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Presents:

2 TRACK BOOT CAMP

Friday, May 15, 2020

                            Sessions and Speaker Details                                     

 Agenda: (subject to change)                                                                                                         

TRACK 1

IT TRACK AGENDA (8 CPE’s):

• 8:30 am - Opening Remarks (Joel Lanz – Chapter BOG Member)
• 8:40am – (~1hr) MISTI | Planning IT Audits, Risk Assessments, Frameworks, Best Practices
• 5 min break
• 9:40am – (~25 min) MISTI | IT Governance General Controls
  • (change, logical/access mgmt., ops controls, etc.. – risks and controls)
• 10:05am – (~25 min) MISTI | Business Application Controls
• 10:30 (15 min) – Break
• 10:45am – (~50min) General Assembly | Data Science
• 5 min break
• 11:30am – (~50min) General Assembly | Data Science
• 12:30 (60min) – Lunch
• 1:30pm – (~45min) MISTI | Database (Technology & Controls & Concepts)
• 5 min break
• 2:15pm – (~45min) MISTI | Network (Risk, Controls, Security, Technologies, & Concepts)
• 3:00pm – (~30 min) MISTI | BCP – Business Continuity Planning
• 3:30pm (15 min) – Break
• 3:45pm – (30 min) MISTI | Documentation, Policies, Procedures
• 4:15pm – (~1hr) MISTI | IT Audit Programs (discussion of some example audit programs provided)

BANKING TRACK AGENDA (8 CPE’s):

• 8:30am – 5 min - Opening Remarks (Jeff Speed – Chapter President)
• 8:35am – 40min - NYCB & Ernst & Young | Model Risk Management
• 5 min break
• 9:20am – 40min - Dime Bank & Ernst & Young | Conduct & Culture
• 5 min break
• 10:00am – 40 min - Ernst & Young | Cyber Resiliency (banking industry related)
• 10:40am (20 min) – Break
• 11:00am – 30 min – KPMG | Top 10 Areas of Focus (with focus on Data Governance & Compliance Agility)
• 11:30am – 20min – KPMG | FFIEC - Retail Payment Management
• 5 min break
• 11:50am – 20min – KPMG | FFIEC – BCP – Business Continuity Planning
• 12:10pm – 20min – KPMG | FFIEC – Supervision of Technology Service Providers (TSP)
• 12:30 (60min) – Lunch
• 1:30pm – 45min-1 hr – First Bank of LI & Buckram Consulting & Others | Panel discussion
• 5 min break
• 2:30pm – 45min-1hr – First Bank of LI | Regulatory Update
  • Elder Financial Exploitation Trends, Marijuana vs. Hemp Banking, Community Reinvestment Act (CRA) Updates, Data Security
• 3:30pm (15 min) – Break
• 3:45pm – 45min-1 hr - Jason Almonte / Laura Menard | Hear from an OCC Regulator! (Office of the Comptroller of Currency)

BANKING TRACK:                                                                                                          

Biography                                                  

Chris M Imperatrice, Senior Manager, Ernst & Young

Chris is a Senior Manager in the Process and Controls practice with more than 17 years of combined internal audit and accounting experience. He also serves as the practice lead for our community and regional banking clients through engagement leadership, driving go-to market efforts, being active in the several industry organizations, and hosting/participating in EY internal audit roundtables across the US.

• Chris has led multiple engagements related to Internal Audit Co-source, External Quality Reviews (EQA)s, regulatory readiness and gap assessments, Internal Audits, Sarbanes-Oxley 404 control testing remediation and PMO responsibilities. Engagement scopes include areas related to Risk Management (i.e. ERM, Model Risk Management), Compliance (i.e. BSA/AML, FCRA, Compliance Program), Lending, Servicing, Finance, and IT.

• Chris has led several EQAs of the internal audit functions of global and regional financial institutions. This has included evaluating internal audit methodology, people and infrastructure, leading/participating in stakeholder interviews, developing and analyzing IA staff surveys and providing feedback on regulatory guidance and maturity assessments.

• Chris has played a key long-term roles in the overall assessment and rebuilding of IA and SOX functions at community and regional banking institutions, leading some teams that were in excess of 15+ resources. Examples of work performed include developing and identifying the audit universe, risk assessment criteria and ratings definitions, quality assurance and improvement programs, issue remediation policies and procedures and audit committee reporting documentation.

