Internal Audit professionals from all career levels are invited to attend this annual meeting to gain new knowledge, share ideas and network with their industry peers.
Topics for this event may include:
This meeting offers Continuing Professional Education (CPE) credits.
Global Head and Managing Director Capital Markets, Wealth Management, Insurance, Wholesale Credit and Asia Pacific, Internal Audit, RBC
Bailey-Flynn is Global Head and Managing Director Capital Markets, Wealth Management, Insurance, Wholesale Credit and Asia Pacific, Internal Audit at RBC. She leads the global audit activities covering planning, execution, and reporting for the Capital Markets, Wealth Management and Insurance businesses, including trading, corporate and investment banking, operations, compliance and technology. She is also responsible for the enterprise coverage for wholesale credit, market and counterparty credit risk. Her earlier roles prior to joining RBC include SVP, Operational Risk overseeing operational risk methodology, oversight and third-party risk management; SVP, GRM Data and Analytics, where she led data and artificial intelligence risk management; and Regional Chief Auditor for UK and Europe. Bailey-Flynn started her career in Capital Markets in financial engineering, highlighted by the implementation of a new counterparty credit risk model and technology, credit derivatives front office technology build out, and analytics coverage across businesses including interest rate and equity derivatives. She is a Masters of Mathematical Finance graduate.
Senior Consultant, EY
Bhatt is a seasoned senior consultant at EY. Her expertise lies in the fields of internal audit, external quality assessments for internal audit functions, maturity assessments, and internal audit transformations. She has a wealth of cross-industry experience in delivering and working with internal audit teams and is enthusiastic about staying at the forefront of emerging trends and challenges within the internal audit sector. She holds an MBA and is a Certified Internal Auditor.
Senior Manager, Internal Audit, Manulife
Black is Senior Manager in Internal Audit at Manulife. During her nine years at the company, she has specialized in audits of HR, procurement, and marketing. She is a Chartered Professional Accountant and holds the Certified Internal Auditor designation.
Chief Auditor, Sun Life Financial Trust and Sun Life Insurance; Assistant Vice President of Internal Audit, Canada Business Group, Sun Life
Corbin is a seasoned audit professional with over 15 years of experience within the financial sector. Currently, she is Chief Auditor for Sun Life Financial Trust and Sun Life Insurance, as well as Assistant Vice President of Internal Audit for the Sun Life Canada Business Group. She has spent over a decade in progressive roles within internal audit and focuses on building relationships with key stakeholders to strengthen controls from a risk-based perspective. She is known for building high performance teams to effectively deliver on audit priorities. Corbin holds an MBA.
Manager, Security, Audit and Compliance, Richter
DiAngelo is Manager at Richter specializing in governance, risk, and compliance. A Certified Information Systems Auditor (CISA) specializing in Cloud Security Knowledge (CCSK), her prior and current roles in risk advisory include the delivery of cybersecurity and audit engagements for clients in the financial services, manufacturing, technology, regulatory, and lottery and gaming sectors.
Partner, Enterprise Risk Services, MNP LLP
Catharine Dutt is a business advisor and leader with over 25 years of progressively responsible experience both in industry and consulting, focused primarily in the financial services industry. Her experience includes managing a global internal audit function for the largest Canadian financial institution as well as being the chief audit executive for its U.S. national bank. She has significant expertise working with complex organizations that are navigating evolving stakeholder and regulatory expectations across lines of defence. Much of her time is concentrated in the banking sector, however she has also worked within the insurance, investment dealer, pension and credit union sub-sectors as well as with clients across a variety of industries including government, municipalities, healthcare, law firms, not-for-profit, telecommunications, and transportation.
Dutt is a frequent speaker on topics such as governance and control, strategic internal audit functions, and organizational culture and conduct risk. She supports her community as a Board and Audit and Risk Committee member for the Children’s Aid Society of Toronto and Wilfrid Laurier University. She earned a Master of Accounting from the University of Waterloo. She is a Chartered Professional Accountant, Chartered Accountant, U.S. Certified Public Accountant (Delaware), and Chartered Global Management Accountant (U.S.).
