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Self Assessments & the Examination Process for Banks & Financial Institutions
Michael L. Brosnan
Deputy Comptroller for Large Banks
Office of the Comptroller of the Currency
Michael L. Brosnan was named Deputy Comptroller for Large Banks at the Office of the Comptroller of the Currency (OCC) in April 2008.
In this role, Mr. Brosnan is responsible for line supervision of a group of large banks, ensuring that risk based-strategies and staffing are effectively aligned and executed.
Mr. Brosnan rejoined the OCC from Bank of America where he served as the Enterprise Operational Risk Executive responsible for building the framework for managing operational risk across the enterprise. He also served as the risk manager for the Global Technology and Operations, Chief Administrative Office, and Supplier Risk Management organizations for the bank.
Previously, Mr. Brosnan served as Compliance Executive for Bank of America Card Services where he ensured the development, implementation, and assessment of internal processes to ensure compliance with applicable banking laws and regulations. Prior to that assignment he oversaw the Operational Risk Management division of MBNA America where he was responsible for identifying operational risks, implementing measures to prevent or mitigate losses, and monitoring and reporting on outcomes and risk levels.
Before joining MBNA (which became Bank of America) in 2004, Mr. Brosnan spent 21 years with the OCC, most recently as Examiner-in-Charge for Bank of America. In 2003, he was named Senior National Bank Examiner, the highest honor and designation available to bank examiners.
During previous roles at the OCC, Mike served as Deputy Comptroller for Risk Evaluation as well as Director of Treasury and Market Risk. He also served as Chairman of the OCC’s National Risk Committee and OCC’s Steering Committee representative on the President’s Working Group for Financial Markets
He first joined the OCC in 1983 as a national bank examiner in Miami. He holds a Bachelor’s and a Master’s degree in Business Administration from Lynchburg College in Virginia. Mike has also earned the Chartered Financial Analyst designation.
Kris Easter
Branch Chief
OCIE, Office of the Chief Counsel
US Securities and Exchange Commission
Kris Easter manages the legal branch in the Office of the Chief Counsel, of the SEC’s Office of Compliance Inspections and Examinations. Kris has responsibility for providing legal advice to SEC examiners, responding to legal issues and examination concerns raised by entities subject to SEC examination oversight, and overseeing special examinations of various SEC-registered entities.
Before joining the Office of the Chief Counsel, Kris had responsibility for overseeing inspections of self-regulatory organizations and examinations of broker-dealers. Kris has worked on issues including Regulation S-P, prime brokerage margin practices, retail and institutional best execution, commission recapture and directed brokerage issues, supervision, and internal controls. She received a JD and an LL.M. in Taxation from the University of Houston Law Center. Prior to joining the SEC, Kris was an international tax attorney at Deloitte LLP in Houston, Texas.
Jon Hertzke
Branch Chief
OCIE, Market Oversight
US Securities and Exchange Commission
Jon D. Hertzke is a Branch Chief in the United States Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, where he has worked since 2004. Jon focuses his efforts on the oversight of self-regulatory organizations with an emphasis on trading practices. His experience includes inspections and examinations of exchanges, registered securities associations, alternative trading systems, credit rating agencies, broker-dealers, municipal securities dealers, investment advisers, and investment companies. Prior to joining the Commission, Jon was a tax and estate planning associate with McGuireWoods LLP in Tysons Corner, Virginia. Jon received his LL.M. in Taxation from the New York University School of Law in 1999, and his J.D. from the University of Utah School of Law in 1996, where he served as Articles Editor of the Utah Law Review. He received his undergraduate degree from Utah State University in 1993.
Ellen Zimiles
Co-Founder and Chief Executive Officer
Daylight Forensic & Advisory LLC
Ellen Zimiles, Daylight’s co-founder and CEO, has more than 23 years of litigation and investigation experience, including 10 years as a federal prosecutor. Before forming Daylight, Ellen was a principal at a "Big Four" accounting firm, where she coordinated the forensic practice across all industry segments and was practice leader for the financial services industry. She is a leading authority on anti-money laundering programs, fraud control and public corruption matters. Ellen speaks frequently on these matters before banking, legal, compliance and academic audiences. She served as the independent financial auditor for the International Brotherhood of Teamsters as part of a federal court consent agreement.
Before her Big Four experience, Ellen was an assistant United States attorney in the Southern District of New York for more than 10 years. She served in the civil and criminal divisions and was chief of the forfeiture unit for more than six years. Ellen was responsible for many high-profile money laundering, fraud and forfeiture cases. In recognition for her contributions as a federal prosecutor, Ellen received the United States Department of Justice’s John Marshall Award for Outstanding Service and the United States Department of Health and Human Services’ Integrity Award. Ellen earned a bachelor's degree at Brooklyn College and a law degree at Syracuse University College of Law, where she served as an editor of the law review.
Mary Beth Quist
Senior Vice President, Supervisory Processes
Conference of State Bank Supervisors
Mary Beth serves as the Senior Vice President for Supervisory Processes at the Conference of State Bank Supervisors (CSBS). In this capacity, Mary Beth represents the state banking system in supervisory issues, best practices and development of interagency examination tools. She is also responsible for any issues related to the coordination and cooperation between state and federal regulators. Mary Beth serves as the staff director for the Supervisory Processes Committee, Technology Committee and State Examiner Review Team.
Prior to joining CSBS in 2001, Mary Beth was a bank examiner with the Federal Reserve Bank of Richmond for seven years. Mary Beth graduated from Randolph-Macon College in Ashland, VA. She lives in Alexandria, VA with her husband Tim and son.
Self Assessments
Speaker Firms:
Office of the Comptroller of the Currency
Conference of State Bank Supervisors
Event Sponsor:
Daylight Forensic & Advisory is an international regulatory consulting and investigative firm specializing in financial investigations and forensic accounting, anti-money laundering consulting, regulatory compliance, forensic technology services, healthcare compliance, and fraud risk management. Daylight Forensic’s professionals have unparalleled legal, law enforcement and "Big Four" accounting experience, letting the firm address almost any corporate or government investigation. Daylight has three U.S. offices and an EU-compliant electronic discovery lab and office in London from which it serves private and public clients around the world. Daylight is EU Safe Harbor Certified.
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