Audit Risk 2019

Aligning business objectives with risk and compliance and driving efficiency through technological innovation

Audit Risk

October 7-8 2019 | New York City

LINES OF DEFENSE
Aligning and utilizing three lines of defense to provide value to business

SKILL SETS
Talent acquisition and retention to balance audit and SME knowledge

REGULATION
Managing the expectations in an evolving landscape and satisfying requirements across jurisdictions

DATA ANALYTICS
Expanding capabilities to develop an enterprise level picture

TECHNOLOGY
The usage across business lines and changes to processes internally

AUTOMATION
Effectively managing the audit landscape

Marc Sabino
Chief Auditor, Head of Innovation
Citigroup

Patrick-Simonnet-120x120

Patrick Simonnet
Global Head of Audit, Market Behavior & Conduct
Credit Suisse

Cristopher-Luchsinger

Cristopher Luchsinger
Executive Director
USAA

Jay-Medders

Jay Medders
Sr. Director, Internal Audit
TIAA

Jared Henderson

Jared Henderson
Audit Director, Information Technology and Cybersecurity
AIG

Luis-Fernandez

Luis Fernandez
Senior Audit Director, Corporate Management Center of Excellence & Risk Management Audit Services
Ally

Rebecca-Schauer-Robertson

Rebecca Schauer Robertson
Director of AML Compliance, CAMS-Audit, CFE, CAFP
South State Bank

Micaela-Sadati

Micaela Sadati
CAMS, CRCM, Director, Team Leader, Internal Audit Group
American Express

08:00 Registration and breakfast

08:50 Chair’s opening remarks

AUTOMATION
9:00 Managing drive for efficiency and automation to effectively manage the audit landscape

  • Automating processes
  • Skills sets to meet demands
  • Understanding broader audit landscape
    • IT and non-IT auditors
  • Understanding data analytics and IT outputs
  • Increasing efficiency and analysing data

Eduardo Gomez Garcia, Global Head of Treasury, Capital, Model Risk and Latin America Region Audit, American Express

LINES OF DEFENSE
9:40 Alignment of audit and risk departments and utilizing three lines of defense to provide value to the business

  • Role of the three lines of defense
  • Consolidating pressure on first line to increase efficiency
  • Making all three lines work together to add value and manage risk
  • Robust monitoring and auditing on a continuous basis
  • Building 1st line testing programs

Luis Fernandez, Senior Audit Director, Corporate Management Center of Excellence & Risk Management Audit Services, Ally

10:20 Morning refreshment break and networking

ENTERPRISE RISK

PANEL DISCUSSION
10:50 Bringing it all together into one unified platform for oversight and controls across audit practices

  • Risk governance
  • Reporting and metrics
  • Aligning processes and data
  • Taking an enterprise view of audit
  • Developing subject matter expertise

Patrick Simonnet, Global Head of Audit Market Behaviour & Conduct, Credit Suisse
Uday Gulvadi, Immediate Past President, The Institute of Internal Auditors, NY Chapter
Luis Fernandez, Senior Audit Director, Corporate Management Center of Excellence & Risk Management Audit Services, NY Chapter

SKILL SETS
11:40 Skill sets and talent acquisition and retention in internal audit to balance audit and SME knowledge

  • Integrating different skill sets into internal audit
  • Balancing inclusion and segregation of different groups
  • Talent development to keep up with technology and regulatory advances
  • Developing talent in internal audit to stay relevant
  • Defining the scope of the role
  • Creating a team with the right blend of skill sets

David Cortina, Former VP, Director, HSBC

12:20 Lunch break and networking

CULTURE AND CONDUCT
1:20 Auditing corporate culture and ethical behaviour to protect reputation and ensure controls are in place

  • Auditing culture and the people running the process
  • Understanding risk and controls
  • Applying automation techniques
  • Qualitative and quantitative management of culture
  • Inclusion and diversity – audit process to provide assurance
  • Aligning with conduct
  • Tone from the top

Hayseworth Hylton, Americas Head of Audit for Global Banking & Markets, HSBC Bank USA

BUSINESS
2:00 Aligning business objectives and cost of compliance to optimize value in the institution

