Joint IAS & IIA Educational Session

Have Your Audit Team Finish Strong for 2018

Date

September 18, 2018

Location

New York, NY

Hosted by

SIFMA IAS

Overview

During 2018, prevalent and emerging risks created significant impact across financial services. Some of the key emerging risks include: industry-wide cyber attacks, retrospective exposures, data privacy, audit coverage risk and financial anomalies. As a result, financial organizations need to navigate these related and challenging risks associated with these emerging areas in order to finish strong for 2018. Session attendees will learn and enrich their understanding in these fields based on the presentations and discussions.

Participants will Learn:

  • Audit Report Writing Skills
  • AML / OFAC Hot Topics
  • Cybersecurity
  • IA Transformation
  • Net Capital Rule
  • Revenue Recognition
  • Accounting Practices
  • SEC Cyber Guidelines
  • GDPR Post-Implementation Lessons Learned

Pricing

Member
Registration Rates $195
Non Member
Registration Rates $295
Pricing
Member Non Member
Registration Rates $195 $295

Program

8:30am – 6:00pm

Registration Desk Hours

8:30am – 8:50am

Continental Breakfast

8:50am – 10:30am

Writing an audit report that is clearly written, easily understood and motivates the reader to take action is a skill that is acquired by learning simple writing techniques. This course…

Writing an audit report that is clearly written, easily understood and motivates the reader to take action is a skill that is acquired by learning simple writing techniques.

This course will demonstrate how to develop a strategy for preparing a persuasive audit report with a logical flow of ideas and is written once with a minimum of edits.

Participants will:

  • Acquire the expertise for drafting a clear and concise message
  • Learn writing methods that convey a message to a wide audience
  • Review examples of sentence and paragraph content to understand and identify writing weaknesses

Participants

Anthony M. Palma

Speaker

Anthony M. Palma

Vice President, Internal Audit

Citigroup

Anthony M. Palma’s Biography

10:30am – 11:20am

FASB and SEC have been issuing several updates.  Also, there are new updates that are just coming into effect now.  This session will cover new matters that impact financial services…

FASB and SEC have been issuing several updates.  Also, there are new updates that are just coming into effect now.  This session will cover new matters that impact financial services industry.

Participants

David Grumer

Speaker

11:20am – 11:30am

Networking Break

11:30am – 12:20pm

Panelist will discuss the IA transformation process, provide insightful lessons learned to date and share their unique perspectives and key insights into the future transformation of IA.

Panelist will discuss the IA transformation process, provide insightful lessons learned to date and share their unique perspectives and key insights into the future transformation of IA.

Participants

Rick Magliozzi, Heather Haboush, Paul Jensen, Chad Levant

Moderator

Rick Magliozzi

Managing Director

Protiviti

Rick Magliozzi’s Biography

Panelists

Heather Haboush

Chief Operating Officer

Citi

Heather Haboush’s Biography

Paul Jensen

Internal Audit Chief Administrative Officer and Head of Audit Practices

JPMorgan Chase & Co.

President, Internal Auditors Society

Paul Jensen’s Biography

Chad Levant

Co-Head of Americas Technology Audit and Global Director of Audit

Goldman, Sachs & Co.

Chad Levant’s Biography

12:20pm – 1:10pm

Networking Lunch

1:10pm – 2:00pm

Regulators expect that management will conduct a post-mortem and lessons learned analysis when an adverse event occurs at an institution (e.g., fraud, significant loss). In these situations, internal audit should…

Regulators expect that management will conduct a post-mortem and lessons learned analysis when an adverse event occurs at an institution (e.g., fraud, significant loss). In these situations, internal audit should ensure that such a review takes place and appropriate action is taken to remediate identified issues. In certain situations, the Internal Audit Function should also conduct its own post-mortem and lessons learned analysis to identify improvements needed in internal audit processes.

This session will highlight regulatory expectations and discuss examples of adverse events that have occurred in the industry and post-mortem and lessons learned analyses that have been conducted.

Participants

Erin Nunes, Tim Ryan

Speakers

Erin Nunes

Director

KPMG LLP

Erin Nunes’s Biography

Tim Ryan

Managing Director of Adherence (Assurance)

FS-ISAC Sheltered Harbor

Tim Ryan’s Biography

2:00pm – 3:00pm

Auditors continue to face pressure from regulators to conduct comprehensive risk- based audits, while the First and Second Lines of Defense are looking for relief from constant oversight and testing.…

Auditors continue to face pressure from regulators to conduct comprehensive risk- based audits, while the First and Second Lines of Defense are looking for relief from constant oversight and testing.  We will explore today’s hot topics surrounding everything from risk assessments to monitoring and screening processes, along with observations from enforcement activity, all with an eye towards how auditors may be both effective and efficient in satisfying regulators and stakeholders.

Participants

Kevin Grimes, Elizabeth Kay, Ross Marrazzo, Kenneth Will

Speakers

Kevin Grimes

Manager

Treliant

Kevin Grimes’s Biography

Elizabeth Kay

Director

Treliant

Elizabeth Kay’s Biography

Ross Marrazzo

Managing Director

Treliant

Ross Marrazzo’s Biography

Kenneth Will

Director

Treliant

Kenneth Will’s Biography

3:00pm – 3:10pm

Networking Break

3:10pm – 4:00pm

This presentation will cover disrupters and hot topics in Cybersecurity and Privacy such as: Board Reporting Hacktivists Cybersecurity Business Risk Security Maturity GDPR Third Party Risk Management Incident Response Phishing…

This presentation will cover disrupters and hot topics in Cybersecurity and Privacy such as:

  • Board Reporting
  • Hacktivists
  • Cybersecurity Business Risk
  • Security Maturity
  • GDPR
  • Third Party Risk Management
  • Incident Response
  • Phishing
  • Regulatory Expectations

Participants

Gabrielle Bass, Michael Corcione, Michael Fiore, Michael Paliseno

Moderator

Gabrielle Bass

Sales and Marketing

Accume Partners

Gabrielle Bass’s Biography

Panelists

Michael Corcione

Managing Director

Accume Partners

Michael Corcione’s Biography

Michael Fiore

Senior Director, National IT Audit Practice Leader

Accume Partners

Michael Fiore’s Biography

Michael Paliseno

Director of IT Audit

Guggenheim Partners

Michael Paliseno’s Biography

4:00pm – 4:50pm

The European Union General Data Protection Regulation (GDPR) was enforced on May 25, 2018. Large number of organizations spent significant time and efforts preparing to comply with it. We will…

The European Union General Data Protection Regulation (GDPR) was enforced on May 25, 2018. Large number of organizations spent significant time and efforts preparing to comply with it. We will present what the post May 25th landscape looks like and what are the key challenges that many companies are still addressing.

Participants

Nitin Pandey

Speaker

Nitin Pandey

Senior Manager

Deloitte

Nitin Pandey’s Biography

4:50pm – 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)

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.

Substitutions
Conference registration substitutions are welcome. Email Lizzie Grimm at [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.

Accreditation

CPE

Eligible for up to 8.2 CPE Credits

Fields of Study:
2 credits Auditing – Technical
1 credit Accounting – Technical
4.2 credits Finance – Technical
1 credit Information Technology – Technical

Program Level: Intermediate
Delivery Method: Group Live
Advance Preparation: None

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.