2020 RMA Annual Risk Management Virtual Conference: Full Schedule

2:00pm EST

Chief Audit Executive Session

This panel of Chief Audit Executives from leading Financial Services Industry Firms will discuss, among other things, the current practices in addressing the topics of innovation, talent management, diversity and inclusion initiatives and how audit plans, techniques and methodologies have adapted to accommodate the current environment.

Speakers

Paul Lindow

Partner, Deloitte & Touche LLP

Paul has over 35 years of professional experience in the financial services, regulatory compliance, internal audit and risk management fields, serving both audit and relationship clients in the financial services industry (FSI). Paul started his career with Deloitte and provided external... Read More →

TJ Haynes

Chief Audit Executive, Raymond James

T.J. Haynes-Morgan is the Chief Audit Executive for Raymond James Financial, Inc. In this role since January 2020, TJ is responsible for the Internal Audit department and the independent assessment of governance, risk management and various controls across the firm. With... Read More →

Michael Van Treese

Executive Vice President and Chief Auditor, Huntington National Bank

Michael Van Treese is Executive Vice President and Chief Auditor and has held this role since April 2020. She is responsible for the design and implementation of Huntington’s Internal Audit program ensuring that governance, compliance, operations, and internal controls are in place... Read More →

Paulette Mullings Bradnock

Chief Audit Executive, BNY Mellon

Paulette Mullings Bradnock is chief audit executive for BNY Mellon, responsible for the management of more than 370 employees within Internal Audit. She reports directly to the audit committee chairman of the board of directors and administratively to the chairman and CEO. Prior... Read More →

Stephanie Richard

Chief Audit Executive, Ally Financial Inc.

Stephanie Richard was named chief audit executive  of Ally Financial Inc. in 2018.  In this role, she is responsible for the organization’s internal audit function, as well as administrative oversight for Ally’s loan review function.  Her specific duties include:  interacting... Read More →

Monday November 9, 2020 2:00pm - 2:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

3:00pm EST

Managing Third Party Risk in These Uncertain Times

This presentation would include an overview of third party risk management (TPRM) and the key elements to a successful TPRM program, to ensure vendor risks are clearly and timely identified and appropriately responded to, either through acceptance or mitigation. Such risks include, among others, information security, data privacy, and cyber resiliency, along with financial and compliance and/or regulatory risks. The session will also include the following:

Inherent Risk Assessments
Vendor Due Diligence and Self Assessments
Residual Risk Implications
Ongoing Monitoring

Speakers

Richard Gorham

Sr. Director - Finance & Risk Management - Audit, Capital One

Mr. Gorham has over 15 years of experience in the financial services industry at banks and government sponsored entities. He joined Capital One in 2015 and is currently responsible for leading its Risk Audit function covering Enterprise Risk Management, Operational Risk Management... Read More →

Samantha Kerwin

Director, Citrin Cooperman

Overview Samantha Kerwin is a director in Citrin Cooperman’s Providence, Rhode Island office with more than 8 years of experience in public accounting. She is an experienced professional in the field of financial and operational internal control and compliance. Samantha... Read More →

Dave Roath

Partner, Citrin Cooperman

Dave is a partner and practice leader of the Technology, Risk Advisory, and Cybersecurity Practice at Citrin Cooperman. He has over 30 years of extensive experience in professional services including Advisory, Risk, Internal and External Audit, Compliance, Technology Risk, Cybersecurity... Read More →

Michael Paliseno

Managing Director, Head of Audit – Information Technology, Guggenheim Partners

Michael is a Managing Director at Guggenheim Partners responsible for leading the Information Technology Audit function. Michael has 20 years of experience specializing in Internal Audit, Technology Risk, Cybersecurity, and Regulatory Compliance. Prior to joining Guggenheim Partners... Read More →

Monday November 9, 2020 3:00pm - 3:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

4:00pm EST

Managing Financial Crimes Compliance and Enforcement Risks in an Evolving Landscape - Recent Developments, Trends, and Emerging Issues