  • Managing costs whilst running the business
  • The cost of risk
  • Managing the cost of compliance
  • Managing regulatory scrutiny
  • Managing reputational risk by ensuring compliance
  • Capping costs
  • Determining governance and ownership responsibilities

Cristopher Luchsinger, Executive Director, USAA

2:40 Afternoon refreshment break and networking

REGULATION
3:10 How to create a robust audit program that includes regulatory coverage

  • Create a robust audit compliance framework.
  • Collaborate with first and second line on legal inventory / risk assessment
  • Auditing against regulatory requirements.
  • Communicate and report on regulatory issues / health

Micaela Sadati, CAMS, CRCM, Director, Team Leader, Internal Audit Group, American Express
Brock Marshall, VP, Audit Leader Compliance, American Express

PANEL DISCUSSION
4:10 Managing regulatory expectations in an evolving landscape and satisfying requirements across jurisdictions

  • Audit keeping regulators satisfied
  • Managing regulatory reviews and validation expectations
  • Providing challenge to the business
  • Jurisdictional deviations
  • Gaining buy in from senior management
  • Developing relationships with regulators

Rebecca Schauer Robertson, Director of AML Compliances, CAMS-Audit, CFE, CAFP, South State Bank
Asit Desai,
Regional Head Credit Risk, Group Audit, Deutsche Bank

5:00 Chair’s closing remarks

5:10 End of day one

08:00 registration and breakfast

08:50 Chair’s opening remarks

Amit Srivastav, Executive Director, Quantitative Analytics Group, Morgan Stanley

DATA ANALYTICS

PANEL DISCUSSION
9:00 Expanding capabilities in data analytics across audit teams to develop an enterprise level picture

  • Leveraging expertise for independent challenge
  • Gaining buy in from management to give access to data
    • Security control questions
  • Ensuring secured environments enable auditors to read data
  • Auditing big data
  • Using data to give assurance to Board that controls are in place
  • Understanding what is being tested
  • Monitoring risks using data
  • Feeding data into one system for audit use
  • Direct access to data in real time
  • Continuous monitoring of audit areas

Amit Srivastav, Executive Director, Morgan Stanley
Cristopher Luchsinger, Executive Director, USAA
Dhaval Sheth, Head of Corporate Investigations and Analytics, CIT

9:50 Innovation in Internal Audit and Use of Data Analytics

  • Responding to new methods and structures with strategic insights on risk and control environment
    • Creating new approaches, adopting new technologies and evolving
  • Innovation in internal audit: Leading tools and practices
    • Using data analytics and models to build a premier function
  • Approaches to deliver greater assurance and strengthen control environment
    • Large population testing, anomaly detection and new techniques
  • Using innovative tools and analytics to identify emerging risks and issues, uncover hidden patterns and improve the auditor journey

Marc Sabino, Chief Auditor, Head of Innovation, Citigroup

10:50 Morning refreshment break and networking

TECHNOLOGY
11:20 Auditing technology usage across business lines and changes to processes internally

  • Methods for technology audit delivery and how each method is best suited for certain situations
  • Testing techniques to provide assurance, and how these techniques can drive additional value in certain circumstances
  • Convering emerging risks and technologies within technology audits

David Dunn, EVP, Assistant General Auditor, Information Technology, PNC
Jon Coughlin, Audit Director, Information Technology, PNC Financial Services

12:20 Lunch break and networking

FINTECH
1:20 Auditing third party risks and maintaining controls with increased collaboration and adoption of FinTech capabilities

  • Utilizing technology
  • Limiting vendor and third-party risk
  • Ensuring FinTech compliance and attention to risk management
  • Competing talent across banks and FinTech’s
  • Integrating into internal platforms
  • Auditing third party risks of FinTech’s

THIRD PARTY RISK
2:00 Effective oversight and monitoring of third-party vendors and ensuring right to audit

  • Understanding risks introduced by third parties
  • Determining critical vendors
  • Auditing third party management and associated risks

Jay Medders, Sr. Director, Internal Audit, TIAA

2:40 Afternoon refreshment break and networking

CYBER SECURITY/RESILIENCE
3:10 Developing cyber resilience practices to limit exposure and limit disruption

