| Sergio Abraham Innovation Lead Onapsis Sergio Abraham works as the Innovation Lead at Onapsis, he is responsible for detecting and identifying challenges in the ERP cybersecurity industry to drive new changes, efforts, and potential new products and services. Resulting of his experience and work, Sergio discovered and published several SAP Security Vulnerabilities affecting diverse SAP components, and was invited to lecture and teach trainings in different conferences such as Ekoparty, Troopers, SAP TechEd, HubCon, ASUG, and SANS, among others. Sergio has also been involved in different kinds of projects related to the SAP Security ecosystem, such as auditing SAP Implementations, defining and implementing SoD rules, performing SAP Security Assessments, SAP Penetration Tests, and also helping organizations during SAP Incident Responses. | |
| Mark Atkinson Senior Manager EY
Background ►Mark is a Senior Manager focusing on Talent for EY. His specific areas of focus include strategic workforce planning, talent development and management, organizational design, HR transformation and culture change ►Prior to joining EY, Mark served as the Chief People Officer of a publicly traded medical device company. He also worked as a leader in health care, aerospace, and automobile and durable goods manufacturing companies. He has led multiple client engagements in the auto, chemicals, healthcare and telecommunications industries. ►He has worked in a variety of industries since joining EY. Selected experience ►Mark led the design and implementation of the Organization and Talent Planning engagement in support of a Fortune 100 merger in the chemicals, specialty materials and agricultural products industries. He led the organization design and talent selection support activities to merge the entities and then create three separate publicly traded entities. In addition, he worked with HR leadership team to build future state service delivery models and create both interim and end-state process transfer agreements between entities. ►In the telecom industry, Mark led the organization redesign effort of a Fortune 50 supply chain organization, implementing category management and creating both talent strategies and processes to support the transition from the current state. This effort drove a reduction in category spend of over 20 percent while building higher compliance to schedule and creating greater efficiency in sourcing, procurement and distribution. ►He has facilitated the design and implementation of a strategic workforce planning initiative in the financial services industry. This included the design and implementation of training for internal HR resources and the creation of planning and assessment processes and the metrics to needed to monitor the health of the implementation. Education & Memberships ►Masters in Organizational Behavior, Brigham Young University ►BA, Economics, Brigham Young University. ►Certified, Accelerated Solution Development Facilitator ►Society for Human Resource Management ►Association for Talent Development Contact Info: Phone: + 1 214 665 5380 Mobile + 1 469 939 0205 | |
| Lukas P. Babiak BSA/AML Lead Examiner OCC Lukas Babiak is the BSA/AML Lead Examiner for International Banking Supervision (IBS) in the Office of the Comptroller of the Currency (OCC). In this position, Mr. Babiak is responsible for oversight and coordination of the OCC’s strategic BSA/AML supervisory activities of the agency’s Federal Branches and Agencies Program. Prior to this assignment, Mr. Babiak spent four years as a Bank Examiner supervising banks in the OCC’s Mid-size and Community Bank Division in the greater New York Area. Previously, before being hired at the OCC in 2012, Mr. Babiak spent seven years in various BSA/AML related roles in retail, investment, broker-dealer and private banks. | |
| Gil Ber Chief Audit Executive El Al Airlines
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| Daniel Collins Managing Director ACA Telavance Dan is a Managing Director for ACA Telavance, and is the Head of Telavance’s Professional Services Organization (PSO) and engagement teams. Dan has over 20 years’ experience in the application of data analytic technologies to forensic investigation and dispute matters. For the past 12 years he has applied this experience to assisting domestic and international financial institutions to mitigate reputational risk and address regulatory requirements and expectations related to Anti-Money Laundering (“AML”) and Economic and Trade Sanctions (“ETS”). As a trusted advisor to senior management, with deep expertise and understanding of the design, management and operation of effective AML/ETS monitoring programs and processes, Daniel has led numerous engagements assisting financial institutions respond to regulatory orders and requirements, including conducting model selection, tuning and validation, as well as transaction monitoring and sanction screening systems implementation and assessments. Dan is graduate of University of Toronto with a Degree in Commerce and Economics. | |
| Jared Henderson Audit Director AIG Jared is an Audit Director over Information Technology and Cybersecurity at AIG since 2015. Jared's prior experience included various audit and consulting roles at Baker Hughes, Grant Thornton, Blue Cross Blue Shield and Eilish Systems. He is a graduate of Louisiana State University and is a CIA, CISA, CISSP, GISP and GPEN. He is a subject matter expert in Cybersecurity and IT Risk. | |
| Taddes Korris Software Engineer Passport
Taddes Korris is an active classical bassist and software engineer currently living in Charlotte, NC. He grew up in Edmonton, Canada to a musical family of Lithuanian descent and began his bass studies at 16. Taddes then attened McGill University for one year and transferred to the Manhattan School of Music, where he completed his Bachelors in 2012 and his Masters in 2014, receiving the Homer Mensch Award for excellence in double bass performance. He completed a program in Web Development and Software Engineering at the University of North Carolina at Charlotte in 2018.