Janet Shand, Senior VP, Model Risk Management Manager, NYCB – to present on model risk management

Janet Shand serves as Senior Vice President and Head of Model Risk Management at New York Community Bank (NYCB), having total assets of $53 billion, where she has worked for over twenty years in increasingly responsible positions in Model Risk and Enterprise Risk Management, Sarbanes-Oxley compliance, and regulatory reporting.  Currently, Ms. Shand manages the day-to-day implementation of the MRM Policy and Framework, including oversight of Model Governance and Model Validation.  She chairs the Model Risk Committee and is the point person for regulatory exams and internal and external audits.

Prior to heading MRM, Ms. Shand managed ERM Governance wherein she developed processes for risk identification, including business owner Risk and Control Self Assessments (RCSAs); key risk indicators (KRIs) and a related ERM Dashboard for risk monitoring; and a process for escalation and reporting.  

Over time, Ms. Shand evolved NYCB’s ERM Program to include a common risk language for use throughout the organization; alignment of the Strategic Plan, Risk Appetite Statement, budget, and stress testing processes; a quantitative and qualitative approach to risk aggregation; and integration of risk with performance management to enable an integrative and holistic approach to risk management.  

Prior to joining NYCB, Ms. Shand served in the assurance practice at KPMG, LLP for financial services clients.  She is also a C.P.A. and Certified Basel iii professional.  She holds a Bachelor of Science in Accounting from St. John’s University. 

Jim Gannon, Managing Director, Ernst & Young, Advisory Services – to present on model risk

Jim Gannon is a Managing Director in the Advisory Services practice of Ernst & Young LLP.  He has over 15 years of experience in the financial services industry specializing in internal controls, quality reviews, Enterprise Risk Management (ERM), Model Risk and corporate governance including SOX 404, SAS 70s, and has worked extensively with banks, government sponsored entities (GSEs), depositories, exchanges, clearing houses, investment banks, investment advisors and broker-dealers. Prior to joining Ernst & Young, Jim worked at the New York Stock Exchange as a Financial & Operational Examiner in the Member Firm Regulation Department. During his time at the NYSE, Jim took part in over 20 audits of member firm broker/dealers as well as assisting in the audits of floor brokers. His Financial/ Operational reviews encompassed Books and Records, Net Capital (15c3-1), Reserve Requirement (15c3-3), Sales Practice and Anti-Money Laundering

Robert (Bob) Mensing, SVP, Chief Audit Executive – to present on conduct/culture

Bob Mensing has several years of broad based internal and external auditing experience, currently as the SVP – Chief Audit Executive for Dime Community Bank in Brooklyn, New York. Prior to joining Dime, Bob was a New York-based Senior Manager in BDO USA, LLP’s Risk Advisory Financial Services practice. In this role Bob served as the NYC metro-area practice leader specializing in internal audit advisory services.

During his career, Bob has gained significant experience in building out internal audit departments (BNB) developing and implementing internal audit methodology and internal audit quality assurance programs (MUFG Union Bank, N.A. and North Fork Bank/Capital One Bank); performing quality assessments and benchmarking internal audit practices; developing risk management systems; and, developing and implementing internal control processes and procedures.  Much of this experience was obtained during his tenure as a New York based Manager within Ernst and Young (EY) LLP’s Advisory Services practice, where he consulted with the internal audit departments for many of the most significant U.S. based financial services institutions.

Having started his career with KPMG’s Long Island office assurance practice as an external auditor with multiple specialties, Bob would move on to roles of corporate controller for two Long Island hospitals prior to establishing his career in financial services.

Bob graduated Cum Laude from Long Island University – C.W. Post College with a Bachelor of Science degree in Accounting.  Bob is credentialed through The Institute of Internal Auditors (IIA) as a Certified Internal Auditor (CIA) with a Certification in Risk Management Assurance (CRMA); and, through the American Bankers Association (ABA) as a Certified Regulatory Compliance Manager (CRCM).

Bruno Prospero, Sr. Manager, EY, FSO Internal Audit Practice – to present on conduct/culture

Bruno is a Senior Manager in the EY Financial Services Internal Audit Practice. He has 11 years internal audit and risk experience in financial industry and operates in charge of Internal Audit, SOX 404 and internal controls engagements, mostly for retail and investment banks, including foreign banking organizations. Bruno has diverse experience in supporting different business and supporting lines throughout financial organizations. Bruno started his career at KPMG Brazil, focusing on the local Financial Services market before joining EY Brazil in 2011. In 2015, Bruno was the selected auditor in Brazil to be part of a 6 months secondment in EY New York Office with the goal to bring back home US market and IA experience. He permanently transferred to the US Firm in 2016. Bruno holds a Bachelor Degree in Business Administration and is a Certified Risk Professional.