  • Reviewing and understanding vulnerability assessments to identify risks
  • Shadow IT to understand vulnerabilities
  • Security product auditing
  • Technology product developments
  • Regulatory perceptions
  • Keeping on top of the threat landscape
  • Responding to incidents and preparing ahead of time
  • Disruptive technology distributors
  • Protecting customer data
  • Detective controls

Jared Henderson, Audit Director, Information Technology and Cybersecurity, AIG

ISSUE REPORTING
3:50 Creating a global risk system and maximizing on issue reporting and validation practices for effective escalation and risk mitigation

  • Linking trends to audit findings
  • Enterprise risk reporting and validation
  • Capturing risks across disciplines
  • Governance of risk
  • Formal issue validation
  • Aligning with continuous monitoring
  • Ensuring sustainability in solutions

Uday Gulvadi, Immediate Past President, The Institute of Internal Auditors, NY Chapter
Michael J. Lynn,
Vice Chair Global IT Guidance Committee, The Institute of Internal Auditors, NY Chapter

4:30 Chair’s closing remarks

4:40 End of day two

male
David Cortina, Former VP, Director, HSBC

David Cortina will be presenting at the forthcoming Audit Risk Congress.

JonCoughlin1 (2)
Jon Coughlin, Audit Director, Information Technology, PNC Financial Services

Jon Coughlin is a Technology Audit Director responsible for leading application audit coverage at PNC Financial Services.  Jon has been with PNC for approximately 7 years and has had accountability for leading the Audit team’s coverage of infrastructure, security, fraud, technology risk management, and technology project auditing at various points during his tenure at PNC.  Prior to joining PNC, Jon had broad exposure to delivering technology risk and control services in complex, highly regulated environments. His last role prior to joining PNC was as a Senior Manager within the Enterprise Risk Services function at Deloitte & Touche focused on technology audit (external and internal audit), technology risk management, and security governance.  Jon is a Certified Information Systems Auditor and Certified Information Systems Security Professional.

Prior to joining Deutsche Bank, Asit was at Bank of America for more than 10 years where he held different roles in Audit and Risk Management. He was SVP in the Counterparty Credit Risk Audit team and previously held various positions in Credit Risk Management at Bank of America and Legacy Merrill Lynch. Asit has a MBA from New York University Stern School of Business.

Asit Desai
Asit Desai, Regional Head Credit Risk, Group Audit, Deutsche Bank

Asit Desai has been in the role of both Second Line of Defense and Third Line of Defense. He started his career in Credit Risk Management and is now leading the US Credit Risk Audit function at Deutsche Bank since May 2016. He is responsible for independent assessment and monitoring the effectiveness of Credit Risk in the US through Risk based Audits and issue validations, both Regulatory and Internal Audit raised.

Prior to joining Deutsche Bank, Asit was at Bank of America for more than 10 years where he held different roles in Audit and Risk Management. He was SVP in the Counterparty Credit Risk Audit team and previously held various positions in Credit Risk Management at Bank of America and Legacy Merrill Lynch. Asit has a MBA from New York University Stern School of Business.

David-Dunn
David Dunn, EVP, Assistant General Auditor, Information Technology, PNC

Mr. Dunn is Executive Vice President, Assistant General Auditor responsible for leading Internal Audit of PNC’s Information Technology, Information Security, Physical Security, Enterprise Fraud, and Enterprise Third Party Management functions.  Mr. Dunn is also responsible for leading the Data Analytics, Robotics, and Intelligent Automation function within Internal Audit.

Prior to joining PNC in November 2016, Mr. Dunn served as Senior Vice President and Senior Audit Director of Global Technology and Operations for Bank of America.

Mr. Dunn has over 25 years of experience in technology, audit, and financial services. His experience also includes The Royal Bank of Scotland where he served as Senior Vice President, Head of Operational Risk Management for Citizens Financial Group. He spent 10 years at Capital One where he served in various roles including Executive Vice President, Head of Operational Risk Management and Senior Vice President, Senior Technology Executive for Capital One Bank, as well as Managing Vice President, Director of Information Systems Audit for Capital One Financial Services. In addition, Mr. Dunn served as the Director of Quality Assurance at PeopleSoft and as a Financial Systems Project Manager for Corning Incorporated.  Mr. Dunn began his career in public accounting.