Taddes’ first professional engagement was with the Edmonton Symphony in 2012 and has subsequently performed with the Charlotte, Charleston and North Carolina Symphonies after moving to the region in 2014 with his wife, Sarah Markle, a section cellist in the Charlotte Symphony. Festivals appearances include the Arizona MusicFest, National Repertory Orchestra, Moritzburg Festival (Dresden, Germany), Brevard Festival(North Carolina), and Karl Flesch Institute (Baden-Baden, Germany). Taddes is an avid chamber musician and has performed most of the standard chamber works for double bass, including several commissions and new-music works. Notably, Taddes performed Stravisnky’s Soldier’s Tale at the Russian Embassy in Washington D.C. for a joint Swiss-Russian cultural gala.
He also organized a large-scale recording project of orchestral works of the composer M.K. Ciurlionis in Edmonton, Canada. He is a current writer for the Lithuanian newspaper “Draugas” where he contributes a monthly column about Lithuanian music. Taddes has presented several talks on classical music, orchestral performance, and Lithanian composers. Taddes’ work as a Software Engineer spans back-end architecture in Node.js Python and PHP, as well as front-end work with cutting-edge JavaScript, React.js. and Vue.js features. He currently works at Passport, a transportation tech startup in Charlotte that specializes in solutions for mobility, including transit, parking, citations, tolling, and permits. Clients include most major American and Canadian Cities and the scope of the company is changing how people move in their cities, and pushing for smart, technological integrations with transportation. | |
| Adam Losner Chief Audit Executive Broadbridge Financial Solutions, Inc.
Adam is a finance, audit and technology executive with over twenty years of experience in the capital markets, banking and technology sectors. Significant achievements include improving the performance of internal audit and finance organizations, providing strategies for Sarbanes-Oxley compliance and delivering positive results during times of major change. He has built teams to develop and implement innovative solutions to complex business problems; and mentoring and developing high potential staff. Adam has led internal audit for Broadridge Financial Solutions for the last 12 years and has had financial and audit leadership roles for the NYSE, SIAC and Long Island Savings Bank in years prior. He is a graduate of Columbia University with and MBA in Finance and has a BS in Computation from the University of Manchester. | |
| Rick Magliozzi Managing Director Protiviti
Moderator Rick is a Managing Director in our Financial Services Practice and one of the founding members of Protiviti. He is a CPA, MBA and CRMA. Rick is a Financial and Management Executive with extensive experience in providing professional accounting, audit and consulting services to corporate clients and their owners in the financial services industry. He is a Leader in Protiviti’s Financial Services Industry (FSI) Practice. He served as Protiviti’s East Region Financial Services Internal Audit Leader and SOX champion. Rick has acted as the lead professional on many of our largest IA, SOX compliance engagements, due diligence projects and special investigations. He is a frequent speaker at IA, SOX training sessions, Professional Associations, Conferences, Roundtables and authored articles on IA, SOX and related corporate governance topics. Rick is a long standing member of the Board of Governors for the NY Chapter of the IIA and Executive Committee of SIFMA IAS. Prior to joining Protiviti, Rick was a leader in the Financial Services Audit and Business Advisory Practice of the NY office of Andersen. Contact Info: Frederick.Magliozzi@protiviti.com (212) 603-8363 | |
| Erica McManaman Chief Auditor Signature Bank
Professional Background Erica McManaman is the Chief Internal Auditor at Signature Bank, a full-service commercial bank based in New York. In her current role, Erica is responsible for leading a team of 30 audit professionals (business and technology) to fulfill the Internal Audit Department’s mission of providing risk-based and objective assurance and consulting services, ensuring alignment with the strategies, objectives and risks of the organization. Prior to joining Signature Bank in June 2016, Erica was a Director and Head of Audit at Credit Suisse, with responsibility for the Private Bank (Americas), Global Alternative Investments and People Risk. Erica started her career at Ernst & Young, LLP in the Banking and Capital Markets Group. Erica is a member of various Chief Audit Executive roundtables and professional organizations, including the IIA , AICPA and Mid-Sized Bank Coalition (MBCA). Erica currently serves as the MBCA CAE Resource Group Chair, with responsibility for directing and coordinating the MBCA CAE Group’s activities to support its mandate of providing mid-sized bank CAEs a forum to share best practices, experiences and processes, conduct quality benchmarking and obtain regulatory intelligence. Education and Certifications •BS in Accounting, Binghamton University •Certified Public Accountant •General Securities Representative (Series 7) •Certified Information Systems Auditor (provisional candidate) Phone: (646) 822-4140
