Internal Auditors Society Annual Conference

The Evolving Role of Internal Audit in a Rapidly Changing Environment

Date

November 05 - November 08, 2017

Location

Fort Lauderdale, FL

Hosted by

SIFMA IAS

Overview

The SIFMA Internal Auditors Society (IAS) Annual Conference will examine how Securities Industry leaders in Internal Audit, Risk Management and Compliance are responding to constant change and uncertainty on a global level. The 2017 program will address how our professions are evolving and will focus on topics such as regulatory expectations, cybersecurity and IT Audit, and compliance as well as future leaders and developing diversity in our field.

Conference attendees will be eligible to receive 14.5 CPE credits.

Program

6:30pm – 8:00pm

Registration Desk Hours
Welcome Reception

8:00am – 9:00am

Sponsored by Michael Page

Sponsored by Michael Page

9:00am – 9:05am

Participants

Dan Ravetier

Speaker

Dan Ravetier

Managing Director, Head of Internal Audit

Daiwa Capital Markets

Dan Ravetier’s Biography

9:05am – 9:10am

Participants

Stacey Mendoza

Speaker

Stacey Mendoza

National Sales Director, Financial Services Industry

Experis Finance

Stacey Mendoza’s Biography

9:10am – 10:00am

Participants

Shane Battier

Speaker

Shane Battier

Retired Player / Director of Basketball Analytics and Development

Miami Heat

Shane Battier’s Biography

10:00am – 10:50am

This panel of Future Leaders from top Financial Services Firms will discuss, among other topics, a millennial perspective on the industry; talent development; recruitment; and culture. The attendees will receive…

This panel of Future Leaders from top Financial Services Firms will discuss, among other topics, a millennial perspective on the industry; talent development; recruitment; and culture. The attendees will receive insight into millennial perspectives in order to more effectively retain talent and prepare their organization for the future.

Participants

Paul Jensen, Maya Barrow, Madelaine DeLuca, Bayzid Omam

Moderator

Paul Jensen

Internal Audit Chief Administrative Officer and Head of Audit Practices

JPMorgan Chase & Co.

Paul Jensen’s Biography

Panelists

Maya Barrow

Internal Audit Senior Manager

Morgan Stanley

Maya Barrow’s Biography

Madelaine DeLuca

Manager

PwC

Madelaine DeLuca’s Biography

10:50am – 11:10am

11:10am – 12:00pm

This session will be a panel discussion where leaders in internal audit and risk at financial institutions will share their personal stories and experiences as well as address questions from…

This session will be a panel discussion where leaders in internal audit and risk at financial institutions will share their personal stories and experiences as well as address questions from the audience. The panel will touch upon topics such as owning the right to your opinion, finding your champion, special skills that make the job work for you and how to find a good work/life.

Participants

Stacey Mendoza, Suzanne Cosper, Erin Dunlap, Lisa Hershey

Moderator

Stacey Mendoza

National Sales Director, Financial Services Industry

Experis Finance

Stacey Mendoza’s Biography

Panelists

Suzanne Cosper

Senior Vice President, Chief Audit Executive

Raymond James Bank

Suzanne Cosper’s Biography

Erin Dunlap

General Auditor, Chief Financial Officer, CCAR, GRRP and Model Risk

Bank of America Merrill Lynch

Erin Dunlap’s Biography

Lisa Hershey

Managing Director, Head of Operational Risk Management

DTCC

Lisa Hershey’s Biography

This session will discuss themes and areas of focus from the recent regulatory examinations conducted by the various supervisors within the financial services industry. The discussion will focus on regulatory…

This session will discuss themes and areas of focus from the recent regulatory examinations conducted by the various supervisors within the financial services industry. The discussion will focus on regulatory feedback provided to internal audit, as well as LOB feedback, and will provide participants with insight on lessons learned and potential pitfalls. Participants will also learn about best practices in examination management.

Participants

Paul Jensen, Brian Portman

Speakers

Paul Jensen

Internal Audit Chief Administrative Officer and Head of Audit Practices

JPMorgan Chase & Co.

Paul Jensen’s Biography

Brian Portman

Principal

EY

Brian Portman’s Biography

12:05pm – 12:55pm

This AML presentation will discuss current and important topics prominent within AML and Financial Crimes. Topics will include coverage in areas such as emerging risks, compliance issues, surveillance challenges and…

This AML presentation will discuss current and important topics prominent within AML and Financial Crimes. Topics will include coverage in areas such as emerging risks, compliance issues, surveillance challenges and the changing regulatory landscape. Additionally, practical approaches and suggestions for sound audit coverage will also be included.

