Half-day, in-person Learning Event
Wednesday, November 13, 2024
1:00 p.m. – 4:30 p.m. EST
NYC Bar Association
42 West 44th Street, New York, NY
Sponsored by
STOUT
Registration
Reserve your seat today. Register on the AIBACP Website: aiba-us.org
AGENDA
2025 Outlook
Regulatory Perspectives,
Risk, Compliance, Audit Challenges and Practical Strategies
Understanding and prioritizing risk, compliance and audit practices continue to be among the greatest challenges for modern international financial services organizations.
On November 13, 2024 representatives of U.S. regulatory agencies will join subject matter experts from Stout and the international banking community to address critical topics, challenges and practical strategies to overcome them.
1:30 – 1:35 p.m.
Welcome
Michele M. Fleming, Chair, AIBACP
1:35 – 2:25 p.m.
Session 1- Outlook 2025: Regulators’ Perspectives
U.S. regulators will provide insight and expectations for the year ahead.
Moderator: Kyle Daddio, Managing Director, Stout
Panelists:
Beverly Jules, Compliance Risk Program Lead, Large Foreign Banking Organizations Officer,
Supervision Group, Federal Reserve Bank of NY
Brandon Christensen, National Bank Examiner, Office of the Comptroller of the Currency
2:25 – 2:35 p.m. B r e a k
2:35 – 3:25 p.m.
Session 2- Overcoming Operational Challenges- Institutional Perspectives
International bank SMEs will explore challenges and provide practical strategies for implementing
robust risk, compliance and audit programs.
Moderator: Uday Gulvadi, Managing Director- Regulatory and Financial Crimes Compliance,
Stout
Panelists:
Leanne Mascarenhas, Director of Internal Audit, Barclays
Andrew S. McAdams, Designated BSA/AML Officer, Nordea Abp, New York Branch
Anna Walters, Head of First Line Operational Risk, U.S. Internal Control, Scotiabank
3:25 – 3:35 p.m. B r e a k
3:35 – 4:25 p.m.
Session 3- Third Party Risk Management and Cyber Resilience
SMEs will discuss the impact of anticipated changes.
Panelists:
Pawneet Abramowski, CEO and Founder, PARC Solutions
Uday Gulvadi, Managing Director- Regulatory and Financial Crimes Compliance, Stout
4:25 – 4:30 p.m.
Closing Remarks- M. Fleming
Our Presenters
Pawneet Abramowski, CEO and Founder, PARC Solutions
After a thriving career in various sectors, Pawneet Abramowski, a recognized compliance and risk management executive, established PARC Solutions, a business strategy development advisory firm. She previously served as the Managing Director, Head of Financial Crimes Risk Management at The
Bancorp and grew that practice into what today is the company’s Financial Crimes Risk Management unit. Ms. Abramowski has over 21 years of comprehensive achievements in the public and private sectors, with a special focus in compliance, risk management and law enforcement. She holds an MBA in Management from Adelphi University’s Robert B. Willumstad School of Business and a MA and BA in Government and Politics from St. John’s University. Pawneet serves as board director at ACAMS New York Chapter.
Brandon Christensen, National Bank Examiner, Office of the Comptroller of the Currency
Bio to follow.
Kyle Daddio, Managing Director, Stout
Kyle Daddio is a Managing Director in the Disputes, Claims, & Investigations group, where he specializes in financial crime compliance and securities regulation. Kyle’s expertise includes designing and implementing AML, KYC, Trade Surveillance, and Sanctions programs for global financial institutions
including banks, broker dealers, investment advisors, fintechs, payment processors, and money service businesses. Kyle is experienced in assessing financial crimes compliance programs, identifying gaps and regulatory issues, and providing meaningful solutions. He assists financial institutions in efforts to remediate their AML programs due to pending enforcement actions and in response to consent orders. He has been an AML expert and liaison to investigators from federal, state, and local agencies, such as the Securities and Exchange Commission, FINRA, National Futures Association, Commodity Futures Trading Commission, U.S. Department of Treasury, and Southern District of New York.
