11:20am – 12:10pm

Participants

Anthony M. Palma

Speaker

Anthony M. Palma

Vice President, Internal Audit

Citigroup

Anthony M. Palma’s Biography

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 Ercolino, Christine M. Lombardo, Esq., Ross Marrazzo

Speakers

Gino Ercolino

Director

Treliant

Gino Ercolino’s Biography

Ross Marrazzo

Managing Director

Treliant

Ross Marrazzo’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 to Include:

  • 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.

12:20pm – 1:10pm

Audit Roundtable
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 Thursday, October 3, 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 CPE Credits pending CPE credit approval

For more information, contact Lizzie Grimm.

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.