Regulatory Audit Readiness: People, Processes, Technology

Regulatory Audit Readiness: People, Processes, Technology
Throughout the course of the evening, Speakers and Panelists will share their expertise and experiences in keeping abreast of evolving expectations in regulatory auditing. Each will touch on aspects ranging from technology and data to the underlying people and processes that make it all possible. Topics covered include: Regulatory and Shareholding disclosures, Enhanced requirements for liquidity risk management (2052a and NSFR reporting), Capital planning and stress testing, Expectations for data management and control standards.

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Agenda Speakers



May 14,  2019


5:00pm - 8:00pm

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

  Time   Event
  Registration and Welcome by Ken Radigan, CEO, PRMIA
  7:00pm-8:00pm    Networking and Cocktails 

  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, Evening Panel Moderator

Head of FS Consulting, Phyton Consulting 
Michael is a Managing Partner and the Head of Financial Services Consulting for
Phyton, a specialized professional services firm that empowers data intensive
businesses. Michael serves on PRMIA’s New York Steering Committee and the Global
Finance Committee for the 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 a Master of Science in Finance and an MBA in Risk Management and
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, and Project Management Professional credential
from PMI.

Thank You To Our Sponsors

 Membership Type Price

This event is FREE for members and non-members, although registration is required.  IMPORTANT:  Registration at the door is not an option due to building security requirements. You must be registered in advance to attend this event.  Registration closes at 3:00 p.m. EDT on Wednesday, March 20, 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.) Save on registration by becoming a member

5/14/2019 5:00 PM - 8:00 PM
3 West Club Grand Ballroom, 2nd Floor 3 West 51st Street New York, NY 10019 UNITED STATES

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