Email:
LinkedIn:
www.linkedin.com/in/ericamcmanaman/
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| Naohiro Mouri Global Chairman IIA
Naohiro Mouri is Executive Vice President and Chief Auditor of American International Group (AIG), a global property/casualty, life and retirement, and general insurance company based in New York.
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| Prashant Panavalli Director DHG Prashant Panavalli, Director Dixon Hughes Goodman Prashant is a Director at DHG who leads DHG’s Insurance Internal Audit and Enterprise Risk Management Practice. with extensive experience in risk, regulatory compliance, accounting and IT implementations. His areas of expertise include internal audit, SOX, ERM, project and team management, process transformation, and enterprise risk management. Prashant has lead large scale process transformation work for insurers for more than 15 years including project and team management, critical and continuous stakeholder communication, and deep knowledge of processes, risks and controls. Some of his experience includes: • Led strategic process redesigns that integrated the use of capital, risk and stress scenarios into an holistic framework for multinational insurers • Developed and implemented ERM Frameworks for insurers and financial institutions of varying sizes and complexities • Implemented financial transformation and GL improvement processes for various insurers • Designed and oversaw the entire process transformation and risk and control implementation including systems development of a fortune 100 life insurer that was spun off from a fortune 50 insurer | |
| Brian Portman Principal EY
Professional experience summary Brian Portman is a Principal within the Financial Services Office of EY’s Advisory practice. He has over sixteen years of management experience and eleven years of experience in the financial services industry serving a variety of clients, primarily in the areas of internal audit, compliance and risk management.
Engagement experience
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| Frank Roca Chief Audit Executive Ditech Holding Corporation
Frank Roca has over 25 years of audit and risk management experience, having worked at some of the world’s largest well-known companies. He is currently the Chief Audit Executive for Ditech Holding Corporation, a Non-Bank Mortgage Lender. He has worked closely with key business leaders on strategic business goals and risk management. He was an Executive Director for Audit Professional Practices at JP Morgan Chase, headed the Global Treasury and Asset Management Internal Audit group for General Motors, and has held progressive audit leadership roles at Morgan Stanley, Deutsche Bank, Prudential Financial, and American International Group. Frank holds a Master’s degree in Business Administration in Finance, and a Bachelor’s degree in Accounting, both from Fordham University. He is a Certified Public Accountant, licensed in New York. | |
| Markku Rossi Chief Technology Officer SSH.COM Markku Rossi brings close to 25 years of software engineering and architecture experience to the company. He is responsible for R&D;, and directs the company’s technology strategy. Markku has extensive knowledge and experience with SSH Communications Security products, having served the company from 1998 through 2005 as a Chief Engineer and a major contributor to the SSH software architecture. Prior to rejoining the company in 2015, he co-founded several companies such as Codento and ShopAdvisor and served as CTO at Navicore and as Chief Architect at Nokia. He has a Master of Science degree in Computer Science from Aalto University. | |
| Bharat Sadula Sr. Manager - AML Audits Scotiabank Bharat Sadula has over 17 years of experience in financial services and is currently Sr. Manager – AML Audits at Scotiabank. He has been Officer in Charge for various AML & OFAC Compliance Audits and leading the validation of regulatory enforcement actions. Prior to joining Scotiabank in 2016, Bharat was a Senior Manager at Accenture leading AML Assessments, Transaction Monitoring and Risk Assessment engagements. During the course of his career he has worked with numerous global and mid-sized banks such as Scotiabank, Bank of America, Citigroup, Credit Suisse, Barclays, Lloyds Banking Group, KeyBank, Banamex, Rabo-bank. Bharat has an MBA from India’s leading B-School – Indian Institute of Management Lucknow and is CAMS as well as FRM Certified. | |