Michael Birjah, Manager, Ernst & Young – FSO Cyber Risk Team – to present on resiliency

Michael Birjah is a manager in the technology risk practice of EY, focusing specifically on cyber and cloud risk. He has been at Ernst & Young for over 5 years, servicing major clients in the Financial Services Industry, including banking and capital markets, broker dealers, wealth and asset management, and insurance sectors. Michael has managed multiple cyber and cloud security assessments, and internal audits for some of the largest public and private financial institutions globally. He performed risk, control and maturity assessments, and designed control testing strategies across critical security and cloud domains. Michael has also managed multiple control and maturity assessments, and audit alignment based on industry and regulatory frameworks. Michael has also managed multiple end-to-end cybersecurity and cloud program assessments using EY’s proprietary assessment tools for some of the largest global financial institutions.Michael graduated from New York University in 2014 with MS/BS in Accounting and BS in Information Systems).

Brooks Askew, Manager, Ernst & Young, FSO – to present on resiliency

Brooks Askew is a Manager in Ernst & Young’s Financial Services Organization with industry experience in Financial Services focused on Technology Strategy, Business Continuity and Disaster Recovery Planning, and Resiliency and Recovery Services. Brooks has participated in projects focused on Business Continuity, Crisis Management, IT and Cloud Risk Controls, compliance frameworks, Governance solutions, Current state/future state assessments, risk management, agile methodology and IT audits.  Using his prior experience as an officer in the US Army, Brooks has experience advising C-Suite and senior technology leaders in designing and deploying operational frameworks, operating models, policies and standards to improve service delivery and quality using a risk-based approach to iterate improvements in the environment. Focused on translating regulatory requirements and industry leading practices to build resiliency capabilities aligned to FFIEC, FINRA, NIST 800-53, ISO 27001/23001, SOC2 and COBIT standards and frameworks.

Michael J. Scarpa, Director KPMG

Michael is a Director in KPMG’s Regulatory Risk practice. During his tenure at KPMG, Michael has provided legal and regulatory information and analysis to clients and more senior staff at the firm while also working on Basel III/market risk gap testing, Federal Reserve Exam Readiness, Regulation W, and Corporate / Regulatory / Commercial Bank obligation drafting/policy mapping engagements. Michael has also worked extensively with the Project Management Office (PMO) for a global regulatory obligations drafting and policy mapping engagement with a Large US Bank. While working within the PMO, Michael served as a subject matter professional and workstream lead for the commercial banking and corporate and regulatory divisions. In his role as workstream lead, Michael assisted with the successful implementation of a large bank rules management process. 

Prior to joining the firm, he was both regulatory and associate general counsel to an institutional broker-dealer and a regulatory analyst/consultant for financial institutions. He has a strong background in financial institution legal and regulatory concerns, specifically in regulatory obligation drafting and mapping to policies, asset liability management, interest rate risk management, liquidity risk management, examination and supervision, Regulation W, and Basel III.

During his tenure with the broker-dealer, Michael worked closely with a former national bank examiner from the Office of the Comptroller of the Currency (OCC) in assessing regulatory risk as well as the firm’s general counsel with regard to contractual drafting/interpretation issues that the firm faced in its loan sale/participation transactions.

Michale holds his JD from Hofstra University School of Law, BS, Cornell University, Economic Policy Analysis and Management, and is an Admitted Attorney in NY state and federal court (Eastern District)

William G. Canellis, Director KPMG 

Bill is a Director in KPMG's Financial Services Regulatory Advisory practice with over 27 years of management consulting and business experience, including seven years as a bank examiner with the Office of the Comptroller of the Currency (OCC).  The primary focus of his work centers on assisting banking clients with issues or concerns related to regulatory-related matters or recommendations.  Emphasis has been placed on providing added-value, advisory services for several high-profile clients to strengthen and improve the quality of their risk management practices, internal controls and/or safety and soundness profile. 

Bill has broad experience in bank regulatory supervision including specialization in funds management, capital management, regulatory reporting, transactions with affiliates, asset quality for loan and investment portfolios, fiduciary activities, mutual funds, privacy and compliance. 

Bill holds a MBA from Seton Hall University, a BA from Rutgers College / Rutgers University, is a Certified Information Privacy Professional, and a Certified Financial Services Auditor.