Senior Manager, Audit Services, Manulife
Ehamparanathan is Senior Manager in Audit Services at Manulife, with a primary focus on internal audits across global procurement and operations, marketing, and HR. He is a Chartered Professional Accountant, with more than 10 years of experience working in both external and internal audit. In his current role, Ehamparanatham specializes in advanced data analytics and has completed a rotation with the Audit Services Data Analytics team.
Director and Chief Auditor, The Empire Life Insurance Company
Ellement is Director and Chief Auditor at The Empire Life Insurance Company. She is responsible for developing and implementing an effective internal audit function that helps the organization accomplish its strategic objectives by evaluating and improving the effectiveness of risk management, control and governance processes. She has 20 years of experience in financial services and is a Certified Internal Auditor and a Certified Financial Services Auditor.
Vice President and Chief Audit Officer, MCAN Financial Group
Khan is Vice President and Chief Audit Officer, MCAN Financial Group. She leads the strategic direction of the internal audit function and is responsible for developing and executing a risk-based internal audit plan and providing assurance on the organization’s control environment to its board. Her 18 years of experience includes executing risk strategies and controls across all three lines of defence. Leveraging her international portfolio in regulated global financial institutions and private healthcare, she has expertise in corporate governance, internal control, risk management, compliance, regulatory requirements, management assurance and internal audit. She is involved in the IIA Toronto Chapter Small and Medium Financial Institutions Working Group, speaks at industry events, and is a board member and mentor for two non-profits.
Partner, Consulting Services, Ernst & Young LLP
Mariglia is a partner at Ernst & Young LLP in the Consulting Services practice. With 25 years of experience in external and internal audit, he specializes in leading internal and enterprise risk assessments within the life insurance industry. Mariglia is a trusted business advisor with a diverse skill set spanning various sectors, particularly in financial services. He is committed to helping organizations evolve by shaping strategy, facilitating change, and gauging performance. He is also passionate about nurturing and coaching individuals for growth, guided by a strong sense of purpose and values.
Practice Leader, Internal Audit, iA Financial Group
Amélie Vidal is Practice Leader, Internal Audit at iA Financial Group. Before joining the company, she worked as an internal auditor for the Office of Internal Oversight Services of the United Nations in Geneva and in New York, and has compiled more than 20 years of experience in the fields of financial auditing and internal auditing. Vidal is a graduate of HEC Montréal, is a Chartered Professional Accountant and Certified Internal Auditor. She also serves as President of the Québec City Chapter of the Institute of Internal Auditors, Treasurer of the Union francophone des auditeurs internes and is a member of the Canada Advisory Committee of the Institute of Internal Auditors Canada.
Assistant Vice President, Corporate Functions and Risk Management, Sun Life
Vitores is Assistant Vice President, Corporate Functions and Risk Management, Sun Life, with over 20 years of financial services industry experience. She joined the company in 2006 as a senior auditor and progressively assumed more responsibilities. Throughout her career, she has been involved in various audit portfolios including Investments, Audit Standards and Quality Assurance, and Canada Business Group. In her diverse roles, she has had the opportunity to apply her extensive knowledge of control frameworks, making contributions to strengthen Sun Life’s internal controls and ensure compliance. Vitores is a Public Accountant with an Argentinean designation. Prior to joining Sun Life, she spent over ten years working for an Argentinian government agency focused on pension funds and gained valuable experience in control assessments, developing regulatory requirements, and investigating fraud.
Senior Manager, Richter
Walsh is Senior Manager at Richter, specializing in cybersecurity, PCI compliance, threat and risk assessments, and incident response. As a Certified Information Security Systems Professional, Certified Information Systems Auditor, and Qualified Security Assessor, he is passionate about promoting security awareness and education and how cybersecurity can be a business enabler for his clients.