| Theodore Scallon Partner - IA & Enterprise Risk Practices KPMG
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| Eric Small Managing Director & Global Head of Legal/Compliance/AML Audit ACA Telavance Eric Small is Managing Director and Global Head of Legal / Compliance / AML Audit for the Legal / Compliance / AML Audit Group. Eric is responsible for the execution, supervision, and management of various core AML/KYC/Economic Sanctions, Legal and Compliance examinations with a team of thirteen auditors. Eric verifies through independent review, the proper implementation and monitoring of the Bank’s AML Compliance program. In this role, he is involved in an advisory capacity with the various business strategies and system changes pertaining to AML through participation on various AML related committees. Additionally, Eric is the Chair of the Internal Audit AML Advisory Group and the Regulatory Focus Group – Americas. Eric is responsible for the preparation/completion of the annual AML Audit Risk Assessment, annual AML Audit Training Program and the team’s Audit Plan. Further, Eric has responsibility for Global Coordination of Legal / Compliance / AML related examinations performed by other Audit groups and is the primary Audit Department liaison to the U.S. Regulators on AML, Compliance and Legal matters. Eric is also a frequent speaker at the Institute of Internal Auditors, Association of Certified Anti Money Laundering Specialists and AML Compliance Roundtable. | |
| A. Michael Smith Partner PwC
A. Michael Smith is a Partner and has more than twenty –eight years of experience in Information Technology Internal Audit, Cybersecurity, Privacy, IT Governance Risk and Compliance and national/international regulatory requirements in the Information Technology space. Michael is responsible for PwC’s US Internal Technology Audit Services practice for Financial Services companies and has led projects or worked in all financial services sectors. He has a strong international background having lived and worked in Europe and led teams in EMEA and APAC. His comprehensive financial services background allows him to provide insights on all aspects of information technology strategy, risk, and control; and to provide invaluable assistance in dealing with regulators and their expectations and requirements. Michael’s primary area of focus is designing strategies for deploying technology audit in large financial services organizations and transaction processors. He has an unmatched background of public and private industry experience which enables him to construct approaches to managing information technology risk that maximize the risk management capabilities of any size Internal Audit organization. Additionally, Michael is our Global Blockchain Assurance partner and was instrumental in developing the first risk and control framework for Blockchain as well as our Blockchain validation software. He is an expert in risk, controls and assurance in the Blockchain space, cross industry and irrespective of use case or variant. Prior to joining PwC, Michael was the Global Director of Technology Audit for the Bank of New York Mellon. Michael is an active member in ISACA and does several speaking engagements a year in addition to being published in the ISACA Journal on emerging technology topics like Blockchain. His contributions to the profession include presenting to state boards on public accounting and various regulatory organizations to aid in shaping changes to technology auditing. | |
| Sara Vargas Chief Auditor - 3rd Parties Citigroup Internal Audit and Risk Management executive with 15 years of experience across institutional products (Treasury and Trade Solutions, Custody, Agency and Trust Services, Securities Lending, Hedge and Private Equity Fund Services, Markets Operations) in both North America and Latin America. Recognized trusted partner and advisor by audited business groups. Dynamic and proven leader of audit professionals. Participated in the design and roll out of the Internal Audit Methodology to comply with regulator's expectations. Experience supporting global audit teams covering Private Banking, Corporate and Investment Banking, Treasury and Trade Solutions, and Markets and Securities. Sara has an MS in ERM from New York University and a BA in Finance from the University of Southern Florida. | |
| Jennie Wallace Chief Audit Executive Horizon Media
Jennie is an experienced controls, audit, and business transformation leader with a passion for the profession and a lighthearted style. She has over 20 years of experience partnering with business leaders to assess, manage, and mitigate risk, and achieve business process excellence. Companies that Jennie has worked for include PwC (over 10 years), Cocoa Cola and OnDeck (a fin tech).
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