Mr. Dunn earned M.B.A.s in General Management from the Johnson School of Management, Cornell University, Ithaca, New York, and in Global Management from the Queen’s School of Business, Queen’s University, Kingston, Ontario, Canada.  He earned a Bachelor of Science in Accounting from Excelsior College, Albany, New York. In addition, Mr. Dunn is a certified public accountant (CPA), certified internal auditor (CIA), certified information technology professional (CITP), and chartered global management accountant (CGMA).

Mr. Dunn is a frequent speaker at various industry conferences and forums and is an Adjunct Professor at the Heinz College of Information Systems and Public Policy at Carnegie Mellon University.

Luis-Fernandez
Luis Fernandez, Senior Audit Director, Corporate Management Center of Excellence & Risk Management Audit Services, Ally

Luis is a Senior Director, high-energy passionate leader, with over 25+ years of experience leading initiatives across Financial Services business and governance functions (Trading, Sales, Compliance, Risk and Audit). Extensive experience in establishing and deploying Centers of Excellence; specifically, by addressing requirements and components under Enterprise Risk Management, Operational Risk Management and Corporate Compliance with a focus on leveraging Agile and Design Thinking methodologies in the development and deployment of strategic initiatives that go beyond regulatory expectations. Accomplished international executive capable to drive decisions and action across a diverse group of stakeholders.

Luis has lived and worked in Venezuela, Spain, United Kingdom, Ireland and USA. He received a B.A in Marketing and Communications from Lynn University, Boca Raton, FL. and an Executive MBA at Queens University of Charlotte in addition to several advance studies and certifications in Finance, Risk Management, Strategy and Leadership, among other international and scholarship awards.

Eduardo-Gomez-Garcia
Eduardo Gomez Garcia, Global Head of Treasury, Capital, Model Risk and Latin America Region Audit, American Express

Eduardo Gomez will be presenting at Audit Risk USA

Uday Gulvadi Circle
Uday Gulvadi, Immediate Past President, The Institute of Internal Auditors, NY Chapter

Uday Gulvadi is a Director at ACA Telavance and a thought leader in the areas of corporate and IT governance, enterprise risk assessments, COSO risk-based internal audits, COBIT controls assessments, regulatory compliance, financial crimes, anti-money laundering (AML), sanctions, model risk, model validations, business process improvements, information technology, and cybersecurity audit and controls.

He leads ACA’s Internal Audit, Risk, and Compliance Advisory services. These include engagements that focus on internal audit, risk, regulatory compliance assessments, AML compliance assessments, risk-management model validation, information technology and cybersecurity controls assessments. He has over twenty years’ experience in internal audit, risk, and compliance advisory services and a unique blend of finance, corporate governance, risk, compliance, and information technology skills.

Uday also is an immediate past President at the Institute of Internal Auditors (IIA) New York Chapter and a member of the Executive Committee of the Board of the chapter.

Uday earned his Bachelor of Commerce degree from the University of Mumbai (India). He is also a Certified Anti Money Laundering Specialist (CAMS), a Certified Public Accountant, a Certified Internal Auditor, a Certified Information Systems Auditor (CISA), and a Chartered Accountant (India).

Jared Henderson
Jared Henderson, Audit Director, Information Technology and Cybersecurity, AIG

Jared is a certified cybersecurity professional with over fifteen years of experience in IT, and nine years of experience in Internal Audit. Having served in multiple technical and leadership roles, Jared has a broad range of experience building and executing IT and cybersecurity audit programs for multinational organizations. As a security consultant and penetration tester, Jared ensured helped organizations identify security weaknesses in their cyber defenses. As an Internal Auditor, Jared has built cybersecurity audit programs to identify weaknesses in cyber processes with a focus on addressing risks, complying with international regulations, and providing valuable insight to organizational stakeholders. Jared maintains certifications as a Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), and a GIAC Penetration Tester (GPEN).