Uday Gulvadi, Managing Director- Regulatory and Financial Crimes Compliance, Stout
Uday Gulvadi is Managing Director- Regulatory and Financial Crimes Compliance and co-leads Stout’s Regulatory Compliance and Financial Crimes practice, nationally. Uday is a financial crimes, internal audit, and risk advisory practice leader with over 20 years of experience. He specializes in advising boards, audit committees and senior management on their most challenging financial crimes compliance, governance and risk and compliance matters including enterprise risk management, AML and sanctions program governance, model validations, risk-based internal audits, information technology, and cybersecurity audit and controls. Uday’s clients have ranged from some of the world’s largest banks and financial institutions to smaller financial services companies.
Beverly Jules, Compliance Risk Program Lead, Large and Foreign Banking Organization (LFBO) Function Supervision Group (SG), Federal Reserve Bank of New York
Beverly is the Compliance Risk Program Lead of the LFBO’s Function’s Risk and Analysis Department within the Supervision Group. She is responsible for managing the corporate compliance team that assesses the corporate compliance program of three large domestic and all foreign-owned firms with
U.S. Operations in the Second District. This also includes monitoring compliance with resultant enforcement actions. Since 2005, Beverly had been responsible for assessing the Bank Secrecy Act/Anti-Money Laundering compliance program of financial institutions as a member of the Supervision
Group’s Anti-Money Laundering (AML) Unit. She has served as an instructor in SG’s training programs and AML seminars offered through the Federal Reserve’s International Training and Technical Assistance Program. In addition, she has been a panelist in industry conferences. Beverly joined the Bank in 1992 as a specialist in operations, accounting and audit. Prior to joining the Bank, she was an internal auditor at Chase Manhattan Bank for 6 years. A Certified Public Accountant, she holds a B.S. degree in Accounting from Marymount Manhattan College and an MBA in Finance and Information Systems from New York University.
Leanne Mascarenhas, Director of Internal Audit, Barclays
Leanne is a portfolio manager in Internal Audit at Barclays, covering Technology, Cyber and AI. With 12 years of experience at Barclays, she also worked as an external auditor/IT security consultant at Ernst and Young and as a software developer at Siemens Healthcare. Leanne holds a master’s degree in engineering management from Syracuse University and is CISA and CISSP certified. Additionally, she chairs the Barclays Asian Employee Resource Group.
Andrew S. McAdams, Designated BSA/AML Officer, Nordea Abp, New York Branch
Andrew is a compliance professional specializing in financial crimes compliance. He is a licensed attorney, graduating from the Ohio State University Mortiz School of Law. He began his career as a consultant with Promontory Financial Group. At Promontory he primarily worked on program design and development. Previously, Andrew served as a Chief Compliance Officer at China CITIC Bank International Ltd., and designated BSA/AML & OFAC Officer at Agricultural Bank of China, New York Branch. Currently, he is the designated BSA/AML Officer for Nordea Abp, New York Branch. He enjoys reading and writing primarily on the topics of governance, risk management, and compliance. Most recently he completed reading American Icon: Alan Mulally and the Fight to Save Ford Motor Company.
Anna Walters, Head of First Line Operational Risk, U.S. Internal Control, Scotiabank
Anna is the Head of First Line Operational Risk at Scotiabank, where she oversees the New Initiative Risk Assessment, Risk & Control Self-Assessment, Third Party Risk Management, Operational Resilience and Operational Risk Assessment, and KRI processes in Internal Control. Anna previously worked in Internal Audit at Scotiabank, first as a Director for various control function group audits, and then as Internal Audit Chief Operating Officer for Global Banking and Markets. Prior to Scotiabank, Anna served as Chief Audit Executive at Pzena Investment Management, a global investment management firm. She is passionate about Diversity, Equity and Inclusion, and sits on Scotiabank’s DEI Council. She also continues to be
active in the Internal Audit community and serves as Executive Vice President of the Institute of Internal Auditors NY Chapter. Anna holds a BA from New York University and is a Certified Internal Auditor and Sommelier.
CPE Credits
3 CPE credits will be awarded to members attending this seminar
Registration
aiba-us.org
Questions?
Rose Napoli- 917-273-0459 I rosenapoli23@gmail.com
aiba-us.org