In recent months, regulatory and law enforcement authorities have issued statements and guidance to the financial industry at a pace that is robust by historical standards and surprising amid a global pandemic. Amid ever-growing penalties for noncompliance, ensuring your second- and third-line personnel remains vigilant has never been more important. This practical, interactive panel will discuss, among other topics:

Proposed revisions to foundational BSA/AML program requirements and a new interagency approach to enforcement
Recent FinCEN rules and guidance on PEPs, Hemp and cyber-crime
OFAC developments regarding China, Iran and other sanctions programs
Risks and considerations regarding ransomware payments
The “FinCEN Files” leak - implications and lessons learned

Speakers

David G. Sewell

Counsel, Debevoise & Plimpton LLP

David Sewell is a counsel in the firm’s New York office and a member of the firm’s Financial Institutions and Banking Groups. Mr. Sewell is also Secretary of the New York City Bar Association Committee on Banking Law. His practice focuses on banking regulatory and enforcement... Read More →

Ted Starishevsky

Global Head of Sanctions and Anti-Corruption Compliance, American Express

Ted joined American Express in 2015 and is its Global Head of Sanctions and Anti-Corruption. American Express’ Global Sanctions and Anti-Corruption programs are responsible for ensuring that American Express complies with U.S. and applicable international sanctions regimes and anti-corruption... Read More →

Polly Greenberg

Managing Director, Global Head of Program Management, Global Financial Crimes Division, MUFG

Polly Greenberg joined MUFG in September of 2016 and is the Global Head of Program Management for the Global Financial Crimes Division (GFCD), MUFG’s New York based Headquarters for financial crimes compliance. Her responsibilities include oversight of a variety of cross-functional... Read More →

Monday November 9, 2020 4:00pm - 4:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

2:00pm EST

The View From the Board: The Corporation’s Response to the COVID 19 Disruption

Corporations are facing economic, health, reputational, and leadership challenge risks simultaneously. Boards have never experienced providing leadership advice at this rate and scale before. Learn how boards and management are responding to multiple risk scenarios through crisis response and resilience measures and the impact on the enterprise and stakeholders.

Speakers

Andrea Bonime-Blanc, JD/PhD

Chief Executive Officer and Founder, GEC Risk Advisory

Andrea Bonime-Blanc, JD/PhD, is CEO and Founder of GEC Risk Advisory and a global governance, risk, ESG, ethics, cyber and crisis strategist, serving a broad cross-section of business, nonprofits, and government agencies. Since 2017, she has served as the Independent Ethics Advisor... Read More →

Tuesday November 10, 2020 2:00pm - 2:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

3:00pm EST

Robotics Automation: Managing Control Risk

There is a lot of hype about the impact RPA can make in today’s business environment. Financial institutions like yours are reacting to this and seizing the opportunity to reinvent themselves. This session will share lessons learned from early adopters and attempt to separate fact from hype. You will learn some of the risk considerations for RPA in the business and understand how internal audit teams can benefit from its use.

Speakers

Charles King

Director, KPMG

Charles King is a Director in KPMG’s Internal Audit and Enterprise Risk practice with a specialty in Automation and Analytics. He serves on the National Intelligent Automation Innovation Team and works to bring cutting edge technology to KPMG engagements. He has served several large... Read More →

Tuesday November 10, 2020 3:00pm - 3:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

4:00pm EST

Coordinating Risk Assurance Across the Three Lines: Separate, But Not Siloed.

Whether labelled QA, QC, monitoring, or testing, the Three Lines Model is evolving into the Three Lines of Testing. While each function plays a role in assuring risks are appropriately assessed, mitigated, monitored and managed, the lack of coordination leaves organizations vulnerable to duplicative efforts or missed coverage and the resource inefficiencies they create. This panel session will explore techniques for better coordinating risk assurance activities across the Three Lines Model.