Hayseworth-Hylton
Hayseworth Hylton, Americas Head of Audit for Global Banking & Markets, HSBC Bank USA

Hayseworth Hylton is an internal audit professional with a long track record of professional success and growth. He started his career at Ernst & Young’s financial services division, and his is now a Senior Vice President and the Head of Global Banking and Markets Internal Audit for the USA, Canada and Latin America and a member of the company’s senior management team. His team is responsible for providing independent assessment of the company’s business strategy and risk management framework.
Hayseworth is a Chartered Accountant and has a MBA from the University of Chicago Booth School of Business.

Michael J Lynn
Michael J. Lynn, Vice Chair Global IT Guidance Committee, The Institute of Internal Auditors, NY Chapter

Michael J. Lynn is Vice Chair of the Institute of Internal Auditors (IIA) global IT Guidance Committee and past Vice Chair of global General Guidance. He is also EVP on the NYIIA’s Executive Committee.

Mike recently established ARG*Oversight (an Audit, Risk and Governance consulting firm) specializing in ERM maturity reviews. He left AIG in 2015 where he was a Senior Managing Director with audit oversight for IT Strategy, Security, Risk, Compliance and Infrastructure. Mike left the AXA Group as Senior Vice President and CAE for AXA Technology Services in 2013, after spending over 20 years in various Audit and Risk Management leadership roles, including three-years in Paris where he led the Global Audit function.

Mr. Lynn started his audit career at Ernst & Young, followed by several years at Dun & Bradstreet as Deputy Audit Director.

Michael has earned a CPA license, has a Certification in Risk Management Assurance and is a CIA. He holds a BBA and an MBA, both from Pace University. Mr. Lynn was past President of the Insurance Internal Audit Group and is on Advisory Boards of several NYC Universities.

Michael has been a speaker and panelist at numerous forums, including those sponsored by CSO Magazine, ACCA, SIFMA, IIAG, St. John’s University, Pace University and the IIA. He has authored numerous articles and guidance on Risk, Control and Audit related topics and emerging issues.

Cristopher-Luchsinger
Cristopher Luchsinger, Executive Director, USAA

Cristopher Luchsinger is a Certified Internal Auditor and has held roles in Internal Audit, Risk Management, and Compliance at financial institutions including JPMorganChase, Freddie Mac, Capital One, and USAA. He has also managed operational risk and compliance testing functions within the second line of defense.

Cris holds a bachelor’s degree from The Ohio State University, and an MBA from Franklin University. He also completed Harvard Business School’s Program for Leadership Development, Harvard’s eMBA equivalent.

Cris and his wife Laura have two children: Wyatt and Avery.

Brock-Marshall-1
Brock Marshall, Vice President, Audit Leader Compliance, American Express

Brock M. Marshall is a Vice-President – Audit Leader at American Express (AXP) specializing in regulatory compliance risks. He is a member of the Internal Audit Group (IAG) Management Team, the IAG Salt Lake City (SLC) site leader, a member of the AXP SLC Market Executive Team, and the executive sponsor of the SLC Career Development group. In his tenure with IAG, Brock has served within operational, technological, data analytic, and compliance audit roles. Specific to compliance, Brock was a founding member of the IAG-Compliance focused team, and developed the methodology to consistently assess compliance related requirements within audits of first-line operations. Brock’s academic background includes a B.S. in Finance and a Masters of Business Administration from the University of Utah. He has also received the Certified Internal Auditor, Certified Information Systems Auditor, Certified Regulatory Compliance Manager, and Certified Anti-Money Laundering Specialist qualifications.

Jay-Medders
Jay Medders, Sr. Director, Internal Audit, TIAA

Jay has an extensive financial services background both in internal audit and within the business-line. Prior to joining internal audit, he worked in retail brokerage operations (Operations Manager), product sales oversight (Registered Principal), and as a fixed incom investment analyst. Jay transitioned to financial services auditing when he joined First Union/Wachovia in 2000 focusing on retail brokerage, mutual fund operations, compliance, and asset/investment management. He later joined TIAA in 2007 with audit portfolio responsibilities including asset management (across all assets classes including public equity and debt, private equity and debt, real assets and commercial real estate) and Enterprise Risk Management.

