Overview

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

Topics include:

  • Agile Auditing
  • Risk Assessment
  • Cybersecurity Risk Assessment
  • Internal Audit Approach to Third Party Risk Management
  • Three Lines of Defense Model Refresh, and more!

View the program.

Internal Auditors Society Education Day

Date

December 10, 2019

Location

New York, NY

Hosted by

SIFMA IAS

Registration Rates – Until 12/10/19

  • SIFMA Member $299
  • Non-Member $399

Overview

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

Topics include:

  • Agile Auditing
  • Risk Assessment
  • Cybersecurity Risk Assessment
  • Internal Audit Approach to Third Party Risk Management
  • Three Lines of Defense Model Refresh, and more!

View the program.

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.

Participants

Ryan Gentry

Speaker

Ryan Gentry

Risk and Financial Advisory Manager

Deloitte & Touche LLP

Ryan Gentry’s Biography

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.

Participants

Ursula Nigrelli, Mark Bastow, Paul Jensen, Mitch Krzyzek, Dougie Paton

Moderator

Ursula Nigrelli

Managing Director, Advisory – Risk Asurance

KPMG LLP

Ursula Nigrelli’s Biography

Panelists

Mark Bastow

Vice President, Audit, Professional Practices

TD Bank Group

Mark Bastow’s Biography

Paul Jensen

Managing Director, Internal Audit

MUFG Union Bank

Paul Jensen’s Biography

Mitch Krzyzek

Assistant Vice President, Audit Professional Practices

MetLife

Mitch Krzyzek’s Biography

Dougie Paton

Managing Director

Morgan Stanley

Dougie Paton’s Biography

11:05am – 11:20am

Networking Break

11:20am – 12:10pm

This panel will focus on the various risks and regulation associated with cybersecurity and cyber risk in general. The session will also cover the different internal control processes and audit…

This panel will focus on the various risks and regulation associated with cybersecurity and cyber risk in general. The session will also cover the different internal control processes and audit apprach in reaction to the inherent risks associated with cyber. 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.

Participants

Michael Paliseno, Louis Bruno, Tyler Dearing, Farid Abdelkader

Moderator

Michael Paliseno

Managing Director, Head of Audit - Information Technology

Guggenheim Partners

Michael Paliseno’s Biography

Panelists

Louis Bruno

Principal, Compliance & Regulatory Services

EisnerAmper LLP

Louis Bruno’s Biography

Tyler Dearing

Head of Technology Risk Center of Excellence

MUFG Union Bank

Tyler Dearing’s Biography

Farid Abdelkader

Director of Technology Risk / IT Audit & Security

Protiviti

Farid Abdelkader’s Biography

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.

Participants

Greg Matthews, Steve Friefeld, Kristofer Lindstrom, Surita Pines

Moderator

Greg Matthews

Advisory Partner

KPMG LLP

Greg Matthews’s Biography

Speakers

Steve Friefeld

Head of Audit, Third Party Risk

Credit Suisse

Steve Friefeld’s Biography

Kristofer Lindstrom

Senior Audit Director

BNY Mellon

Kristofer Lindstrom’s Biography

Surita Pines

Executive Director

JPMorgan Chase & Co.

Surita Pines’s Biography

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

Nancy Brady Boyle, Shannon Urban

Moderator

Speaker

Shannon Urban

Managing Director, Risk Advisory Services

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.

Participants

Brent P. Cohen, Gino F. Ercolino, Ron E. Ziegler

Speakers

Brent P. Cohen

Executive Director and Americas Financial Crimes Counsel

UBS

Brent P. Cohen’s Biography

Gino F. Ercolino

Director

Treliant, LLC

Gino F. Ercolino’s Biography

Ron E. Ziegler

Engagement Director

Treliant, LLC

Ron E. Ziegler’s Biography

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

Head of Internal Audit Americas

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 Conferences.

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. View our Code of Conduct and anonymous incident report form.

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 SIFMA Conferences 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.