Speakers

Vince Pinelli

MD Central Risk and Control Office, MUFG

Vincent Pinelli is Managing Director, Head of the Central Risk and Control Office (CRCO) at MUFG Americas. Vince is responsible for setting the standards and providing governance and oversight over the First Line of Defense risk and control programs. While at MUFG... Read More →

Christine Clifford

Director of Independent Risk Review, US Bank

Christine Clifford is the Independent Risk Review leader for U.S. Bank. She leads the bank’s second line testing teams for compliance, credit and financial risk.Prior to her current role, Christine was a leader in the bank’s internal audit function with responsibility for audit... Read More →

Mark Martinelli

Chief Audit Executive, Synchrony Financial

Mark Martinelli is the Executive Vice President & Chief Audit Executive for Synchrony Financial. Prior to its 2014 initial public offering, Synchrony operated as GE Capital Retail Finance. Prior to joining Synchrony in 2014, Mark was the Senior Executive Vice President and Chief... Read More →

Rich Reynolds

Partner, PwC

Rich is the national leader for PwC's Internal Audit, Compliance, and Risk Services practice for the financial services industry. He has over 30 years of experience working with financial institutions and is a trusted advisor to senior executives on solving complex risk... Read More →

Tuesday November 10, 2020 4:00pm - 4:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

2:00pm EST

Modernizing Internal Audit

Businesses are changing as they embrace the innovation economy. Well documented advances in new technologies and the drive for innovation and digital transformation are upending industries and increasingly are challenging internal audit functions to remain relevant.

Change is being driven by advances in technology and the use of data, work for home strategies and the broader economy in which knowledge, entrepreneurship, innovation, technology and collaboration are fueling growth. Internal audit not only must respond to these changes, but also must be prepared to assess if the business is undertaking its innovation and transformation initiatives in the best possible manner. In order to accomplish this, internal audit must innovate itself.

In this session, we’ll discuss strategies and methods that Internal Audit organizations are implementing to adapt, evolve, and transform to provide continued value.

Speakers

Joseph Conti

Head of Data, Analytics & Automation Internal Audit, BNY Mellon

As the Head of Data, Analytics & Automation, Joe is responsible for defining and implementing the current and future vision, strategy, methodology, and operating model for the delivery of Data, Analytics and Automations within the internal audit department. Joe leads the global team... Read More →

Carl Hatfield

Managing Director, Protiviti

Carl has over 18 years of experience providing Information Technology Internal Audit solutions to financial services institutions. He has helped institutions in several areas including regulatory assessment, remediation and validation, IA transformation, Service Organization Reports... Read More →

Michael Gandara

Chief Auditor, Global Technology, JPMorgan Chase

Michael Gandara is the Chief Auditor of Global Technology at JPMorgan Chase & Co. and a member of the Internal Audit Operating Committee. In this role, he is responsible for overseeing audit coverage of the firm’s Global Technology business as well as Internal Audit’s data analytics... Read More →

Gemma Cook

Head of Audit Transformation and Data Analytics, Sumitomo Mitsui Banking Corporation (SMBC)

Gemma Cook is the Head of Internal Audit Transformation and Data Analytics at Sumitomo Mitsui Banking Corp (SMBC). She is leading a multi-year transformation plan focused on delivering next-generation, future-oriented audit practices, infrastructure platforms and tools that challenge... Read More →

Thursday November 12, 2020 2:00pm - 2:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

3:00pm EST

A New Era of Resilience: Regulatory and Compliance Perspectives on Operational Resilience

This panel of risk, compliance, resiliency, and regulatory leaders will discuss principles driving transformation by financial institutions to achieve operational resilience in today’s environment. In December 2019, the Bank of England published Operational Resiliency consultation paper CP 29/19, which provided a fresh approach view continuance and sustainability of critical business services from a customer impact point of view. Globally, significant transformation has been driven by management and regulatory expectations to evolved the focus to critical end-to-end processes that drive value to customers. Topics of focus include lessons learned and current points of view during and post Covid-19 pandemic. The scope of discussion will cover the extended enterprise, risk and compliance frameworks, and the connection/evolution across Business Continuity and Cyber Resiliency onto Operational Resiliency.

