Hot Topics in Compliance
December 4, 2014
2:00–3:00 p.m. ET
Learn more about the biggest challenges that organizations face in improving enterprise risk management and risk governance, how Internal Audit can add value. Our presenters will lead a practical discussion on key issues and challenges in enterprise risk management, risk governance, the role of audit and will provide an outlook into 2015. Topics will include:
- Meeting Heightened Standards for Front Line, Independent Risk Management, and Internal Audit units
- Regulatory Landscape Update
- Internal Audit’s Role in Reviewing Risk Management and Risk Governance Processes
- 2015: The Year Ahead for Financial Services
- Emerging Risks
- Q&A and Resources
Course Duration: 1 hour
CPE Hours Available: 1
Knowledge Level: Intermediate
Field of Study: Auditing
Advance Preparation: None
Delivery Format: Internet Group Live
Managing Director, Risk & Compliance Solutions, Protiviti
Dolores is focused on the Financial Services Industry with 30 years of experience as a practice leader with proven leadership in financial services and other regulated industries. She is a trusted risk management advisor and innovator helping clients build and enhance Enterprise Risk Management, Corporate Governance, and Corporate Compliance Practices. Prior to joining Protiviti, Dolores was a Firm Director at Deloitte where she led and delivered numerous Enterprise Risk and Governance-related projects for diversified financial services companies and other regulated industries. In this role, she balanced strategy and business objectives with governance and oversight, and aligned strategy, products and services with risk profile and appetite. Dolores also led the Risk Practice’s Project Management Office for the Dodd-Frank Act to drive the development of sales and delivery materials. She also held leadership positions in Deloitte’s Women’s and Diversity and Inclusion Initiatives.
Director, Risk & Compliance Solutions, Protiviti
Jim has deep knowledge of financial services regulation with hands on experience in bank supervision and policy related matters. He retired from the OCC after a 35 year career in which he served most recently as a senior member of the OCC supervisory team at a top 5 US bank and operated as chief of staff for the Examiner-In-Charge. In this role he held direct responsibility over the bank’s Risk Management, Global Compliance, and Internal Audit functions. Jim was responsible for driving the OCC’s efforts in attaining effective bank remediation efforts across all matters of regulatory concern. Further, Jim was instrumental in guiding the bank’s efforts in establishing and implementing an effective Risk Framework, Risk Appetite, Risk Culture, and Global Compliance program.
Senior Manager, Risk & Compliance Solutions, Protiviti
Matt focuses on credit risk, operational risk, market risk and process redesign offering experience in lender and portfolio due diligence, process remediation and redesign, bank integration efforts, data analytics, management reporting, system design and testing, provisioning for credit losses, and model validation.