In addition to his career in the financial services arena, Jay and his family (wife Tammy, and 3 children) served 2 years (2012-2014) in Ethiopia wih an international missions organization. During that time, Jay held the role of Director of Adminstration.

Marc-Sabino
Marc Sabino, Chief Auditor, Head of Innovation, Citigroup

Marc was appointed Chief Auditor – Head of Innovation for Audit, Citigroup in August 2017. He is responsible for the Internal Audit Innovation Team, which includes the strategic vision of an Innovation Strategy to significantly support and enhance the control environment and assurance through large population testing, anomaly detection and new techniques and technology.

Marc leads a team that identifies and executes innovation, automation opportunities and performs data analytics to drive insights and operational efficiency.  Previously, Marc was in Citi Productivity as the Head of Business Intelligence and Analytics and the Head of Human Capital Reporting and Analytics responsible for driving Citi’s analytics strategy with a focus on how the organization can better use data and technology solutions to manage revenue, employees, HR processes, banker and branch productivity, recruiting, diversity, and more.  A significant component of this role focused on new and emerging technology to drive outcomes.

Marc originally joined Citigroup in April 1992 with Finance.  His 25-year career at Citigroup has included Senior Municipal Derivatives Trader, Municipals CAO, CTO and In-business Risk Manager. Also, Marc was the Planning and Analysis Lead for Citi Markets and Securities Services.

Marc’s professional experience has focused on significant business and process transformation within the financial services industry; with the delivery of large projects, process re-engineering and innovation. Given the breadth and depth of the areas and projects Marc has worked on he has significant experience of all financial products, functions and processes.

Prior to joining Citi, Marc was the senior Product Control lead at Lehman. Marc received his Bachelor’s Degree in Economics from Drew University.

Micaela-Sadati
Micaela Sadati, CAMS, CRCM, Director, Team Leader, Internal Audit Group, American Express

Micaela Sadati, CRCM and CAMS is an Internal Audit Director and Team Leader in the Internal Audit Group Compliance team at American Express. She has over 14 years of cross continent experience in assessing financial institutions’ operational and regulatory compliance standing and reputation, specializing in AML, Regulatory Compliance, Data Analytics, Costumer Advocacy, Products and Services. Micaela holds a Master and Bachelor of Science in Business Economics from Gothenburg University. Micaela is currently pursuing a second Master’s degree in Business Management at Harvard University.

Prior to joining American Express, Micaela has 5 years of public accounting experience at Smith & Williamson, in Sweden, She managed global audit and advisory engagements, requiring the oversight and administration of large teams. Demonstrated agility by working in multiple industries, lines of service, and office locations whilst managing client and internal expectations in delivering high quality work.

Rebecca-Schauer-Robertson
Rebecca Schauer Robertson, EVP Director of AML Compliance, South State Bank

Rebecca “Becky” Schauer Robertson is Executive Vice President Director of AML Compliance for South State Bank, a subsidiary of South State Corporation, the largest publicly traded bank holding company in South Carolina with locations across the Carolinas, Georgia, and Virginia. Robertson is responsible for ensuring the Bank’s compliance with all facets of the Bank Secrecy Act, USA PATRIOT Act, and Office of Foreign Assets Control. Additionally, Robertson has oversight of the Bank’s Fraud department. She holds the advanced designation of Certified Anti-Money Laundering Specialist – Audit (CAMS-Audit), and designations of Certified AML and Fraud Professional (CAFP), and Certified Fraud Examiner (CFE). Robertson currently serves on the ABA CAFP Advisory Board.

Patrick-Simonnet-120x120
Patrick Simonnet, Global Head of Audit, Market Behaviour & Conduct, Credit Suisse

Patrick Simonnet is a New York-based Director of Credit Suisse in the Audit department. He joined Credit Suisse in May 2014 as the Global Head of Audit, Market Behavior & Conduct. In this role, Patrick assumes global responsibility for the audit coverage of market conduct risk, including the related compliance and regulatory programs and activities.

