Regulatory Compliance Association Reviews



Date: June 5, 2018
General Session: 12:00 PM ET to 1:30 PM ET
Location: Webcast (Free)

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Asset Management organizations continue to face concerns from their clients and regulators on how they evaluate their risk and ongoing monitoring of the mitigating controls. This Session will provide examples of value add provided by asset management internal audit organizations as well as common topic focus areas of an asset management internal audit organization. Key focus areas of the Session also include asset management internal audit industry trends, top priorities of Boards, current, applicable regulatory priorities, and usage of emerging technology within internal audit.

Participants will be able to do the following the conclusion of this session:

  • Recognize Wealth and Asset Management industry trends
  • Distinguish top Board priorities
  • Define regulator priorities
  • Recognize internal audit focus areas
  • Identify internal audit operating models
  • Discover internal audit emerging technology

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Daniel New, Executive Director, Advisory Services, EY

Guest Lecturer

Alisa Marotta, CPA, Sr. Manager, EY

Bertram Spence, Sr. Managing Director, Deputy Chief Auditor, TIAA

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