2022 Virtual Internal Audit Seminar

Conference/Seminar/School Gail Queen

This event is designed for Internal auditors, compliance officers, senior management and any officer in the bank responsible for deposit operations, electronic funds, branch operations, or FDICIA/SOx.  Sessions will focus on emerging risks, current trends, and hot topics impacting the financial services industry.  The seminar will be highly informative and provide attendees with strategies, solutions, and resources that can be practically applied to their own institutions.

Register Now!

Agenda

Updated 2/10/22

Time

Topic

8:30 – 9:20am

Risk Assessment

9:20 – 10:10am

Third Party Risk – Cloud Vendor Exposure

10:10 -10:20am (break)

 

10:20 – 11:10am

Virtual Internal Audits & Robotic Process Automation (RPA)

11:10 – 12:00pm

Compliance Trends in the Financial Services Industry

12:00 – 1:00 (lunch)

 

1:00 – 1:50pm

Emerging Trends in the FS Industry

1:50 – 2:40pm

Cyber Ransomware: Are You Ready?

2:40 – 2:50pm (break)

 

2:50 – 3:40pm

Building an Anti-Fraud Framework

3:40 – 4:30pm

Sustainability & ESG

Speakers

John Bono is a Manager in Crowe’s Financial Institutions Internal Audit Consulting practice. He has over 15 years of internal audit experience, including planning, designing, and executing operational, financial and compliance-oriented internal audit plans at financial institutions. Prior to joining Crowe, he was also responsible for standardizing the firm’s national regulatory compliance work programs. His specific work experience includes, but is not limited to, the following:

  • Internal audit risk assessment.
  • Compliance audit, including, but not limited to, AML / BSA / OFAC, Compliance Management System (CMS), HMDA, CRA and SAFE Act.
  • Advise and consult on regulatory examination issue remediation.
  • Fraud and AML control and prevention.
  • Internal audit department quality assessment reviews.
  • Quality assurance program.
  • Experience with various systems including Jack Henry, FiServ, FIS, FCRM, Verafin, Bridger and Patriot Officer.

    Jennifer Burke is a partner in Crowe’s FS IA Operational practice and has more than 30 years of experience serving financial services clients, including 25 years with Crowe. Jennifer leads projects at strategic multi-billion-dollar financial institutions, providing internal audit, compliance, loan review, Sarbanes Oxley and enterprise risk management (ERM) services. Jennifer is a nationally and internationally recognized speaker on banking issues, internal auditing, and ERM. Prior to joining Crowe, she served as SVP and CAE for a multi-billion 10-bank holding and trust company.

      Layne McGuire is a Managing Director in in Crowe’s Financial Institutions Internal Audit Consulting practice. She has over 22 years of internal audit experience, including regulatory compliance and regulatory issue remediation. She also served as the Southeast leader for the BSA / AML and Regulatory Compliance practice for her prior firm. Layne has experience planning, designing, and executing operational, financial and compliance-oriented internal audit plans.  She also has deep experience in Sox and FDICIA implementation and enterprise risk management. Her specific work experience includes, but is not limited to, the following:

      • Internal audit risk assessment.
      • Advise and consult on regulatory examination issue remediation.
      • Internal audit plan execution, including operational, financial, capital markets and compliance audits.
      • Internal audit department quality assessment reviews.
      • Quality assurance program.
      • Frequent speaker at internal audit and banking industry events and conferences.

      Myra Rowell is a Senior Manager with Crowe’s FS IA Technology Consulting practice and specializes in the Financial Services industry. Ms. Rowell has extensive experience in information security, risk management, third party management protection, and risk tolerance levels for businesses. Her professional and industry experience includes, but is not limited to, the following:

      • Over 18 years in cyber security for top 2 global bank.
      • New strategy and program development for influence and reach through trade and industry organizations, and non-contractual partner risk, toxic combinations relating to partner risk, and government partner risk. 
      • Recognized for cultivating and maintaining relationships through trust, integrity, influence capability, and translate complex risk/reward discussions that create an effective business model and meet regulatory and policy requirements.

      Alexa Stone is a Manager in Crowe’s Financial Services Consulting practice, focusing on regulatory compliance, strategic risk management and process improvement consulting. She also worked in Crowe’s external Audit practice for a few years, focusing on a wider variety of industries. Within the Financial Services industry, Alexa specializes in compliance program remediation, regulatory response and control design, implementation and assessment. Alexa also is a member of Crowe’s ESG task-force focusing on ESG research and offering development. Alexa serves as a thought and people leader in Crowe’s Consulting practice, offering unique perspectives based on her diverse professional background. Alexa is passionate about helping clients achieve operational excellence and compliance through building trusted relationships, offering insight and expertise, and overall effective project management and organization.

      Nate Williams is a Senior Manager helping lead the Third-Party Risk Management Consulting and Technology implementation practice at Crowe. Nate focuses on helping financial services clients build sustainable, efficient, compliant third-party risk management programs, facilitated through the use of best-in-class technology.  Nate has also spent 5 years providing vendor information security assessments for Fortune 500 companies to identify information security risks related to their third parties. As part of his Third-Party Risk Management consulting work, Nate helps clients build processes specific to their internal resource levels and third-party usage. As part of his third-party information security assessments, he has reviewed network architecture, applications, and data flows, along with leveraging and reviewed industry frameworks in his analysis of third parties. Nate is a certified RSA Archer associate with experience as a developer and administrator.  He built the Crowe platform for Third Party Assessments on the Archer platform, as well as Crowe’s ProcessUnity “Gold Instance”. Prior to joining Crowe, Nate worked as an application and web developer.

      Registration 

      Member Type Registration Rate
      VBA Member $405
      VBA Non-member $905

      vba event policies

      By registering for this event, you are agreeing to the VBA Event Policies.

      Cancellation policy

      All cancellations will be charged a $25.00 administrative fee. Cancellations received less than 72 business hours before the program will be charged a $75.00 administrative fee plus any additional fees associated with the training. Substitutions are allowed prior to the beginning of the conference.

      SPECIAL NEEDS & AMERICANS WITH DISABILITIES NOTICE

      If you have special needs that may affect your participation in this event, please contact Gail Queen to discuss accommodations.