General Audit and Banking Topics (8 CPE)Would you like the opportunity to speak with a CFPB Auditor? Join us on December 4th for our third annual two track event! Our combination of general audit topics and financial institution content may be just what you need. We have multiple speakers, regulators and practitioners who will be sharing their experiences throughout the day. On the financial institution side, we have:Jim Carley from the Consumer Financial Protection Board who will be covering the exam process, including Compliance Management System (CMS) reviews. He will also touch on new mortgage regulations and their impact. For those who love COBIT 5 and integrated audits at financial institutions – or at least want to improve them - Stephen Head (Experis) will be discussing its impact. He will also review strategies for migrating to the new COSO guidance and PCI DSS 3.0 and their impact on standard audit programs, communications/reporting, and quality assurance. Nicolas Khouri and Jim Candelmo (Ally Financial) will be examining the AML challenges of online products and services in the internet banking world. Martin Amundson (Experis) will discuss the Foreign Account Tax Compliance Act (FATCA), its application, and discuss the primary components of compliance including the disclosures, forms and related taxes for this new regulation. Not a Financial Institution auditor or want some variety, we have options for you! Our general audit and technology track will kick off with Bailey Jordan who will provide an Overview of Internal Audit Trends including results from Grant Thornton’s recent CAE survey, NASDAQ internal audit requirement update, conflict mineral reporting requirements, and other hot topics. Forrest Frazier and Sara Sprague (Grant Thornton) will cover Assessing and Addressing Third-Party Risk including discussion on SOC 1 and SOC 2 reports and lessons learned. Risk Identification in Large Strategic Programs will be covered by Ray Greer and Tony Dinola (Grand Thornton). Sharon Whittle (Grant Thornton) will be discussing The Impact of Health Care Reform on different organizations and how to prepare for the upcoming employee requirements. The Role of Technology in Investigating and Detecting Fraud will be covered by Erin Lentz and lastly, Laurie Mendoza will be providing an Overview of COSO Guidance and the key changes with the new guidance. This event includes a banking track and a general audit and technology track. CPE: 8Field of Study: VariousPrerequisites: NoneAdvance preparation: NoneLevel of knowledge: Beginner to IntermediateDelivery method: Group LiveCost for IIA Members: $150Cost for Non-Members: $240
Wednesday, December 4, 2013 8:00 AM - 4:35 PM
Embassy Suites4800 S Tryon StCharlotte, North Carolina 28217
Charlotte Chapter of the IIA
140 (57 remaining)
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