Regulatory Audit Readiness: People, Processes, Technology

Regulatory Audit Readiness: People, Processes, Technology
Executive panelists will share their expertise and experiences tackling evolving regulatory expectations and regulatory audit defense practices. Each will touch on some of today's most pressing challenges facing financial institutions, ranging from Data Management and Controls, Technology, Risk Management, Cyber Security, Change Management, and Regulatory Communications/Reporting, as well as the underlying people and processes that make it all possible. Please join our PRMIA New York Chapter for this evening of discussions and networking!

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Agenda Speakers



June 20,  2019


5:00pm - 8:30pm

3 West Club
3 West 51st Street
Grand Ballroom, 2nd Floor
New York, New York  10019

  Time   Event
  5:00pm - 5:45pm
  Registration and Networking
  5:45pm - 6:00pm
  PRMIA New York Chapter Welcome Remarks
  6:00pm - 6:40pm
  Panel Introductions followed by Brief Keynotes

Panel Moderator: Michael Ivie, MD, Phyton Consulting

  • Fred Harris, Head of Cyber Security Risk, Data, and Technology Risk, Société Générale
  • Emmanuel Rickard, MD, Head of Enterprise Performance & Change, Mizuho Americas
  • Ian Montgomery, MD, Head of Regulatory Affairs, Natixis CIB
  • Don Mumma, MD, AxiomSL
  6:40pm - 7:15pm    Panel Discussion and Audience Q&A 
  7:15pm - 8:30pm    Networking Reception and Cocktails

Fred Harris, Société Générale

Head of Cyber Security Risk, Data and Technology Risk

Fred Harris is an accomplished Technology Executive with over 30 years of cross-industry experience in the Professional Services, Financial Services, Technology, Media, Telecommunications, Retail, Manufacturing, Hospitality, Performing Arts and Healthcare industries. Fred is currently the Head of Cybersecurity and Technology Risk at Société Générale. In this role Fred is responsible for the Second Line of Defense for all Technology Risk (Algorithmic Trading Risk, Cybersecurity Risk, Business Continuity Risk, Data Risk and IT Risk).

Fred received both his Bachelor of Science and MBA from NYIT where he is also an Adjunct Professor, member of the Executive Counsel for School of Management and serves on the Executive Board of the Alumni Association.

    Emmanuel Rickard, Mizuho Americas

Managing Director, Head of Enterprise Performance & Change

Emmanuel Rickard leads Mizuho’s Enterprise Performance & Change group, a team focused on leveraging company resources to drive change and explore new areas of innovation for the firm. His group spans the Data Management Office, Enterprise Program Management, and Innovation & Productivity.

Emmanuel has more than 15 years of experience implementing large-scale change initiatives in the financial services industry including: Basel Capital Framework, Financial & Regulatory Control Transformation, Location Strategy / Right-shoring, Dodd-Frank Section 165 (standards for bank holding companies and foreign banking organizations), and Comprehensive Capital Analysis and Review (CCAR).

In 2016 he joined Mizuho from Barclays where he led a number of large initiatives primarily focused on regulatory change. Prior to Barclays he was at Accenture where he was focused on delivering risk and regulatory programs for a number of large US and US global financial institutions.

A native of Ireland, Emmanuel holds a Bachelor of Science in Business Studies from Dublin City University and a Master of Business Studies from the UCD Michael Smurfit Graduate Business School.

    Ian Montgomery, Natixis Corporate and Investment Bank

Managing Director, Head of Regulatory Affairs

Mr. Montgomery is responsible for managing Natixis CIB’s relationship with its US and North American regulators, including anticipating the impact of new rules and regulations as well as managing the efforts to prepare Natixis CIB for these changes.

Mr. Montgomery has more than 25 years of experience in financial services. Prior to joining Natixis, he spent 14 years with Barclays, most recently as Managing Director, Head of Regulatory Relations – Americas, a role he assumed in 2014. Earlier he worked in consulting and banking.

Mr. Montgomery holds an MBA from INSEAD; an MA from the London School of Economics; and a BA from Trinity College, University of Toronto, Canada.
    Donald Mumma, AxiomSL
Managing Director

Mr. Mumma, who joined AxiomSL in 1998, has 20 years of experience as a financial services executive and risk management specialist with firms such as JPMorgan Chase and Toronto Dominion, where he spearheaded the firm’s entry in the U.S. energy market. He also worked for Credit Suisse, where he implemented the company’s first Global Currency Options unit and while head of the bank’s Australia/New Zealand region, acted as regional Chief Risk Officer.

An active member of several professional organizations, including the Global Association of Risk Professionals (GARP), Professional Risk Managers International Association (PRMIA) and International Association of Financial Engineers (IAFE), Mr. Mumma has published several articles on risk management throughout his career.

Mr. Mumma received his bachelor’s degree from Miami University and earned his master’s degree in Finance from The Ohio State University.
Michael Ivie, Phyton Consulting, Moderator

Head of FS Consulting
Evening Panel Moderator
Michael is a Managing Partner and the Head of Financial Services Consulting for Phyton, a specialized professional services firm that empowers data intensive businesses with subject-matter leadership and execution-focused delivery capabilities. Michael serves on PRMIA’s New York Steering Committee and the Global Finance Committee for PRMIA's Board of Directors.

Michael has over a decade of experience in Finance, Risk and Technology in both public and private sectors. His diverse background as a Trader, Developer, Analyst, Enterprise Risk Manager, and Management Consultant for many of the world’s leading financial institutions has helped him develop a unique perspective on how these organizations function and how to navigate a changing business, technical, and regulatory landscape.

Michael received an MS in Finance and an MBA in Risk Management & Insurance from Georgia State University’s J. Mack Robinson College of Business. He earned a Professional Risk Manager certification from PRMIA, Basel Compliance Professional designation from BCPA, Project Management Professional credential from PMI, and numerous professional industry licenses and data/IT certifications.

  Thank You to Our Sponsors  





This event is FREE for members and non-members, although registration is required.  IMPORTANT: Registration closes at midnight EDT, June 18, 2019. Click "Register Myself" below to reserve your spot. Make sure to click "Continue" to proceed with your registration. (If this is your first time accessing the PRMIA website you will need to create a short user profile to register.) 

6/20/2019 5:00 PM - 8:30 PM
3 West Club Grand Ballroom, 2nd Floor 3 West 51st Street New York, NY 10019 UNITED STATES

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