Internal Audit for Registered Investment Advisors | Securities Industry and Financial Markets Association (SIFMA) | 13 June 2017 | New York, NY, United States
Venue
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| Event Date | Tue Jun 13 EDT (over 7 years ago) |
| Location | New York, NY, United States |
| Region | Americas |
Details
Functioning as a registered investment adviser (RIA) today requires constant situational awareness. The RIA must manage data and service providers, and manage its relationships with regulators who are overseeing the interest of the investing public. Attend and hear our speakers, who come from some of the major financial institutions to share with you their experience. The sessions below are planned to help the international auditor learn about and become better acquainted with the tools to accomplish his or her mission.
Speakers
Marty Breheny
Managing Director, International Audit
Guggenheim Partners
Kang Chan
Audit Data Analytics Lead
JPMorgan Chase & Co.
Chris Vardeleon
Vice President
The Blackstone Group LP
Gene Feyl
Head of Global Investment & Financial Audit
Vanguard Group, Inc.
Patrick Deaton
Chief Operating Officer, NBAIM & Head of Operational Due Diligence, NB Alternatives
Neuberger Berman
Kevin Li
Director of IT Audit
Guggenheim Partners
Jim Gribbin
Senior Vice President, Head of Internal Audit
Neuberger Berman
Sridhar Adepu
Senior Audit Manager, Executive Director
JPMorgan Chase & Co.
Betram Spence
Senior Managing Director, Deputy Chief Auditor
TIAA Financial Services
Scott Hignett
Executive Director, Internal Audit
JPMorgan Chase & Co.
Dave Grumer,CPA
Partner
CitrinCooperman
Conference Chair
Sponsors & Partners
National Registry of CPE