Participants

Michael Rufino

Speaker

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

1:00pm – 2:15pm

Sponsored by KPMG LLP

Sponsored by KPMG LLP

2:15pm – 3:05pm

This session, RCSA – Bringing Risk and Internal Audit, together will provide participating Risk and Internal Audit professionals a cross discipline look at the challenges faced when evaluating risk with…

This session, RCSA – Bringing Risk and Internal Audit, together will provide participating Risk and Internal Audit professionals a cross discipline look at the challenges faced when evaluating risk with 1st line business partners and how to ensure that the 1st line still takes ownership of those risks. In particular, participants would learn from Risk and Internal Audit panelists on the various approaches to assisting 1st line management in completing the RCSA, identifying opportunities to leverage the work done by each control function relating to the testing the controls in the RCSA and how to use the RCSA as part of an ERM solution.

Participants

Peter M. Brady, Richard Aiello, Lydia Miceli, Nicola Short, Patrick Simonnet

Moderator

Peter M. Brady

Principal

RSM US LLP

Peter M. Brady’s Biography

Panelists

Richard Aiello

Vice President, Operational Risk Management

E*TRADE Financial Corp.

Richard Aiello’s Biography

Lydia Miceli

Director, Internal Audit

E*TRADE Financial Corp.

Lydia Miceli’s Biography

Nicola Short

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

Credit Suisse

Nicola Short’s Biography

Patrick Simonnet

Global Head of Audit for Market Behavior & Conduct

Credit Suisse

Patrick Simonnet’s Biography

This session discusses IA’s role in preparing for and designing a program for independently assessing compliance with MiFID II requirements. In particular, participants will learn from Internal Audit panelists on…

This session discusses IA’s role in preparing for and designing a program for independently assessing compliance with MiFID II requirements. In particular, participants will learn from Internal Audit panelists on preparing for and reporting on regulatory change by participating (as observer) in firm committees and working groups and assessing the completeness and accuracy of a firm’s traceability matrix for documenting rule interpretation, design and implementation of policies and procedures, and the role of first, second and third lines of defense in testing the effectiveness of controls.

Participants

Jaren Mull

Speaker

Jaren Mull

Vice President, Internal Audit Securities Regulatory Team

Goldman, Sachs & Co.

Jaren Mull’s Biography

3:05pm – 3:25pm

Sponsored by Grant Thornton LLP

Sponsored by Grant Thornton LLP

3:25pm – 4:15pm

As the regulatory landscape changes under the new administration and compliance programs become more mature within financial institutions, internal audit will need to be as vigilant as ever to assess…

As the regulatory landscape changes under the new administration and compliance programs become more mature within financial institutions, internal audit will need to be as vigilant as ever to assess whether the organization is able keep pace with the speed of change in the regulatory environment. Careful attention will need to be applied to ensure that the control environment is maintained as the pendulum swings to a more firm friendly regulatory environment. In this panel, we will hear from established leaders from the SEC, FINRA, and the FED on their expectations for internal audit in this rapidly changing environment and what they view as the emerging risks for financial institutions that internal audit should focus on over the coming year.

Participants

Daniel T. McIsaac, Carlo V. di Florio, John C. Mattimore, Sheila McKinney

Moderator

Daniel T. McIsaac

Director, Advisory Practice

KPMG LLP

Daniel T. McIsaac’s Biography

Panelists

Carlo V. di Florio

Chief Risk Officer & Head of Strategy

FINRA

Carlo V. di Florio’s Biography

Sheila McKinney

Supervising Examiner, Operational Risk Division

Federal Reserve Bank of New York

Sheila McKinney’s Biography

5:30pm – 7:00pm

Sponsored by PwC

Sponsored by PwC

8:00am – 9:00am

Sponsored by Michael Page 

Sponsored by Michael Page 

9:00am – 9:05am

Participants

Bruce Goldberg

Speaker

Bruce Goldberg

Managing Director, Deloitte Risk and Financial Advisory

Deloitte & Touche LLP

Bruce Goldberg’s Biography

9:05am – 2:30pm

General Session

9:05am – 10:05am

This presentation will take you inside the actual FBI investigation of Jordan Belfort, the infamous “Wolf of Wall Street.” You’ll hear intimate details of Belfort’s rise to prominence and how…

This presentation will take you inside the actual FBI investigation of Jordan Belfort, the infamous “Wolf of Wall Street.” You’ll hear intimate details of Belfort’s rise to prominence and how the FBI subsequently brought down one of America’s most notorious boiler-room stock fraudsters.