Speakers

Carlo di Florio

Partner & Global Chief Services Officer, ACA Compliance Group

Carlo di Florio is the Global Chief Services Officer of ACA Compliance Group. At ACA, Carlo is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (“GRC”) service offerings. His responsibilities include oversight, management, and strategic... Read More →

Theresa Grafenstine

Global Audit Leader for Cyber, Resiliency & Third Parties, Citi

Terry Grafenstine has over 27 years of experience in the internal auditing and information technology profession. Terry joined Citi as a Chief Auditor in April 2019 and has global responsibility for providing assurance on Cybersecurity, Resilience, and Third-Party Risk Management... Read More →

Amy Shanle

Managing Director, Global Head of Enterprise Change & Resiliency Office, BNY Mellon

Amy is the Global Head of the Enterprise Change & Resiliency Office (ECRO) for BNY Mellon, a first-line enterprise-wide office, which leads the Firm’s change management and resiliency functions. Under the Enterprise Resiliency function, she is responsible for the Firm’s resiliency... Read More →

Thursday November 12, 2020 3:00pm - 3:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

4:00pm EST

Cybersecurity and Lessons Learned from the Recent COVID-19 Pandemic… What are the Threats and Risks We Need to be Aware of?

This session will address emerging and viable cybersecurity threats within financial services including COVID-19 challenges … and what is needed in addressing such threats. Panelists will review emerging cyber threats impacting financial services, recently publicized events, related control defects, and lessons learned. Additional topics considered will include legal aspects, remote-work exposures, ransomware, PPP abuses, regulatory trends, and internal interactions with the board of directors and the audit committee. Lastly, audit and risk management practices will also be included as part of the dialog.

*This session is only available during the live broadcast date & time and will not be available for on-demand viewing.

Speakers

Donald Ulsch

CEO and Chief Analyst, Phylax Analytics

N. MacDonnell Ulsch is CEO and Chief Analyst at Phylax Analytics Inc. Phylax is a strategic research and database firm concentrating on legal and illegal transactions, transformations, acquisitions, theft and geopolitical influences of 20 critical technologies targeted by China's... Read More →

Jennifer Gold

Vice President, New York Metro InfraGard Members Alliance

Jennifer Gold has over 20 years of experience in senior technology positions for the financial sector and currently serves as Vice President of Engineering at a global investment management firm. Ms. Gold is a trusted strategist and subject matter expert in cybersecurity, risk management... Read More →

Paul Vitchock

Special Agent, Federal Bureau of Investigation

Supervisory Special Agent Paul J. Vitchock currently manages the FBI Cyber Squad in Tampa and Orlando which includes criminal and national security investigations. SSA Vitchock investigated computer intrusion matters in Pittsburgh and Washington, DC, managed the FBI Eurasian Organized... Read More →

Cameron Over

Vice President, CrossCountry Consulting

Cameron has been in the field of information security since the late 90’s. From mid-high school, she was exposed to early network discovery techniques while interning with DoD agencies and held a Top Secret security clearance for more than 15 years. She grew her career assisting... Read More →

Thursday November 12, 2020 4:00pm - 4:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

2:00pm EST

Environmental, Social and Governance (ESG) Framework and Internal Audit's Role.

This first segment of this session will define the ESG investing framework that includes data collection and how companies disclose and how investors can evaluate these sustainability/ESG issues.

The second segment will present the risks of climate change on financial institutions and areas of audit coverage.

Speakers

Divya Krishnan

Managing Director of Product Management, Charles Schwab Investment Management, Inc.

Divya Krishnan is a Managing Director supporting Motif product management and innovation for Charles Schwab Investment Management, Inc. (CSIM). In her role with the Motif team, Ms. Krishnan works with the research group to identify new portfolio ideas and strategies that leverage... Read More →

Imtiaz Hussain

Managing Director, BNY Mellon

At the Bank of New York Mellon Imtiaz is the Head of Audit for EMEA Investment Services and the UK and Ireland Head of Audit.  Imtiaz is also responsible for the Client Asset Safety Subject Matter Expertise team. His primary responsibilities include delivery of audit projects and... Read More →

Friday November 13, 2020 2:00pm - 2:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

3:00pm EST

Internal Audit Top Priorities and Risks For 2021

Gartner’s 2021 Audit Plan Hot Spots looks at the top risk impacting audit plans in the year ahead. Annually, the report is created by combining input from interviews and surveys from throughout Gartner’s global network of client organizations, as well as extensive external research and insights from our internal experts, to identify the top risks audit should provide assurance over during 2021. These risks, or hot spots, are the top-of-mind issues for boards, audit committees and executives in organizations across industries, sizes and geographic locations. In this session, we will review the key risk themes and urgent risk drivers and what has shifted year over year. The review will help inform ongoing risk identification and assessment conversations for your organizations. The primary theme for 2021 is organizational resilience.

