DATE:               Friday, May 11, 2018

EVENT:             Managing and Assessing Compliance Risk (L&L)

LOCATION:       BCIT Downtown Campus 

Today, a growing number of companies across a wide range of industries are seeing regulatory compliance as central to their achievement of corporate strategy and management of reputation risk. This is not only affecting a niche of industries, but all organizations.

Recent surveys from large consulting firms place regulatory compliance as #2 on the top priorities from Audit Committees. As internal auditors, how can we improve the effectiveness of our compliance program and make sure our program adds value to our organization?

This session will provide insightful information on key emerging compliance risks to consider in your compliance risk assessment, with a specific focus on the Financial Institutions, tools and techniques to develop and apply an effective compliance framework to your organization and build a comprehensive risk-based audit program. Compliance topics covered in this session include Anti-Money Laundering, Sanctions, Consumer Provisions.

The session will be co-presented by Lorraine Wright, Head of Financial Crime Compliance Retail Banking Wealth Management at HSBC; and Jeffrey Denissen, Senior Manager, Internal Audit at Central 1 Credit Union who will share their practical experiences in managing and auditing a compliance program from their perspective, and in coordinating compliance and audit activities to enhance the compliance program.

Our Speakers

Lorraine Wright,  Head of Financial Crime Compliance for Retail Banking Wealth Management, HSBC Bank Canada

Lorraine Wright’s banking career at HSBC Bank Canada spans over 20 years.  She started in sales and customer service in the branch network, and spent several years in project management.  For the past 15 years, Lorraine has held various positions in HSBC’s Compliance Department. 

Lorraine is currently the Head of Financial Crime Compliance for HSBC’s Retail Banking Wealth Management business line, focusing on Anti-Money Laundering, Sanctions, Anti-Bribery & Corruption, and Reputational Risk.  Her role is to provide advice to business partners to enable the business to manage compliance and reputational risk, using a risk based approach. Support activities include: enhancing system and procedure controls, staff training, risk and control assessments, and governance reporting. In this role, Lorraine also focuses on emerging risks for the industry, and trends within the regulatory environment.  Her previous roles in Regulatory Compliance focused on Consumer Provisions under the Canadian Bank Act, and Privacy.

Jeffrey Denissen,  Senior Manager, Internal Audit, Central 1

Jeffrey Denissen is a recognized Chartered Accountant in the Netherlands as well as in British Columbia, Canada and draws on a wealth of insight, experience and education in the fields Finance & Control, Internal Audit, Enterprise Risk Management and Change Management. Jeffrey built his career in the Netherlands, holding various management positions with international corporations in mainly the financial industry.

After a 15-year career in the Netherlands, Jeffrey immigrated to British Columbia, Canada where he now works as Senior Manager Internal Audit for Central 1, the Credit Union Central for British Columbia and Ontario. In this position Jeffrey provides internal audit and advisory services in order to support Central 1 in accomplishing its strategic objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of the risk management, control, and corporate governance processes across the entire company.

REGISTRATION INFORMATION: To register, click link: https://www.gifttool.com/registrar/ShowEventDetails?ID=1913&EID=25602

Event Schedule: 12:00pm to 2:00pm (registration starts at 11:45am)

Registration Fees: FREE for IIA/ISACA members,  $45 for non members

CPEs: Total of 2 CPE credits