Regulation Court: Shooting for Compliance Success with Third-Party Players (OCC & FDIC)
April 12, 2024
9:00 - 9:50 AM
Valley of the Sun ABC Ballroom - Level 2
Keynote Panel Discussion on the Interagency Guidance & SEC Disclosure Rules
Join us for an enlightening keynote panel discussion that delves into the complexities of Interagency Guidance and SEC Disclosure Rules. In today's rapidly evolving regulatory environment, understanding these guidelines is paramount for organizations aiming to ensure compliance while maintaining transparency and integrity.
Our esteemed panelists, comprising seasoned experts and regulatory authorities, will provide invaluable insights, practical strategies, and real-world experiences to navigate the intricate terrain of regulatory compliance. From deciphering the latest updates to addressing emerging challenges, this session promises to equip attendees with actionable knowledge and best practices.
Key topics of discussion will include:
Interagency Guidance: Exploring the nuances and implications of guidance issued by various regulatory agencies.
SEC Disclosure Rules: Understanding the disclosure requirements mandated by the Securities and Exchange Commission and their impact on reporting practices.
Compliance Strategies: Strategies for aligning organizational policies and practices with regulatory mandates.
Risk Management: Identifying and mitigating risks associated with non-compliance and inadequate disclosure.
Emerging Trends: Anticipating and adapting to evolving regulatory trends and enforcement priorities.
Case Studies: Analyzing real-world examples to illustrate effective compliance frameworks and disclosure practices.
Whether you're a compliance officer, legal counsel, investor relations professional, or executive leader, this keynote panel discussion offers invaluable insights to enhance your understanding of regulatory compliance and disclosure obligations. Don't miss this opportunity to engage with industry experts, gain actionable takeaways, and stay ahead in the ever-changing regulatory landscape. Join us for a dynamic exchange of ideas and expertise.
Larry Lucas | IT Supervisory Examiner | FDIC
Larry Lucas is a FDIC Risk Management Commissioned Examiner, and he is currently serving as an IT Supervisory Examiner for the San Francisco Region. In this position, Larry supervises a regional team of IT Examiners who are responsible for examining complex IT departments of financial institutions and service providers. While most of his career has been with FDIC, he spent approximately two years with Wells Fargo as a Compliance Servicing Manager in the Home Equity Lending Department from 2005 to 2007. During his regulatory career, he has lead examinations of financial institutions of various sizes and condition. Larry began his regulatory career in 1987, and he was assigned to the Columbia, MO and Des Moines, IA field offices prior to his transfer to the Phoenix, AZ field office in 2009. Larry is a graduate of Central University of Iowa, Pella, IA.
Tamara Culler | Director for Governance and Operational Risk Policy – Operational Risk Policy Division | OCC
Tamara Culler is the Director for Governance and Operational Risk Policy in the Operational Risk Policy Division at the Office of the Comptroller of the Currency’s (OCC).
In this role, Ms. Culler manages the team responsible for establishing governance and operational risk policy. She addresses emerging issues in corporate and risk governance, bank management, and operations, and represents the OCC on various interagency working groups, committees, and forums. She assumed these duties in June 2022.
Before her current role, Ms. Culler served as the Senior Advisor to the Senior Deputy Comptroller for Large Bank Supervision, where she was an expert advisor on a broad range of policies, procedures, and special projects affecting the large bank portfolio, specific institutions, and OCC operations. Before that, Ms. Culler served in various supervision roles in Large Bank Supervision and Midsize and Community Bank Supervision. She was also a member of the agency’s inaugural enterprise risk management team.
Ms. Culler began her OCC career in 2005. She was commissioned as a National Bank Examiner in 2010 and attained the Federal Thrift Regulator certification in 2014. Ms. Culler is a graduate of Loyola University New Orleans with a bachelor’s degree in business administration and a concentration in finance.
Rob West | Managing Director, Risk Consulting | RSM US LLP
Rob focuses on helping clients identify, assess, remediate, transfer and manager cybersecurity and privacy risk. He has a broad range of experience in information systems auditing, third-party attestation engagements, cybersecurity governance and compliance requirements, and technical security.
Rob’s background is extensive, providing compliance services to public and private companies in the Southwest region and throughout the United States. His clients have included several large Fortune 500 companies in a wide range of industries, including:
Financial services institutions
Technology
Media and entertainment
Retail and manufacturing
Pharmaceuticals
Health care providers
Distribution and logistics
Rob’s experience includes:
Performing technical security assessments for clients utilizing a combination of customized off-the shelf technologies and custom developed technologies
Assisting clients with the implementation and management of security programs to reduce their security risk exposure while balancing staffing and resource limitations
Serving as a vCISO to organizations by providing executive-level reporting and oversight of the security program
Leading complex delivery teams for multi-workstream projects across multiple IT and security functions, including operations, engineering, development and compliance for Fortune 500 companies
Performing Sarbanes-Oxley (SOX) compliance reviews for a variety of public companies serving the pharmaceutical, manufacturing, technology and financial institution industries
Performing application controls reviews for clients using proprietary web applications
Performing HIPAA/Health Information Technology for Economic and Clinical Health (HITECH) readiness reviews and compliance assessments for a variety of organizations and health care companies, including covered entities and business associates
In addition, Rob previously served as the director of client services for the RSM Delivery Center in Gurgaon, India. In this role, he worked collaboratively with teams in the United States and India with a focus on growing and expanding the center’s service capabilities and managing relationships across the firm.
Professional affiliations and credentials
Certified information system auditor (CISA)
Certified Information Security Manager (CISM)
Certified Data Privacy Solutions Engineer (CDPSE)
Payment Card Industry (PCI) qualified security assessor (QSA)
Information System Audit and Control Association
Education
Master of Business, accounting and information systems, University of Missouri
Bachelor of Business, accounting, University of Missouri
