Panelists
Cynthia Behnen–Gillison
Director
PwC
Ms. Gillison is a Director in the PwC’s Financial Services Practice and leads the National Regional Banking GRC Tech. She is responsible for leading PwC professionals in delivering Risk Management and Compliance Solution (RMCS), and Governance Risk and Compliance (GRC) Technology, clients, leveraging her risk management, governance, compliance and operations experience. She assists clients with strategic efforts ranging from Governance, Risk and Compliance readiness efforts and GRC Technology Solution Implementations to redesign of Regulatory Compliance programs, including assisting with the development of the risk assessment process. In addition, she supports clients with addressing regulatory actions plans issued by the OCC, CFPB, FDIC and other regulators, by assisting with the development of corrective action plans, project plans and roadmaps, including assisting with tracking progress of these plans. She has assisted clients with develop information security and third party risk management policies and has led the end-to-end GRC technology implementation process for these areas.
Alex Pflepsen
Director
PwC
Mr. Pflepsen has more than 15 years of risk- and regulatory-related consulting experience. Since joining PwC in 2004, he has focused on helping PwC’s largest financial services clients navigate risk and regulatory challenges that require significant organizational changes in order to drive expected results. These have included planning, designing and implementing risk management programs focused in the areas of operational risk management, technology risk management and compliance risk management. Through his role on these projects, he has developed a deep understanding of technical and practical aspects on how to drive a successful program and manage change in complex environments.
Shua Saaqib
Senior Manager
MetricStream
Ms. Saaqib has 10 years of experience in presales, business development and marketing roles in the information technology industry. At MetricStream, she primarily handles product marketing for Policy and Document Management, Case Management and the Compliance Management Solution. As part of the role, she is responsible for market analysis, product prioritization, driving the marketing strategy and planning, competitive analysis, demand generation and sales enablement.
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Field of Study:
Management Advisory Services: 1 CPE Credit
Program Delivery Method: Online
Program Level: Intermediate
Advance Preparation/Program Prerequisites: None
One component of the regulatory compliance department's responsibilities is to manage and coordinate regulatory examinations. Some of the large banks juggle over 100 regulatory examinations at any given time across multiple functional areas and this challenge is not only faced by large banks but also regional banks. This coupled with the expanding scope of the examinations, as well as a fast changing regulatory and legal landscape, necessitates an effective way to manage the regulatory examination process.
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