Compliance Executive Breakfast
As the role of compliance continues to grow in importance and scope, Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission will address this topic and lead a discussion with senior compliance executives who will share their perspectives on the increasing regulatory pressures on management and staff that are responsible for compliance. This lively and informative session will provide a forum on the proactive role of the compliance function to facilitate the escalation of issues across the enterprise, the importance of communications and the assurance that firms are meeting regulators' expectations while mitigating risk, whether it's in policies, procedures, training, monitoring activity, or investigation.
Compliance topics that will be addressed include:
- The integration, consolidation and coordination of regulatory bodies and the intersections of regulatory responsibility.
- Perspectives on examination priorities of the largest institutional and retail broker-dealers.
- Increased regulatory scrutiny of current compliance risks that impact financial institutions and the distribution of accountability to compliance managers.
- The use of available information and technology to automate and enforce compliance policies and procedures; promote the best use of scarce resources; and, focus on areas of greatest risk to investors.
- Access to policies and procedures at a specific point in time that an adverse event occurred. Challenges this presents to both the regulators and the institutions.
Please join us:
Wednesday, June 13, 2007
8:00 a.m. - 10:00 a.m
Harvard Club of New York City
35 West 44th St.
New York, NY 10036
This is an invitation-only, complimentary breakfast with prominent senior compliance and risk executives in financial services. Space is limited, so register today.
Featured Speakers
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Date/Time
Wednesday, June 13, 2007
8:00 a.m. - 10:00 a.m
Venue
Harvard Club of New York City
35 West 44th St.
New York, NY 10036
Agenda
| 8:00 - 10:00am | |
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| 8:00am | Registration and buffet breakfast |
| 8.30am | Introduction to the morning's program |
| 8.45am | Mary Ann Gadziala, Office of Compliance Inspections and Examinations, U.S. SEC |
| 9.30am | Linda Wolosz, QUMAS |
| 9.45am | Interactive discussion with audience participation. | 10.00am Close |
About Our Speakers
Mary Ann Gadziala
Associate Director, Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission
Mary Ann Gadziala has over twenty-five years experience in financial services regulation and markets with significant expertise in banking and securities. She is currently Associate Director, Office of Compliance Inspections and Examinations at the U.S. Securities & Exchange Commission, where she heads up the inspection and examination programs for broker-dealers and stock exchanges to enforce compliance with federal securities laws. Priority areas include risk management, internal controls, comprehensive compliance, sales practices, net capital, and anti-money laundering. She has also served as Senior Adviser and Associate Director in the Division of Market Regulation, and Senior Counselor to the Chairman at the SEC. Prior to joining the SEC, Ms. Gadziala was Assistant General Counsel for Banking and Finance at The Treasury Department. She was also General Counsel of the RTC Oversight Board and an attorney in the General Counsel's Office of The Federal Reserve Board. She received her B.A. degree with honors from the State University of New York, her J.D. degree with honors from Albany Law School, and completed the program for Stonier Graduate School of Banking with the publication of her thesis on The Relationship Between Investment and Commercial Banking. Ms. Gadziala is the author of a number of published articles and papers, and the recipient of numerous awards and honors, including the Treasury's General Counsel's Award, the SEC Chairman's Award for Excellence, the SEC Capital Markets Award, and the SEC Career Award for Examination Excellence.
Linda Wolosz
Senior Compliance Advisor
QUMAS
Linda Wolosz is a Senior Compliance Advisor in the Financial Services practice at QUMAS with expertise in risk-based monitoring and compliance.
With over 30 years experience in the financial industry, specializing in internal audit within the commercial and investment banking arenas, Linda has knowledge of a broad spectrum of financial products and services and related risk-based control processes.
Prior to joining QUMAS, Linda developed and managed an AML compliance consulting practice at Prime Associates, a provider of AML software, where she worked with clients to develop policies, procedures, AML customer risk models and assisted with compliance related aspects of application implementations
From 1988 to 2005, Linda developed and managed internal audit departments in the international banking environment at Credit Agricole and WestLB. Prior to 1988, Linda worked at Bankers Trust splitting thirteen years between internal audit, trading floor support management, and foreign exchange trading system implementation.