Participants

Gregory Coleman

Speaker

Gregory Coleman

FBI Special Investigator – Wolf of Wall Street

Federal Bureau of Investigation (FBI)

Gregory Coleman’s Biography

10:05am – 11:05am

A panel of senior practitioners from across the financial services industry will share their experiences on how they have evolved risk culture assessment and reporting practices within their organizations. The…

A panel of senior practitioners from across the financial services industry will share their experiences on how they have evolved risk culture assessment and reporting practices within their organizations. The discussion will range from a focus on nature and form of risk culture assessments and data and metric deployment techniques to evidence based testing, reporting conclusions and annual risk culture opinions. This will be a lively and engaging discussion incorporating engagement with the audience throughout the panel session.

Participants

Rehana Anait, Deb Anderson, Nancy Harrington Jones, Winston Maharaj

Moderator

Rehana Anait

Managing Director, Internal Audit, Compliance & Risk Management Solutions (ICRS)

PwC

Rehana Anait’s Biography

Panelists

Deb Anderson

Executive Audit Director

Wells Fargo & Company

Deb Anderson’s Biography

Nancy Harrington Jones

Managing Director, Chief Culture & Conduct Officer, Americas

Societe Generale Corporate & Investment Banking

Nancy Harrington Jones’s Biography

Winston Maharaj

Managing Director & Deputy General Auditor

DTCC

Winston Maharaj’s Biography

11:05am – 11:25am

Networking Break

11:25am – 12:15pm

This panel will discuss those innovative techniques that internal audit functions are deploying as the expectations and requirements of their institutions and the industry evolve. Industry leaders will discuss what…

This panel will discuss those innovative techniques that internal audit functions are deploying as the expectations and requirements of their institutions and the industry evolve. Industry leaders will discuss what innovation means to them, key focus areas such as Robotics and Analytics, and how they look to continue to adapt to an ever-changing digital environment.

Participants

Phil Andriyevsky, Erika Ray, Anthony Venezia

Panelists

Phil Andriyevsky

Principal

EY

Phil Andriyevsky’s Biography

Erika Ray

Senior Vice President, Senior Audit Director, Corporate Audit Strategy and Development

Bank of America Merrill Lynch

Erika Ray’s Biography

Anthony Venezia

Chief Audit Executive

Morgan Stanley

Anthony Venezia’s Biography

12:15pm – 1:15pm

Sponsored by Protiviti Inc. 

Sponsored by Protiviti Inc. 

1:15pm – 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 Governance. This will include…

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 Governance. This will include updates of its impact on the Internal Audit Function and the three Lines of Defense. It will further highlight the role Internal Audit can be expected to play in response to emerging economic, geopolitical and technological risks. The attendees will receive updates on current regulatory issues in order to more effectively approach various regulatory requirements within their organizations.

Participants

Sandy Pundmann, Daniel J. Johnson, Steven LaBarbera, Mary McNiff, Daniel Mutzig

Moderator

Sandy Pundmann

US Managing Partner, Internal Audit, Deloitte Risk & Financial Advisory

Deloitte & Touche LLP

Sandy Pundmann’s Biography

Panelists

Daniel J. Johnson

Chief Auditor, Investment Banking

Credit Suisse

Daniel J. Johnson’s Biography

Steven LaBarbera

Senior Vice President and Chief Audit Executive

Raymond James Financial, Inc.

Steven LaBarbera’s Biography

Mary McNiff

Chief Auditor

Citigroup

Mary McNiff’s Biography

Daniel Mutzig

Managing Director and Chief Audit Executive

The Carlyle Group

Daniel Mutzig’s Biography

2:30pm – 3:20pm

This session discusses IA’s role in independently assessing the design and execution of key controls related to regulatory compliance oversight, including monitoring trends and changes in regulations, developing and implementing…

This session discusses IA’s role in independently assessing the design and execution of key controls related to regulatory compliance oversight, including monitoring trends and changes in regulations, developing and implementing policies and procedures and advising the firm’s businesses to ensure adherence to laws, rules and regulatory requirements. In particular, participants will learn from Internal Audit panelists on the various approaches to demonstrating effective challenge over the compliance function as a second line of defense and documenting and testing the control framework that identifies, monitors, controls and advises on compliance risk within the firm.

Participants

Stacey A. Guardino, Erwin Shilling

Speakers

Stacey A. Guardino

Partner, Advisory - Risk Assurance

KPMG LLP

Stacey A. Guardino’s Biography

Erwin Shilling

Director of Audit for Securities

Goldman, Sachs & Co.