REGISTRATION AND BREAKFAST
WELCOME AND OPENING REMARKS
Partner, Enterprise Risk Services, MNP LLP
Just when you think you have the team to execute on your internal audit mandate now and into the future, disruption descends – risks emerge, business strategies pivot, new technologies surface, audit techniques are more sophisticated, and new ways of working proliferate. How do you strike a balance between leveraging your team’s talents and capabilities and being relevant and responsive to stakeholder expectations? Dutt will explore the evolution of the internal auditor’s skillset – what is required to be a third line of defense that is credible and capable of operating in a dynamic environment and responding to ever-changing needs.
BREAK
Senior Manager, Internal Audit, Manulife
Senior Manager, Audit Services, Manulife
Black and Ehamparanathan will focus on third-party risk management covering key risks in the third-party lifecycle and audit considerations. They will also briefly discuss the new OSFI-B10 guidelines and their impact on audit considerations.
Manager, Security, Audit and Compliance, Richter
Senior Manager, Richter
A proper third-party risk management program includes a review of cloud service providers. Walsh and DiAngelo will adopt the lens of an internal auditor in identifying TPRM best practices and key considerations for evaluating cloud service providers, their business continuity management protocols, and how internal auditors can address the inherent risks.
LUNCH
Global Head and Managing Director Capital Markets, Wealth Management, Insurance, Wholesale Credit and Asia Pacific, Internal Audit, RBC
Director and Chief Auditor, The Empire Life Insurance Company
Vice President and Chief Audit Officer, MCAN Financial Group
Practice Leader, Internal Audit, iA Financial Group
Assistant Vice President, Corporate Functions and Risk Management, Sun Life
Partner, Enterprise Risk Services, MNP LLP
Executives from Canada’s financial services sector will provide a roundup of the latest industry developments and share insight on the impact on their organization. They will also profile the essential competencies that auditors need to develop in order to keep pace with escalating stakeholder demands.
BREAK
Senior Consultant, EY
Partner, Consulting Services, Ernst & Young LLP
There have been significant changes to the IIA standards and leading practices on conducting quality assessment reviews. Mariglia and Bhatt will provide an overview of them and the anticipated impact to internal auditors and their organizations. They will also cover leading practices for quality assurance reviews of the internal audit function, including the approach, scope, frequency, and other key elements.
Chief Auditor, Sun Life Financial Trust and Sun Life Insurance; Assistant Vice President of Internal Audit, Canada Business Group, Sun Life
With increasing regulatory scrutiny and nascent risks in the market, having a sound framework for managing risks and controls is more important than ever. An organization’s governance directly translates to their ability to successfully realize the execution of the Three Lines of Defense Model in daily risk-based decision-making and top-down/bottom-up operations. Conducting business governance audit reviews can deliver value to the organization through meaningful and proactive insights, inform Internal Audit’s annual risk governance opinion to the Audit Committee of the Board, fulfill regulatory requirements, and provide assurance to key stakeholders. Corbin will discuss Sun Life’s Internal Audit approach to reviewing First Line Business Governance.
CLOSING REMARKS AND ADJOURNMENT
Early Bird Fees (by Oct. 23, 2023)
Member: CD$300 + HST
Non-member: CD$450 + HST
Standard Fees (after Oct. 23, 2023)
Member: CD$450 + HST
Non-member: CD$675 + HST
Cancellation Policy
In the event that a scheduled meeting or event is cancelled by LIMRA/LOMA for any reason, LIMRA/LOMA shall refund any conference registration fees that have been paid by the registrant. Under no circumstances, however, shall LIMRA/LOMA be liable to the registrant for any other expenses including, but not limited to, airfare and hotel expenses incurred by the registrant.
All cancellations must be received in writing. Email customer.service@limra.com. Cancellations received by October 30, 2023, will be refunded, less a CD$100 processing fee. No refunds will be issued after October 30, 2022.
Please check this page regularly for health and safety updates.
Updated: [3/8/2023]
LIMRA and LOMA and LIC are committed to health and safety. We request that all conference and event attendees follow any and all applicable COVID-19 restrictions, rules, and safety requirements at the event that are either required by applicable law, rule or ordinance, or the event location. We thank you in advance for your patience and cooperation during these unprecedented times.
On-Site at the Event
Post Event
Manulife
200 Bloor Street East
Toronto, Ontario M4W 1E5