Janet Verneuille, EVP & Chief Risk Officer - First of Long Island Bank

Ms. Verneuille is a Certified Public Accountant currently serving as the Executive Vice President and Chief Risk Officer of The First National Bank of Long Island (Nasdaq: FLIC). Based in Glen Head NY, she joined the Bank in June 2019. In 2012, Janet has served as EVP & CFO of Empire National Bank

Janet devoted her most valuable banking years to being a senior financial executive and CFO. Her leadership roles include financial and tax reporting, budgeting, capital management, strategic and tactical planning, treasury, investment portfolio management, investor relations, human resources, loan administration, asset-liability, interest rate risk and liquidity management, municipal banking relationship manager, internal auditing and risk management.

Through her career, she’worked in a branch operations role at European American Bank, public accounting, and worked in education & governament roles.  At a certain point of her career, she served as the Director of Business Operations and Treasurer of the Sag Harbor Union Free School District. She also served as the Comptroller of the Town of East Hampton assuming responsibility for the Town’s fiscal affairs.  Janet has served as the EVP and CFO of Bridge Bancorp, Inc., a holding company for The Bridgehampton National Bank, in addition ro a role as Director of Internal Audit, VP and Comptroller and promoted to SVP & SFO. 

Ms. Verneuille completed postgraduate requirements for her New York State School District Business Leader administrative certificate, a Masters Degree in Social Policy at Empire State College as part of the State University of New York.  In additnon Janet graduated from Hofstra University with a BBA- Public Accounting Degree. She also holds an Associate Degree in Applied Science Accounting from Suffolk Community College. Janet is a member of the AICPA.  Janet was appointed to the Executive Board of the Suffolk Chapter of the Association of New York State Certified Public Accountants. She has also served as the Chapter’s Chairperson for the Members in Industry committee since June 2013.

Jane M. DeBuona

Jane has been the President of Buckram Consulting LLC since 2007. Buckram is an independent consulting firm specializing in providing consulting & internal audit services to community banks in the New York metropolitan area.

Prior to Buckram, Jane was the former Chief Audit Executive for North Fork Bank (15 years). In this capacity, she restructured the internal audit function and ultimately managed a staff of forty persons in five states. Implemented a scalable internal audit approach tailored to meet the Bank’s changing risk profile. Developed risk-based, comprehensive corporate audit plan for Financial, Information Technology, Compliance audit segments.  She has extensive background in working with various regulatory agencies, including the Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, New York State Department of Financial Services and, Federal Reserve Bank of New York.  Prior to North Fork, she was a former audit senior manager with KPMG LLP (10 years), specializing in financial services clients. Jane is a CPA and member of the AICPA and the Institute of Internal Auditors

Tanweer S. Ansari, Esq., CAMS, CRCM, CFCS

 Tan is Senior Vice President and Chief Compliance/BSA/CRA Officer of First National Bank of Long Island.  He brings to his current position a broad base of experience in banking operations, compliance and the law. 

Tan maintains many leadership roles that involve both banking issues as well as community issues: 

•             Chairman of the New York State Bar Association Banking Law Committee (2016-2019)

•             Member of the Business Law Section Executive Committee

•             American Bankers Association Regulatory Compliance Conference Advisory Board

•             Adelphi University Robert B. Willumstad School of Business Advisory Board

•             Vice President of the Long Island Banks Compliance Association.

•             NYC Community Education District Council 26 Councilmember.  

He regularly speaks and writes about about banking regulatory issues and financial literacy at both local and national conference events.  Tan is also a 2018 Honoree for the Executive Circle Award sponsored by the Long Island Business News.  The Executive Circle Awards celebrates c-suites, directors and other senior level executives who consistently demonstrate remarkable leadership skills, integrity, values, vision, commitment to excellence, company performance, community service and diversity. Prior to joining First National Bank of Long island, Tan served as Associate General Counsel at Bethpage FCU, one of the largest credit unions in the country. At Bethpage, he led a team of internal and external professionals to address the full spectrum of corporate compliance and legal matters and projects.  This included serving as Chair of the organization’s Compliance Oversight Committee which managed the compliance infrastructure at Bethpage’s correspondent services operations centers in Maryland and Colorado.  Before Joining Bethpage, Tan held positions at Commerce Bank (now TD Bank) and the Office of the Attorney General of New York.

