The Three Lines of Defense – A Perspective from our USA Risk Colleagues – Webinar

10:00 AM AEST 11:00 AM AEST
RMA Australia
Event closed
16
Sep

The Three Lines of Defense – A Perspective from our USA Risk Colleagues – Webinar

10:00 AM AEST 11:00 AM AEST
RMA Australia

The RMA is pleased to bring you our September Webinar hosted by RMAHQ – The 3 Lines of Defense – A Perspective from our USA Risk Colleagues.

RMAHQ has generously convened a special panel on The 3 Lines of Defense.  It will be moderated by PwC USA and a panel of 4 persons will expound on their perspectives of The 3 Lines of Defense.

During this session you will hear the panel give their views on:

  • What exactly are the key elements of The 3 Lines of Defense?
  • Has there been any shift in focus in recent times?
  • Have any alternative models been developed?
  • What do regulators in the USA think of The 3 Lines of Defense?
  • Is it easy for Risk operatives to move from each line?
  • What professional capabilities win under The 3 Lines of Defense?

Further Information:

About the Panel:

T J Haynes-Morgan – CAE, Raymond James Financial Inc.

Member of RMAs Internal Audit Council

T.J. Haynes-Morgan is the Chief Audit Executive for Raymond James Financial, Inc.  In this role since January 2020, TJ is responsible for the Internal aAudit department and the independent assessment of governance, risk management and various controls across the firm.

With over twenty years of experience in global financial services covering banking, consumer finance, internal audit, and compliance risk management, TJ joined Raymond James in 2018 as the Senior Vice President of Compliance Assurance.  TJ was responsible for designing and overseeing various aspects of the compliance risk management framework including compliance risk assessment, testing, monitoring, quality assurance and branch examination.

Prior to June 2018, T.J. was the Head of Compliance Risk Assessment & Analytics for Citigroup where she was responsible for managing the enterprise-wide compliance risk assessment processes, encompassing core compliance, AML, OFAC/Sanctions, and Anti-Bribery and Corruption risks.  Previously, T.J. held various audit leadership roles across Citi’s Consumer and Institutional Client businesses including Chief Auditor of AML and EMEA Consumer Audit Director, located in London with audit responsibilities for consumer businesses across 19 countries.

T.J. graduated from the University of Texas in Arlington with a Bachelor of Science in Accounting and is a member of the Board of Directors for Tanenbaum Center for Interreligious Understanding based in NY.

. 

Rich Reynolds, Partner, PwC (Member of RMAs Internal Audit Council)

Rich Reynolds is the national leader for PwC’s Internal Audit Services practice for the banking and capital markets sector.  He has over twenty-five years of experience working with financial institutions and is a trusted adviser to senior executives on solving complex risk management and control related issues.  Rich Specialises in providing internal audit services ranging from strategic performance reviews to directing a broad range of internal audit activities including outsourcing, co-sourcing and policy development and implementation.

Rich has managed risk management consulting and auditing engagements for a broad range of companies including commercial bank, investment banks, asset managers, insurance companies, and large corporations.  Rich is a Certified Public Accountant (CPA), New York and Certified Internal Auditor (CIA).  He earned his undergraduate degree in accounting from the University of Notre Dame and Masters of Business Administration (MBA) from Columbia University.

 

Laurie Foster, Director of Credit Programming, RMA

 

About the Moderator:

Fran Garritt, Director of Securities Lending and Market Risk, RMAHQ

 

Agenda and Schedule

Presentation 10:00am AEST

Details

Event Category:
Location: RMA Australia
Duration: 1 hour

Organizer

Registration for this event has now closed, as the venue is at full capacity. Should you wish to be added to the waitlist, please contact the RMA events team on events@rmaaustralia.org