2024 Operations, Audit, & Compliance Copy

Registration

Once you arrive on the 9th floor, there will be a registration table with name tags. Please grab your name tag and proceed to the open doors. Coffee and other drinks will be available.

Post-Risk Assessment Decisions, Action Items and Benefits

You and your company have invested significant time and effort in performing a meaningful fiduciary risk assessment. Now that the risk assessment has been completed, it is time for the board, company leaders and associates to evaluate and use the results of the risk assessment to manage the risks you have assessed. This session will help you understand important post-risk assessment activities, including:

• Evaluating and prioritizing meaningful inherent and residual risks
• Deciding whether to accept these risks, avoid these risks or share these risks with others
• Using risk assessment results to inform and influence the scope and frequency of first, second and third line testing and audit activities
• Identifying and addressing gaps between company policies and procedures and actual operating activities
• Creating or modifying internal controls to effectively manage risks
• Making risk-based decisions throughout the organization, in alignment with regulatory requirements, guidance and permissions

Come prepared to learn and participate in this interactive session designed to help you and your company become more effective and successful.

Jeffrey S. Kropschot, CTCP

Kropschot Consulting Partners, LLC

Springville, UT

A Practical Approach to Trust Operations: Basics and Beyond

Embrace a hands-on approach to the essential and advanced functions of trust operations. This session provides actionable insights on establishing and managing an efficient trust operations department. From initial account setup to thorough reconciliations, discover best practices designed to streamline processes and maintain high industry standards.

Danny McHale, CFIRS

Straight Arrow Solutions, LLC

Atlanta, GA

Lunch

Data Analytics 

Unlock the power of data analytics without feeling overwhelmed! In our upcoming presentation, we’ll show you how data analytics can simplify your job and enhance the efficiency of your risk program. Learn the secrets to crafting solid reporting requirements and discover how effective communication with your data team is key to building impactful reports. Remember, creating great reports is an iterative process—join us to see how you can master it step-by-step and turn data into your greatest ally!

Marty Gauthier

Frost Bank

San Antonio, TX

Administering “Unique Assets” – Do’s and Don’ts

The wealthier your clients, the likelier they own “unique assets” such as real estate, artwork, life insurance etc. There are 1,000+ UA types (each demanding specialized expertise to administer properly) so despite all efforts to prevent it sooner or later UA will appear in client accounts! Turn these lemons into lemonade: in this presentation you will learn the three steps to follow to successfully administer any and every UA.

Brad Davidson

UA Central LLC

Annapolis, Maryland

Break

Blockchain Technology from an Ops Standpoint

This session will provide a comprehensive look at how blockchain technology can revolutionize banking and financial services operations. We’ll explore its decentralized, immutable nature and highlight its potential to streamline transaction settlements, automate compliance, enhance transparency, and significantly reduce operational costs. Attendees will leave with actionable insights into how blockchain can address key challenges within the industry, complemented by real-world use cases and a forward-looking view of emerging trends.

Adilah Holivay

Principal Consultant & Co-Founder

DNA Legacy Blockchain Brokerage LLC