Patrick joined Credit Suisse from JP. Morgan Chase, where he was an Executive Director within their regulatory change program.  Patrick has enjoyed a long career within banking and financial services.  Originally from Paris, he held a number of controls and business roles with the Banque de France and also the French Futures and Options Exchange (MATIF).  Patrick spent 14 years with Goldman Sachs in Paris, London, New York and Chicago in various roles, ultimately leading their Americas regional audit program.

Dhaval-Sheth
Dhaval Sheth, Head of Corporate Investigations and Analytics, CIT Group Inc.

Dhaval Sheth is a Senior Vice President in charge of corporate investigations and analytics at CIT Group Inc. Dhaval has spent 20+ years advising companies on global compliance and regulatory matters. Dhaval leads a team of experienced investigators to investigate allegations of fraud and abuse across all business segments and Corporate units at CIT. Dhaval also leads a separate team focused on automation and analytics to identify areas for enhanced effectiveness and efficiencies. Dhaval reports significant issues to the Ethics Committee, Audit committee of the Board of Directors and senior management. Dhaval is a frequent speaker at conferences.

Amit-Srivastav
Amit Srivastav, Executive Director, Quantitative Analytics Group, Morgan Stanley

Amit Srivastav has been in the role of an Executive Director within Morgan Stanley since March 2014. In this role, he manages a team of quants within the Firm’s Internal Audit division and is responsible for monitoring, assessing, testing and reporting on model risk globally across the Firm. His team performs independent testing on all models within the Firm and in this capacity uses various tools and data analytics in monitoring and assessing overall effectiveness of model risk management in the Firm.

Prior to Morgan Stanley, Amit was at Bank of America for more than 10 years where he had different roles leading the Model Risk Audit team, Market Risk Audit team and the Counterparty Credit Risk team and pioneered use of dashboards and data analytics for monitoring risk. Amit started his career in Barclays Capital in the Risk Model Validation Audit team. Amit has a MS in Mechanical Engineering and a certificate in Statistics from Carnegie Mellon and an MBA and is also a CFA Charterholder.

20th September 2019

Operational risk: Impact of innovation and using risk appetite beyond regulatory compliance

19th September 2019

Payments innovation, customer satisfaction and open banking

19th September 2019

IFRS 17 Explained

17th September 2019

Integration of AI and machine learning to apply a broader spectrum of appropriate shocks to individual portfolios

By Assad Bouayoun, Senior XVA Quantitative Expert, HSBC
12th September 2019

Investigating the pace of adoption and characteristics of risk-free rates and how the industry is being impacted by the transformation

By Sebastien Cross, UK Rates Strategist, Bank of America
12th September 2019

Making fairness an intrinsic part of AI for financial services

By Sray Agarwal, Specialist – Data Science & AI, Publicis Sapient
12th September 2019

Bringing technology to traditional components of risk management

By Raj Dave, Director Compliance, Barclays
12th September 2019

Understanding the changing behaviours of consumers and meeting evolving expectations

By Chris Crespo, Head of Digital Direction, Group Digital, Nordea
11th September 2019

Reviewing the evolving landscape of non-financial companies offering financial products

Rinse Jacobs, Head of Strategic Partnerships, solarisBank
11th September 2019

Validation and Governance of the use of AI and machine learning models to increase efficiency

By Paul O’Donovan, Director, US Model Governance, BMO Financial

Sponsorship

Can your organisation contribute? Please contact the Center for Financial Professionals today to discuss how we can deliver your thought-leadership at the event, help you generate leads, and provide you with unique networking and branding opportunities. For more information on what we can offer, please contact sales@cefpro.com or call us on +44 (0) 20 7164 6582 where a member of the team will be happy to tailor the right package for you.

Media Partnerships

We are happy to support publications, associations and organisations at this event. From a simple company listing with your logo to taking advantage of some of our sponsor benefits listed above. To discuss a media partnership further please email amy.greene@cefpro.com or call +44 (0)20 7164 6582.

Venue

Millennium Times Square
145 West 44th Street
New York
NY 10036
USA

FAQs

Can I present at Audit Risk 2019?

Yes, the Center for Financial Professionals are happy to discuss speaking opportunities at Audit Risk 2019. For further information on this please contact alice.kelly@cefpro.com or call us on +44 (0) 20 7164 6582.

Are there any rules on the dress code?

