Overview

Join the Internal Auditors Society for their second full Education Day in New York, NY.

Internal Auditors Society Education Day

Date

December 10, 2019

Location

New York, NY

Hosted by

SIFMA IAS

  • SIFMA Member
  • Non-Member

Overview

Join the Internal Auditors Society for their second full Education Day in New York, NY.

Program

8:30am – 6:30pm

Registration Desk Hours

8:30am – 9:00am

Networking Breakfast

9:00am – 9:50am

This session will provide an overview of Agile methodologies, including how Agile can be utilized by Internal Audit Departments. Participants will gain an understand general basic information about Agile methods,…

This session will provide an overview of Agile methodologies, including how Agile can be utilized by Internal Audit Departments. Participants will gain an understand general basic information about Agile methods, as well as understand how Agile methods are being utilized by Internal Audit departments.

9:50am – 11:05am

The process to develop, maintain, and sustain the Internal Audit Risk Assessment continues to mature, but also continues to mature in the age of automation and innovation. There has been…

The process to develop, maintain, and sustain the Internal Audit Risk Assessment continues to mature, but also continues to mature in the age of automation and innovation. There has been continued dialogue around the construct and composition of Internal Audit’s Risk Assessment, including controls to support the completeness of auditable entities, geographies, and the appropriateness of risk ratings. Join our panel discussion to further explore areas such as: industry and regulatory expectations, risk assessment construct and composition, use of automation and dynamic and on-going risk assessments.

11:05am – 11:20am

Networking Break

11:20am – 12:10pm

This topic will focus on the various risks associated with cyber threats and cyber risk in general.  The session will also cover the different elements of cyber risk, along with…

This topic will focus on the various risks associated with cyber threats and cyber risk in general.  The session will also cover the different elements of cyber risk, along with discussing the basic inherent risks.  Additionally, controls and mitigating factors will be covered including overall assessment practices in arriving at residual risk, which are beneficial for audit planning and risk management purposes.

12:10pm – 1:00pm

Sponsored by Accume Partners

Sponsored by Accume Partners

1:30pm – 2:15pm

Recently, third party service providers have been under additional scrutiny for data security breaches and non-compliance with relevant laws, rules, and regulations. Organizations continue to evaluate the need and use…

Recently, third party service providers have been under additional scrutiny for data security breaches and non-compliance with relevant laws, rules, and regulations. Organizations continue to evaluate the need and use of third parties, assess effectiveness of existing third party relationships, and strengthen their third party risk management programs. Join our panel discussion to further explore areas such as: third party relationship risk assessment (inclusive of criticality), use of automation and reporting, and the overall third party risk management program transformation.

2:15pm – 3:05pm

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

Shannon Urban

Speaker

Shannon Urban

Managing Director

Ernst & Young LLP

Shannon Urban’s Biography

3:05pm – 3:20pm

Networking Break

3:20pm – 4:20pm

The AML Hot Topics session will be discussed as an open fireside chat and the participants will discuss: • Financial Crime Internal Audit Programs: Utilizing data analytics to find the…

The AML Hot Topics session will be discussed as an open fireside chat and the participants will discuss:

• Financial Crime Internal Audit Programs: Utilizing data analytics to find the ‘needle in the haystack’
• Sanctions Compliance Programs: The importance of Internal Audit
• CDD rule-implementation: Regulator’s will be looking, so audit should too
• Forensics in Internal Auditing: The value of adding investigative techniques to control design assessment and control effectiveness testing
• Combining Fraud and AML programs: An evolution in fighting crime
• Data Governance and Model Validation for suspicious activity surveillance: The importance of third-line review
• Governance around new business initiatives: Is compliance engaged, are the right questions be asked re: FCC risks, and is this all being documented?

The panel will also touch on other current hot topics affecting the financial crime compliance community such as: Cybersecurity, Gaming and Terrorism.

4:20pm – 5:10pm

This session will teach participants to deliver any message that is remembered, by a speaker the audience will remember. We will start with the foundation of developing a clear and…

This session will teach participants to deliver any message that is remembered, by a speaker the audience will remember.

We will start with the foundation of developing a clear and effective communication style. Building on that foundation will be a segment on making convincing and appealing presentations. This culminates with an interactive discussion on creating an internal audit brand for your organization and your own professional brand.

Participants

Hania Abrous-McCarthy, Anthony M. Palma, Susan Panzer

Speakers

Hania Abrous-McCarthy

Managing Director

Gladclif LLC

Hania Abrous-McCarthy’s Biography

Susan Panzer

Director of Internal Audit

Commerzbank AG

Susan Panzer’s Biography

5:10pm – 6:00pm

Networking Reception

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accommodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)

Accreditation

Eligible for up to 8.6 CPE Credits

Fields of Study:
Audit:  8.6 Hours

Program Level: Intermediate
Delivery Method: Group Live
Advance Preparation: None
Complaint/Cancellation Policies: For more information regarding refund, complaint, and/or program cancellation policies, please contact SIFMA at [email protected].

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.

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.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

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.