Internal Audit Seminar
Virtual
 
Details
December 3, 2024
Virtual

Brochure
Register by Individual
Register by Bank
 
Agenda
Program: 8:30 a.m. - 4:30 p.m.
Lunch: 11:45 a.m. - 12:45 p.m.
 
Program Content

This internal audit seminar is specifically targeted for internal audit, compliance, and risk personnel in your financial institution. The purpose of the conference is to share tools and techniques intended to help internal audit and related professionals respond to the constant changes and challenges in the banking industry. This seminar incorporates practical audit strategies, best practices, and case studies while also providing valuable reference materials.

Topics to be Covered

  • Auditing Electronic Funds Transfer
    • Overview of the Electronic Funds Transfer Function
    • Internal audit objectives and procedures related to:
      • Wire Transfers
      • Automated Clearing House (ACH)
      • National Automated Clearing House Association Self-Audit
  • Auditing Asset/Liability Management
    • Interest Rate Risk (IRR) Management Administration
    • IRR Management Operations
    • Liquidity
  • Auditing Third-Party Risk Management
    • Overview of the Third-Party Risk Management Functions
    • Internal audit objectives and procedures related to:
      • Initial Due Diligence and Third-Party Selection
      • Ongoing Due Diligence
      • Vendor Termination
      • Governance and Oversight
  • Auditing Model Risk Management
    • Overview of regulatory requirements
    • Discussion of evolving expectations and industry perspectives
    • Idenitification of the critical components of managing an effective model risk management program
    • Application of prescriptive approaches to model management
  • Data Analytics and Data Governance
Presented by

Dave Dahlheimer, CFIRS, CSM
Dave is a Manager in Crowe LLP's Consulting group with significant experience working with financial services companies providing outsource and co-sourced internal audits, Sarbanes-Oxley (SOx) & FDICIA Compliance, and regulatory compliance (primarily 12CFR9) for financial institutions located nationwide. He has worked with a wide variety of financial institutions ranging from regional Bank Wealth Management Departments, state licensed Independent Trust Companies and Family Offices, to large complex organizations nationwide.

Diana Gonzalez, CPA
Diana is one of the leaders in Crowe's Southeast and Mid-Atlantic Consulting practice with a focus on operational internal audits for financial institutions. Diana is a Senior Manager with over 10 years of experience in internal audit and managing engagements for financial service organizations. Her financial services experience includes banks, credit unions, corporate credit unions, mortgage originators and servicers, and finance companies. Typically, her clients are medium public and non-public clients or smaller clients within the financial industry.

Taylor Siebert, CRISC, CSM
Taylor Siebert is a Manager in Crowe's Financial Services Internal Audit practice, with a concentrated focus on data and data governance internal audits. In her current role, Taylor focuses her time on supporting the various data governance internal audits and data analytics performed for the Firm's financial institution clients. She has worked with clients of all complexities supporting the testing of data initiatives, as well as testing management's remediation of known data weaknesses. She is also the product owner for Crowe's internal audit data analytic solution which is leveraged for data-driven insights during an audit. Taylor is a key contributor to Crowe's data initiative whereby data is integrated into business processes to optimize effectiveness and efficiency.

 
Who Should Attend
This session is intended to benefit internal auditors, compliance officers, and second-line officers who are responsible for reviewing and monitoring corporate governance, electronic funds, asset-liability management, third-party risk management, model risk management, and data governance.
 
Registration Fees
**Program fees are based on bank asset size. There is no limit on the number of people that can attend the virtual session from your financial institution. Please login and register one person from your bank and pay based on your bank’s asset size. Then email all other attendees (include attendee’s first and last name, bank location and e-mail) to Natalie Wareham at nwareham@ksbankers.com so that additional attendees can be registered free of charge to receive their own link and login information for the session.

*This program will NOT be recorded, therefore there will not be a 30-day replay or OnDemand offered.