Business attire is requested. The Congress is a formal opportunity to network with like-minded professionals and to gain knowledge from the industry’s finest risk management experts.

What is the cost and what is included in the registration fee?

We offer incentives for ‘early bird’ registrants of the Congress, as outlined on our pricing structure. Registration includes breakfast, refreshment breaks, lunches, the cocktail reception at the end of the day, full access to the sessions and exhibition area. Presentations from sessions are also available, subject to speaker approval.

Where can I find the Congress documentation and speaker presentations?

All registered attendees will receive an email with access to documentation and speaker presentations after the Congress* We will work with our presenters to include as many presentations as possible on our Risk Insights App during the Congress. *Please note that our speakers often have to gain permission from their relevant compliance departments to release their presentations. On rare occasions compliance may not allow presentations to be distributed.

Will breakfast, lunch and refreshment be provided?

Yes. As with all of our events the Center for Financial Professionals will be providing brilliant coffee, breakfast, lunch, refreshments, and smaller bites during the networking breaks.

Will there be opportunities to network with other attendees?

There are ample opportunities for networking and interaction throughout the Congress, such as

  • Breakfast, lunch and refreshment breaks
  • Cocktail reception at the end of the day (Subject to confirmation)
  • Q&A, panel discussions and audience participation technology available through the Risk Insights App
I have several colleagues that would like to attend, is there a group discount?

Certainly! We are pleased to offer you a 50% discount on the third registration or provide a fifth registration for free. If you would like to register more than five colleagues please contact us on +44 (0) 20 7164 6582 Please note:

  • Registrations must be made at the same time
  • Registrations must come from the organisation
  • The lowest registration will be discounted
Are there opportunities to share my thought-leadership at Audit Risk 2019?

Yes there are plenty of opportunities for the Center for Financial Professionals to share thought-leadership to the attendees of Audit Risk 2019 and our wider risk professionals community. At the event We can distribute your material to the attendees, offer you an exhibition booth, and provide speaking opportunities so that you may enjoy a more prominent presence at the Congress. Visit the Sponsor tab for further information or contact sales@cefpro.com / +44 (0) 207 164 6582. Risk Insights Feature your content on our Risk Insights website and supporting Risk Insights monthly newsletter. For further information please download our media pack here.

Are media partnerships available for Audit Risk 2019?

Yes. As part of a media partnership we can offer a variety of options to increase the branding and awareness of your association, company, certificate, publication or media. We are flexible with what we can offer however we usually:

  • Provide a discounted rate to attend
  • Place your logo and profile on the Congress website
  • Place your logo on the Congress brochure
  • Place your logo on promotional content where applicable
  • Distribute your media/marketing at the Congress
  • Promote through social media channels

To discuss this further please contact amy.greene@cefpro.com or call +44 (0) 20 7164 6582.

Earn up to 14.5 CPE Credits

Earn up to 14.5 CPE Credits for the two-day Congress.

  • Prerequisites: Knowledge of financial risk management
  • Advanced Preparation: No advanced preparation is required
  • Program Level: Intermediate to advanced
  • Delivery Method: Group-live

The Center For Financial Professionals is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org

Please note these are subject to change as per the agenda and final credits will be available after the event.

Representing a financial institution (E.g. Bank, Insurance company, Asset Manager, Regulator)

Early Bird

$1,299

SAVE $300

Register by
September 20

Standard Rate

$1,599

Registrations after
September 20

Representing an information/service provider (E.g. Consultant, Vendor, Executive Search Firm, Law Firm)

Early Bird

$1,799

SAVE $600

Register by
September 20

Standard Rate

$2,399

Registrations after
September 20

Group Bookings:

Group rates are available for 3 or more attendees from the same organisation, when registering at the same time. The current rate allows every third colleague to come along for half price or a fifth colleague to attend for free!

Other Ways to Register

1. Register by Email

Simply email us with your e-signature
we will do the rest for you!

We only need your:
– Full name
– Job title
– Company & address
– Contact number

2. Contact Us Directly

+1 888 677 7007

EARN UP TO 14.5
CPE CREDITS
To claim your CPE points please contact info@cefpro.com or call +1 888 677 7007

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