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Risk Management II: Perspectives on What It Takes to Make It Work
Mary Ann Gadziala
Associate Director, Office of Compliance Inspections and Examinations
U.S. Securities & Exchange Commission
MARY ANN GADZIALA has thirty years experience in financial services regulation and markets with significant expertise in banking and securities. She is currently Associate Director, Office of Compliance Inspections and Examinations at the U.S. Securities & Exchange Commission, where she heads up the inspection and examination programs for broker-dealers and stock exchanges to enforce compliance with federal securities laws. Priority areas include risk management, internal controls, comprehensive compliance, sales practices, net capital, and anti-money laundering. She has also served as Senior Adviser and Associate Director in the Division of Market Regulation, and Senior Counselor to the Chairman at the SEC. Prior to joining the SEC, Ms. Gadziala was Assistant General Counsel for Banking and Finance at The Treasury Department. She was also General Counsel of the RTC Oversight Board and an attorney in the General Counsel’s Office of The Federal Reserve Board. She received her B.A. degree with honors from the State University of New York, her J.D. degree with honors from Albany Law School, and completed the program for Stonier Graduate School of Banking with the publication of her thesis on The Relationship Between Investment and Commercial Banking. Ms. Gadziala is the author of a number of published articles and papers, and the recipient of numerous awards and honors, including the Treasury’s General Counsel’s Award, the SEC Chairman’s Award for Excellence, the SEC Capital Markets Award, and the SEC Career Award for Examination Excellence.
Rick Funston
Principal, Assurance and Enterprise Risk Services
Deloitte & Touche LLP
Rick Funston is a principal and serves as the National Practice Leader for Deloitte & Touche’s U.S. Governance & Risk Oversight services.
Rick first introduced the concept of risk intelligence in 2001
He works with Boards of Directors and senior executives on means to improve the effectiveness and efficiency of decision making about value creation and value protection.
With more than 30 years of experience, Rick has served a wide cross-section of small, mid and large cap companies including aerospace and defense, automotive, financial services, energy and utilities, consumer business, telecommunications, technology as well as the public sector.
Rick is currently writing a book “Surviving and Thriving in Turbulence” for publication in the Spring 2009.
Miles Everson
Principal
PricewaterhouseCoopers LLP
Miles leads PricewaterhouseCoopers' Banking and Capital Markets Advisory Services, serves on the Firm's Global Governance, Risk and Compliance Global Leadership Team, and specializes in financial services. Miles has over twenty years of professional experience, with more than 15 years being focused on providing enterprise risk management solutions to various companies. He is a principal author of the Committee of Sponsoring Organizations’ Enterprise Risk Management – Integrated Framework. The framework establishes a widely accepted definition and view of enterprise risk management that is used by companies to not only use as a basis to design and implement enterprise risk management programs, but to also compare how they are addressing enterprise risk management to this widely accepted framework.
Miles’ experience includes leading large complex organizations through the process of designing and implementing enterprise risk management and operational risk management programs. He regularly leads risk assessment efforts, risk management improvement activities, the design of enterprise-wide risk and compliance programs, the design and implementation of operational risk management, processes, technology and supporting infrastructure to support Basel II.
Miles is routinely advises large complex organization on the design and adoption methodologies, processes, standards, and technology to effect integration of financial governance and risk management. Additionally, Miles has provided training on the COSO Internal Control—Integrated Framework to thousands of people and he regularly provides training on integrating risk identification and evaluation into an organization’s business practices.
Miles’ clients include many of the largest organizations in the world. He frequently works with executive management and boards to improve their capabilities to balance growth, risk and return strategies and execution of business activities.
Miles authored The Acceleration of Change – Seizing the Future Through Focused Business Risk Management, published by Federated Press. He is a principal author of the COSO Internal Control over Financial Reporting -- Guidance for Smaller Companies. He is a frequent speaker at conferences, including those sponsored by Compliance Week, the Canadian Risk and Insurance Management Society, the Federated Press, The Risk Management Association and the International Quality and Productivity Center and many others.
Miles is a Certified Public Accountant and a member of the American Institute of Certified Public Accountants and Minnesota Society of Certified Public Accountants. Miles graduated from St. Cloud State University with a B.S. in Accounting.
Ladd Muzzy
Americas Leader, Enterprise Risk Management
Ernst & Young LLP
Ladd Muzzy is Americas Leader in the Enterprise Risk Management practice of Ernst & Young LLP. Over 15 years of developing and managing operational, business, and reputation risk management engagements, Ladd has worked in and advised some of the world's largest financial services, manufacturing, and healthcare companies. His areas of experience include: development and implementation of a corporate wide methodology for reputation risk management; development of cross-functional interaction models to increase business efficiencies to handle enterprise wide risk management activities; and identification, assessment, quantification, and management techniques for strategic and financial risk management.
Prior to joining Ernst & Young, Ladd worked at Capital One Financial where he was primarily responsible for reputation risk management and the holistic view and analysis of risk. He also worked for ABN Amro/LaSalle where he had global responsibilities developing and implementing the methodology and capital model for operational risk management.
Ladd has a MBA from Northwestern University's Kellogg Graduate School of Management in Marketing, Finance, Strategy, and Entrepreneurship and a BS in Actuarial Mathematics from the University of Michigan, Ann Arbor. He holds the Certified Risk Professional designation, and is an active author and speaker on operational, reputation, and enterprise risk management.
Risk Management II: Perspectives on What It Takes to Make It Work
Speaker Firms:
U.S. Securities & Exchange Commission
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