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In April 2016, the FFIEC revised their IT Examination Handbook for Retail Payment Systems with the introduction of the new Appendix E: Mobile Financial Services. State and federal regulatory agencies and your internal auditors are almost certainly revising their audit scopes based on this new guidance. As such, expect your next electronic banking or information security audit to include an enterprise-wide risk management review to measure how effectively you manage and mitigate evolving mobile channel risks. This webinar will provide best-practice implementation guidance to flatten the regulatory expectation curve in establishing clear internal control risk assessment protocols to identify, measure, mitigate, and monitor these evolving mobile delivery channel risks.
HIGHLIGHTS
Overview and high-level breakdown of FFIEC’s IT Examination Handbook for Retail Payment Systems
Purpose, scope, and background of Retail Payment Systems new Appendix E: Mobile Financial Services
Definition of mobile financial services and evolution of multifactor approach to risk mitigation
The seven objectives of the Mobile Financial Services’ [Audit] Work-Program to identify your institution’s inherent mobile financial services risks measured against the adequacy of your internal and/or third-party controls
TAKE-AWAY TOOLKIT
Link to Retail Payment Systems new Appendix E: Mobile Financial Services
Sample mobile financial services risk assessment templates
Multifactor risk assessment template
Employee training log
Quiz you can administer to measure staff learning and a separate answer key
Attendance verification for CE credits provided upon request.
WHO SHOULD ATTEND? Electronic processing/information technology/information security personnel, as well as auditors, compliance staff, risk personnel, board members, and audit committee members.
ABOUT THE PRESENTER – Brian Vitale, NCCO, CAMS-Audit, Compliance Advisory Services, earned his Political Science degree from North Central College in 1996 and an MBA from the University of Notre Dame in 2014. Brian was recruited by the National Security Division of the FBI where he specialized in counterterrorism and foreign counterintelligence. In addition, he is a decorated veteran who served in Guantanamo Bay, Cuba in the early 1990s. Subsequent to the FBI, Brian spent many years in banking and finance where his skills led him to the field of Global Operational Risk Management. He has over twenty years of banking, finance, and investigative experience. In July 2011, Brian joined a community financial institution and currently serves as their chief risk and compliance officer. He speaks nationally on BSA, anti-money laundering, enterprise risk management, cybersecurity, and strategy.
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