IAS Charlotte Seminar

Date

January 25, 2018

Location

Charlotte, NC

Hosted by

SIFMA IAS

Overview

For those involved in the securities and financial services industries, it is important to stay aware of emerging risks and career opportunities. In this SIFMA IAS event in Charlotte, you will hear about Artificial Intelligence impacts to financial services and audit, as well as opportunities in internal audit. There will be two panels beginning at 3:00 pm, followed by a Networking Reception beginning at 4:50 pm.

Program

2:45pm – 3:00pm

Registration

3:00pm – 3:50pm

Panelists will share their “career path” in Internal Audit and unique experiences.  This panel will highlight opportunities that the Internal Audit Professionals to be “continuous learners” and “skill builders” to…

Panelists will share their “career path” in Internal Audit and unique experiences.  This panel will highlight opportunities that the Internal Audit Professionals to be “continuous learners” and “skill builders” to deepen their understanding of their businesses.  Additional specific topics will include:

  • Lateral moves within Internal Audit to deepen understanding of various business lines and risk management disciplines.
  • Rotational opportunities (Rotations in International Locations, Data Analytics, Artificial Intelligence build-outs, Professional Practices, and various business line and risk management audit teams).
  • Opportunities to broaden skill sets and subject matter expertise through additional certifications (e.g. Certified Internal Auditor, Certified Public Accountant, Certified Information Systems Auditor, Certified Anti Money-Laundering Specialist, and FINRA licenses, where appropriate).
  • Participation in in-house and industry training's to stay abreast of Emerging Risks, New Regulations, Hot Topics, and Technology trends.

Participants

Allison Watkins, Walt Blackwood, Chris Lucado, Geoff Rusnak

Moderator

Allison Watkins

Senior Audit Manager

Wells Fargo

Allison Watkins’s Biography

Panelists

Walt Blackwood

Senior Director of Information Technology, Internal Audit

TIAA

Walt Blackwood’s Biography

Chris Lucado

Principal, Internal Audit & Compliance Risk Services Practice

PwC

Chris Lucado’s Biography

Geoff Rusnak

Audit Director

Citigroup

Geoff Rusnak’s Biography

3:50pm – 4:00pm

Networking Break

4:00pm – 4:50pm

Panelists will share their role, in developing, using, or auditing “Artificial Intelligence (AI)” applications. Panelists will share trends in the AI industry that are being considered by financial services firms,…

Panelists will share their role, in developing, using, or auditing “Artificial Intelligence (AI)” applications. Panelists will share trends in the AI industry that are being considered by financial services firms, including degree of transformation to expect in the near-term and long-term.  Additional specific topics will include:

  • “What is Artificial Intelligence?”  “What is Robotics?”
  • How does Artificial Intelligence differ from Data Analytics?
  • Are there different types of Artificial Intelligence (e.g. predictive analytics; algorithmic functions like electronic trading; narrowly focused AI versus integrated systems)?
  • How are Fintech firms using Artificial Intelligence, and how are banks considering adopting similar relevant tools?
  • What risks are posed by Artificial Intelligence applications in the business, and what could be effective audit techniques for these risks?  Any similarities to audit techniques to assess model risk
  • How can Internal Audit functions potentially use Artificial Intelligence to assess business risks and controls?

Participants

Allison Watkins, Adam W. Boitnott, Tobi Fess, Dr. Samira Shaikh, Marc Tiegel

Moderator

Allison Watkins

Senior Audit Manager

Wells Fargo

Allison Watkins’s Biography

Panelists

Adam W. Boitnott

Chief Executive Officer

Hylaine

Adam W. Boitnott’s Biography

Tobi Fess

Portfolio Executive Director, Enterprise Risk Management

TD Bank

Tobi Fess’s Biography

Dr. Samira Shaikh

Assistant Professor for Computer Science & Psychology and Fellow, National Consortium of Data Science

University of North Carolina - Charlotte

Dr. Samira Shaikh’s Biography

Marc Tiegel

Consultant, Technology Solutions

Wells Fargo

Marc Tiegel’s Biography

4:50pm – 6:00pm

Networking Reception

Venue

PwC

214 North Tryon Street
Suite 4200
Charlotte, NC 28202

Accreditation

CPE

Recommended CPE credit hours: 2.0
Program Level: Intermediate
Prerequisites: Knowledge of Audit Industry
Advanced Prep: None
Delivery Method: Group Live
Fields of Study: 1.0 Hour CPE on Personal Development / 1.0 Hour CPE on Computer Software and Applications
*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.nasbaregistry.com.

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. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.