Overview

SIFMA’s Internal Auditors Society first annual Regulatory Conference brings together financial service professionals and industry practitioners to hear about new developments and priorities. Topics to be discussed are AML, Sanctions and Testing, Compliance Risk Assessments and a Regulatory Update panel.

IAS Regulatory Conference

Date

June 10, 2019

Location

New York, NY

Hosted by

SIFMA IAS

Overview

SIFMA’s Internal Auditors Society first annual Regulatory Conference brings together financial service professionals and industry practitioners to hear about new developments and priorities. Topics to be discussed are AML, Sanctions and Testing, Compliance Risk Assessments and a Regulatory Update panel.

Program

1:00pm – 1:55pm

Registration & Networking Lunch

1:55pm – 2:00pm

Participants

Monica Kim

Speaker

Monica Kim

Managing Director, Chief Auditor

Deutsche Bank

Monica Kim’s Biography

2:00pm – 3:00pm

An AML and Sanctions Compliance panel discussion with a focus on the Independent Testing Audit – comprised of senior industry regulators and AML Audit practitioners. Topics will include the following:…

An AML and Sanctions Compliance panel discussion with a focus on the Independent Testing Audit – comprised of senior industry regulators and AML Audit practitioners.

Topics will include the following:

  • Approach to validation of corrective actions taken by management to remediate regulatory issues and enforcement actions
  • MRA/MRIA or other regulatory comment or enforcement action
  • Heightened Expectation of IA by the regulators – (DFS 504, Sanctions Testing, etc.)
  • Use of Data Analytics in testing including identifying population and choosing samples (size and approach)
  • AML Audit Risk Assessment Methodology/Risk-Based Annual Audit Program –
    • testing everything at one point in time vs. ongoing testing throughout the covered audit period,
    • extent of controls testing vs substantive testing,
    • testing lower risk products and controls on a rotational basis,
    • continuous monitoring

Integration with global audit activities, what’s acceptable/common?

Participants

Andrea Price, Jason Foye, Beverly Jules, Maura Kugler-Vasilescu

Moderator

Andrea Price

Senior Vice President & Head of Internal Audit

Nordea Bank

Andrea Price’s Biography

Panelists

Jason Foye

Director - AML Investigative Unit

FINRA

Jason Foye’s Biography

Maura Kugler-Vasilescu

Managing Director and Head of Internal Audit for Financial Crimes, Compliance and Conduct

Morgan Stanley

Maura Kugler-Vasilescu’s Biography

3:00pm – 3:50pm

A Compliance Risk Assessment senior panel discussion comprised of Chief Compliance Officers and Compliance Audit Leaders.  Topics will include the following: Leading practices to consider when building a strong Compliance…

A Compliance Risk Assessment senior panel discussion comprised of Chief Compliance Officers and Compliance Audit Leaders.  Topics will include the following:

  • Leading practices to consider when building a strong Compliance Risk Assessment and Audit Programs
  • Strategies and tools to identify and measure top compliance risks across the organization
  • The inter-relationship between Compliance and Internal Audit for Compliance Risk Assessments

Leading practices for Internal Audit to identify risks and assess controls to prevent, detect and address regulatory concerns

Participants

Jessica Rodgers, Jan Ford, Jacqueline Joyston-Bechal, Erwin Shilling, Alexis Weissberger

Moderator

Jessica Rodgers

Partner, Internal Audit

EY

Jessica Rodgers’s Biography

Panelists

Jan Ford

Head of Compliance, Americas

Deutsche Bank

Jan Ford’s Biography

Jacqueline Joyston-Bechal

Chief Compliance Officer

BNY Mellon

Jacqueline Joyston-Bechal’s Biography

Erwin Shilling

Managing Director, Internal Audit

Goldman Sachs

Erwin Shilling’s Biography

Alexis Weissberger

Vice President, Core Compliance Group

Goldman Sachs

Alexis Weissberger’s Biography

3:50pm – 4:00pm

Networking Break

4:00pm – 5:00pm

This Regulatory Panel discussion will feature speakers from the NFA and FINRA. This Panel will discuss the current and emerging regulatory landscape facing the financial services industry. Regulators will speak…

This Regulatory Panel discussion will feature speakers from the NFA and FINRA. This Panel will discuss the current and emerging regulatory landscape facing the financial services industry. Regulators will speak to recent areas of focus as well as their 2019 and 2020 examination priorities. In addition, the Panel will share important lessons that they have garnered from recent exam findings, enforcement actions, new rules/ proposals and hot topics. Attendees will leave from the sessions equipped with knowledge to face the market’s challenges and regulatory expectations in 2019 and beyond.

Participants

Christina Patilis, Shuna Awong, Dale Spoljaric, Bill Wollman

Moderator

Christina Patilis

Partner

KPMG LLP

Christina Patilis’s Biography

Panelists

Bill Wollman

Executive Vice President, Member Supervision

FINRA

Bill Wollman’s Biography

5:00pm – 5:10pm

Participants

Jack McNamara

Speaker

Jack McNamara

Deputy Chief Auditor

BNY Mellon

Chair, Internal Auditors Society

Jack McNamara’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 3.4 CPE Credits

Fields of Study: Audit

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.