Speakers

Ian Beale

VP, Advisory, Gartner Audit Leadership Council

Ian Beale is a Vice President at Gartner, where he provides thought partnership to audit and risk clients and supports them in implementing critical and value-adding change. He delivers best practice, research-based insights and leads workshops with chief auditors, leaders of Risk... Read More →

Friday November 13, 2020 3:00pm - 3:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

4:00pm EST

Information Technology Audit Forum

The IT Audit session will focus on the current and future roles of IT Audit and IT risks emerging from changing technology, internet growth, social media, and Covid-19 challenges. The session will discuss and recommend pragmatic approaches to manage these emerging risks, such as cloud, development containers, distributed ledger, and associated cyber threats. Factors to be considered will include the increasing levels of scrutiny from internal stakeholders, senior management, risk committees, and audit committees, as well as, changing requirements from regulatory agencies. In addition, the challenges associated with identifying and developing the innovative skill sets needed by auditors and risk managers from a technology perspective.

Speakers

Nancy Boyle

Managing Director, Grant Thornton

Nancy Brady Boyle is a Managing Director in Grant Thornton’s Risk, Compliance & Controls practice in New York. She has over 25 years of assurance and advisory experience specializing in technology audit, risk and control, internal audit, and financial crime compliance... Read More →

Tim Ryan

Managing Director, Sheltered Harbor

Tim Ryan has been with Sheltered Harbor since January 2017, and currently serves as Managing Director of Adherence. Tim also serves as an adjunct professor at Fordham University Gabelli School teaching IT Audit / Information Assurance and Cybersecurity. Starting in May 2014, Tim was... Read More →

Devon Reddingius

Director of IT Audit, Raymond James

Devon Reddingius has been in IT Audit since 2008 and is currently the Director of IT Internal Audit for Raymond James Financial. Devon’s responsibilities at RJ include overseeing the IT audit universe for the firm which includes IT Infrastructure, IT general controls, application... Read More →

Friday November 13, 2020 4:00pm - 4:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1

4:00pm EST

Internal Audit Forum

The Internal Audit Forum will concentrate on those lessons learned and success stories related to Internal Audit Productivity and Connectedness that we have experienced and adapted to during the pandemic. This will include discussions on well-being, top pandemic concerns by generation (i.e. Gen X, Gen Z), what makes us more productive and enabling our people. In addition, we will discuss regulatory interactions and expectations during the pandemic and what the beyond may have in store.

Speakers

Mitch Mantua

Executive Vice President, Internal Audit, Charles Schwab

Mitch Mantua heads Internal Audit for Charles Schwab & Co., Inc. and its affiliates. The internal audit function provides an independent and objective appraisal of the company's business operations and helps the company meet its commitment to operating discipline. Before joining... Read More →

Martin Breheny

Managing Director, Internal Audit, Guggenheim Partners

Marty Breheny is a Managing Director in the Internal Audit department at Guggenheim Partners and has over 20 years of experience in the asset management industry.  He oversees the internal audit function for Guggenheim’s investment management businesses which includes institutional... Read More →

Chris Imperatrice

Senior Manager, Ernst & Young LLP

Chris is a Senior Manager in the Enterprise Risk Consulting practice at EY with more than 17 years of combined internal audit and accounting experience. He also serves as a practice lead for the community and regional banking industry and has led several internal audit assessment... Read More →

Friday November 13, 2020 4:00pm - 4:50pm EST
INTERNAL AUDIT TRACK

Internal Audit

NASBA CPE Hour/CRC Credit 1