Erwin Shilling’s Biography

The audit executive in the financial services realm have many challenges as well as opportunities that shape the new risk landscape. Today’s discussion with distinguished financial services audit leaders will…

The audit executive in the financial services realm have many challenges as well as opportunities that shape the new risk landscape. Today’s discussion with distinguished financial services audit leaders will focus on their insights and strategic audit views of trends, risk and challenges they are seeing in the financial services industry. In this session, participants will enjoy an engaging session from global experts in financial services auditing, explore worldwide competitive and regulatory trends, and learn about emerging audit trends and emerging risks.

Participants

Rick Magliozzi, Hania Abrous-McCarthy, Adam Losner, Jack McNamara

Moderator

Rick Magliozzi

Managing Director

Protiviti

Rick Magliozzi’s Biography

Panelists

Hania Abrous-McCarthy

Chief Audit Executive, Global Head of Internal Audit

American Stock Transfer & Trust Company, LLC

Hania Abrous-McCarthy’s Biography

Adam Losner

Vice President, Corporate Audit and Chief Audit Executive

Broadridge Financial Solutions Inc.

Adam Losner’s Biography

Jack McNamara

Managing Director, Audit

BNY Mellon

Jack McNamara’s Biography

3:20pm – 3:50pm

3:50pm – 4:40pm

This session will focus on topics that can generate anxiety when they appear on an audit plan or on a discussion agenda. Internal Audit departments serve many stakeholders, including senior…

This session will focus on topics that can generate anxiety when they appear on an audit plan or on a discussion agenda. Internal Audit departments serve many stakeholders, including senior management and regulators, and each constituent carries views around IA’s practices. This session will cover several such topics including: participation on firm committee’s and whether IA is too close to the decisions or has the right skill sets for effective challenge; Audit issues questioning a supervisor’s skills or whether an area has an appropriate level of resources; and whether compensation and promotion practices can impact Audit independence.

Participants

Erwin Shilling, Jim Spangler

Speakers

Erwin Shilling

Director of Audit for Securities

Goldman, Sachs & Co.

Erwin Shilling’s Biography

Jim Spangler

Managing Director, Deputy General Auditor

DTCC

Jim Spangler’s Biography

FINRA rules 3120 and 3130 require annual testing of supervisory processes, and certification by the CEO that the supervisory system is reasonably designed and implemented. The certification is supported by…

FINRA rules 3120 and 3130 require annual testing of supervisory processes, and certification by the CEO that the supervisory system is reasonably designed and implemented. The certification is supported by annual testing of the system of supervisory controls, which are executed by the Compliance department or an outside party. The testing process offers a great opportunity for Compliance to collaborate with Internal Audit in identifying risks across the firm, reducing duplication of testing and assisting IA in streamlining and focusing upcoming audit programs. This session will provide a risk based approach towards executing the certification program and enhancing coordination between second and third lines of defense.

Participants

Steven P. Goldberg, Andrew Surgan

Speakers

6:30pm – 9:00pm

Sponsored by Deloitte & Touche LLP

Sponsored by Deloitte & Touche LLP

8:15am – 8:55am

Continental Breakfast

8:55am – 11:00am

General Session

8:55am – 9:00am

Participants

Maya Barrow

Speaker

Maya Barrow

Internal Audit Senior Manager

Morgan Stanley

Maya Barrow’s Biography

9:00am – 10:00am

An Enterprise Wide View including Third Party Oversight and IT/Cybersecurity implications.

An Enterprise Wide View including Third Party Oversight and IT/Cybersecurity implications.

Participants

Lisa E. Peternel

Speaker

Lisa E. Peternel

Senior Vice President, Head of Operational Risk

E*Trade Financial

Lisa E. Peternel’s Biography

10:00am – 11:00am

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, Ryan Crum, James P. O’Shea, Steven Silberstein, Keith Wojcieszek

Moderator

N. MacDonnell Ulsch

Managing Member

MacDonnell Ulsch Cyber Advisory LLC

N. MacDonnell Ulsch’s Biography

Panelists

Ryan Crum

Chief Information Security Officer

Apollo Global Management LLC

Ryan Crum’s Biography

James P. O’Shea

Head of Reengineering, Global Security Engineering

RBC Capital Markets, LLC

James P. O’Shea’s Biography

Steven Silberstein

Chief Executive Officer

Sheltered Harbor LLC

Steven Silberstein’s Biography

Keith Wojcieszek

Managing Director, Cyber Security and Investigations, North America

Kroll Inc.