CREDENTIALS / EDUCATION

•             Union College: BA, Law & Public Policy/English

•             Robert B. Willumstad School of Business of Adelphi University: MBA, Management, Concentration: Human Resources, MS,

•             Maurice A. Deane School of Law at Hofstra University: Juris Doctor, Concentration: International Law

•             Admitted to United States Supreme Court Bar and New York State, Certified Anti-Money Laundering Specialist (ACAMS), Certified Regulatory Compliance Manager (CRCM), Certified Financial Crime Specialist (CFCS)

Drew Bach, VP and BSA Manager First National Bank of Long Island

As a Vice President and BSA Manager for The First National Bank of Long Island, Drew plans, organizes, and controls the Banks day-to-day administrative and operational BSA compliance activities. He participates in various audits, reviews, and examinations, and collaborates with the Bank Secrecy Act/OFAC Officer, Privacy Officer, and Chief Compliance Officer. Other responsibilities include oversight of the AML Program as well as training different business areas to foster understanding of regulatory compliance requirements. He conducts internal/external BSA and Fraud related investigations and reports to Management on appropriate corrective actions needed.  Drew has been an active and certified member of ACAMS since 2010, as well as a member of the executive board of the New York Chapter of the Association of Certified Anti-Money Laundering Specialist.  His credentials also include the American Bankers Association's designation of CRCM, Certified Regulatory Compliance Manager, and a Juris Doctorate Candidate.

Jason Almonte, Special Counsel,

Office of the Comptroller of the Currency, US Treasury Department

Learn about the intersection between legal and enforcement issues on various matters encounterd from the OCC and aududit-related matters.  Hear about some of the current regulatory hot topics, operational risk (from emerging technologies and persistent cybersecurity risks), credit risk (and the effects of a potential cyclical downturn), interest rate risk (which is increasing due to, in part, volatility in market rates and recent yield curve inversions).  We may discuss topics including but not limited to, LIBOR, strategic risk (from Non-Depository Financial Institutions (NDFIs) and emerging technologies), CECL Implementation, Enforcement Actions / Trends involving Audit, and the OCC Resources regarding Audit Expectations for Community Banks. 

Laura Menard, Analyst to the Assistant Deputy Comptroller,

Office of the Comptroller of the Currency, US Treasury Department, New York Field Office

With just over 10 years with the Office of the Comptroller of Currency Office (OCC), Laura has climbed through the ranks and is a National Bank Examiner – with experience in New York & Seattle.  Laura graduated from American University with a Bachelor’s Degree in Business Administration and Management.

IT TRACK:                                                                                                                          

Biography                                         

Thomas Salzman, CISA, ITIL - MISTI

Thomas Salzman, Senior Instructor for MISTI, is the IT Audit Manager for Illinois State University, where he manages all computer audits conducted by the University. His responsibilities include working with educational, athletic, and administrative departments throughout the University to prepare and streamline and improve IT processes, computer security, IT policies and procedures, operational processes and internal controls; and develop methodologies for managing computer resources.  His work requires him to be skilled in network controls, application management, computer intrusion, security management, and application design and development.

Previously, Mr. Salzman was Director of Professional Services for the Information Systems Audit and Control Association (ISACA) where he was responsible for establishing and supporting its worldwide network of educational programs, conferences, and special events; as well as authoring the Professional Seminar Series of diverse educational offerings. He also served as editor and co-author of the ISACA CISA Review Manual. Prior to joining ISACA, Mr. Salzman was with Coopers & Lybrand, heading their Technical Training and Information Security practices.  Tom also served on the faculty of DePaul University, authoring and presenting undergraduate and post-graduate degree programs.

A much in-demand speaker, Mr. Salzman teaches a variety of computer and audit topics worldwide. He also tracks and presents numerous CISA review courses.  To broaden his support of the IT audit profession, Tom also presents a range of topical webinars for MIS Training Institute.

In addition, his consulting practice has assisted a number of organizations develop cost-effective internal IT audit functions.

Mr. Salzman is a recipient of the College and University Auditors Excellence in Service Award.

Jonathan Bechtel, General Assembly & Kismet Analytics

Jonathan Bechtel is the head Data Science Instructor at General Assembly where he teaches python programming, data visualization and statistical modeling.  He's led over 450 workshops in these areas to students and companies in fields as diverse as private equity funds, hedge funds, and top 100 tech firms such as Google and Uber.  He is currently the technical lead at Kismet Analytics, where he oversees operations for their data science team. 

This workshop is designed to deliver first-hand, on-the-ground insight into what Data Science is and how it works.  Along the way we'll answer the most fundamental questions people need to know about working in the field.  The foundational skills, current technologies that you have to master, as well as sample workflows will all be covered in the presentation, with working examples, so participants can see up-close what the field currently looks like