Keith Wojcieszek’s Biography

11:10am – 12:00pm

The IT Audit Roundtable breakout session will focus on the future role of IT Audit as new risks emerge from changing technology, internet growth and social media popularity. The session…

The IT Audit Roundtable breakout session will focus on the future role of IT Audit as new risks emerge from changing technology, internet growth and social media popularity. The session will discuss and recommend pragmatic approaches to managing these risks. Factors to be considered will include the anticipated and increasing levels of scrutiny from internal stakeholders, senior management 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 IT Auditors.

Participants

Steven Jacovetti, Kevin Li, Tim Ryan

Speakers

Steven Jacovetti

Executive Director, Head of IT Audit

DTCC

Steven Jacovetti’s Biography

Kevin Li

Director, Internal Audit Manager

Guggenheim Partners, LLC

Kevin Li’s Biography

Tim Ryan

Vice President of Adherence

Sheltered Harbor LLC

Tim Ryan’s Biography

This roundtable discussion will focus on hot topics faced by Chief Audit Executives (“CAE’s”) and their departments. Topics to be covered include: The use of analytics; integrated auditing; the relationship…

This roundtable discussion will focus on hot topics faced by Chief Audit Executives (“CAE’s”) and their departments. Topics to be covered include: The use of analytics; integrated auditing; the relationship with other control functions; managing regulatory expectations; and, staff development. This will be an interactive session led by CAE’s from leading Financial Services Industry Firms with the participants encouraged to submit additional topics for discussion and to provide their perspective on the topics discussed.

Participants

Daniel J. Johnson, Dan Ravetier

Speakers

Daniel J. Johnson

Chief Auditor, Investment Banking

Credit Suisse

Daniel J. Johnson’s Biography

Dan Ravetier

Managing Director, Head of Internal Audit

Daiwa Capital Markets

Dan Ravetier’s Biography

This session will be an interactive roundtable discussion focused on hot topics private equity firms are facing in the industry today. Private equity firms and their portfolio companies are confronted…

This session will be an interactive roundtable discussion focused on hot topics private equity firms are facing in the industry today. Private equity firms and their portfolio companies are confronted with increasing risks requiring audit, control, and risk functions to respond to this changing landscape. This session will be interactive and will focus on key risks faced by private equity firms such as valuation, vendor management, technology/cybersecurity, regulatory and compliance, and operational complexities, and other areas of focus that may be of interest to participants of the roundtable.

Participants

Regina Piscazzi, Martin Breheny

Speakers

Regina Piscazzi

Managing Director, Internal Audit

Apollo Global Management LLC

Regina Piscazzi’s Biography

Martin Breheny

Managing Director, Internal Audit

Guggenheim Partners, LLC

Martin Breheny’s Biography

12:00pm – 12:00pm

Conference Adjourns

Venue

The Westin Fort Lauderdale Beach Resort

321 N. Fort Lauderdale Beach Blvd.
Fort Lauderdale, FL 33304

Escape to The Westin Fort Lauderdale Beach Resort and discover the “Venice of America.” Explore 300 miles of navigable waterways, relax on the soft sands of Atlantic Ocean beaches, or visit some of southeast Florida’s best attractions right nearby.

Picture of venue

Hotel Accommodations

Rates will start at $219 per night and are quoted exclusive of applicable room tax (currently 11%), applicable service/hotel-specific fees, or other miscellaneous taxes.

Please note that the group rates are good through Monday, October 20, 2017 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.

Book a Room

Media

Media Inquiries
Contact Liz Pierce at 212.313.1173.

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Monica Ilyevsky at 212.313.1263 before September 8, 2017.

Accreditation

CPE

Recommended CPE credit hours: 14.5
Program Level: Intermediate
Prerequisites: Knowledge of Audit Industry
Advanced Prep: None
Delivery Method: Group Live
Fields of Study: Audit
*CEU Institute to Provide CPE Certificates  

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.learningmarket.com.

Terms and Conditions

Policy
SIFMA reserves the right to remove, bar, or expel any attendee or guest from the conference for disruptive, disrespectful, or possibly illegal conduct, statements, or actions or for any reason which may tarnish the conference, SIFMA, or its members, in SIFMA’s sole discretion. SIFMA shall not refund any money paid for such attendee or guest to attend the conference, or for any travel expenses incurred to attend the conference.

Substitutions
Conference registration substitutions are welcome. Email Lizzie Grimm 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 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.