2021 Fall Conference - information page
Date: November 4, 2021
Time: 8:30am to 4:30pm (1 hour break for lunch)
Location: WebEx attendance
Conference fees: NYSICA members $50, non-members $65
CPEs Available: up to 7 CPEs available
Time: 8:30am to 4:30pm (1 hour break for lunch)
Location: WebEx attendance
Conference fees: NYSICA members $50, non-members $65
CPEs Available: up to 7 CPEs available
Morning Session
8:30am to 12:00noon
*Keynote Speaker:
Carolyn Pokorny, MTA Inspector General
*James Ruotolo, Senior Manager, Fraud & Financial Crimes
Grant Thornton
'Trial by fire: Lessons learned fighting fraud during a pandemic'
Fraud loves a crisis. Wherever there is confusion and haste, there is the opportunity to steal. During this session, we will review some of the specific lessons learned regarding pandemic-related fraud schemes and discuss what organizations can do to protect themselves from a tidal wave of fraud risk expected in the coming year.
James Ruotolo is a Senior Manager in the Fraud & Financial Crimes practice at Grant Thornton, LLP. James has 20+ years of antifraud experience, previously holding senior leadership roles in a financial services investigation unit and running the fraud and security intelligence product division for an industry-leading analytics software company. James holds a Master’s degree in Fraud Management and serves on the board of directors for the non-profit Identity Theft Resource Center. He is the co-inventor of two patented fraud detection models, a Certified Fraud Examiner, and a frequent author and speaker on fraud risk management and technology.
*Michael Rasmussen, GRC 20/20 Research, LLC
'Developing a Culture of Integrity'
Governance, risk management, and compliance (GRC) is the capability to reliably achieve objectives, address uncertainty, and act with integrity. This last piece of GRC is critical: at its foundation GRC is about the integrity of the organization. While objectives can be achieved in many unethical ways, organizations need to shift their thinking of GRC and focus on the integrity of the organization. Does it live up to its values, commitments, obligations, and statements? Organizational integrity requires GRC to be more than the back-office functions of risk and compliance -- it must be actively engaged in the front-office of the business. Integrity requires a cultivated culture of ethics and responsibility.
Michael Rasmussen is an internationally recognized pundit on governance, risk management, and compliance (GRC) – with specific expertise on the topics of enterprise GRC, GRC technology, corporate compliance, and policy management. With 28+ years of experience, Michael helps organizations improve GRC processes, design and implement GRC architecture, and select technologies that are effective, efficient, and agile. He is a sought-after keynote speaker, author, and advisor and is noted as the “Father of GRC” — being the first to define and model the GRC market in February 2002 while at Forrester.
(1 hour lunch break)
Afternoon Session
1:00pm to 4:30pm
*Kelly Paxton, CFE, PI
K Paxton LLC
'Catch Me If You Can: Today's Pink Collar Criminal'
Embezzlement is the crime that every business owner, government agency, PTA, and youth sports league worries about. Protecting assets is a top priority. The loss of money is devastating. However, what is worse is the loss of time which is unrecoverable and the loss of trust which takes the biggest toll. When embezzlement happens it is often committed by a long-term, trusted employee. They have worked side by side with you for potentially years or even decades. Often, they are part of the family. These embezzlers live amongst us.
Kelly Paxton is the Principal and Founder of K Paxton LLC. As a Certified Fraud Examiner and private investigator, Kelly is a nationally recognized expert in fraud who has investigated hundreds of cases. Kelly is also an expert in Pink Collar Crime. What started as a research project (why are so many embezzlers women?), has become an extremely relevant and relatable speaking topic. Her hands-on investigative experience, along with her research into criminal behavior and investigating for both prosecution and defense, provide real-life practical information. Kelly didn't start out in law enforcement but that's where she spent most of her career. While she was working at a financial services firm, a client was arrested on wire fraud charges. This ended up leading her to a new, most more exciting career as a special agent for US Customs. She was able to work all types of cases including white collar fraud, money laundering and narcotics cases. She got used to investigating 'bad guys!' Kelly has worked in both the public and private sector. Her cases have included embezzlement, conflict of interest, intellectual property, Open Source intelligence, and fraud. Her most recent position at at Nike where she was recruited for her expertise in Open Source Intelligence and being a Certified Fraud Examiner. She also was a contact investigator for the Department of Homeland Security doing background investigations. She has performed hundreds of top secret clearance background investigations for the federal government (Not Edward Snowden's though!). Read more about Kelly and her Company at www.KellyPaxton.com!
*Amanda 'Jo' Erven, CPA, CIA, CFE, President & Founder
Audit. Consulting. Education. LLC
'Fraud and Pop Culture'
Did you know the movie Psycho is a story of an embezzler? From past to present – from fact to
fiction – from movies, to podcasts, to books – get ready to dive in to all things “Fraud and Pop
Culture” with Kelly and Jo!
Amanda 'Jo' Erven, CPA, CIA, CFE, is the President and Founder of Audit. Consulting. Education. LLC. After a successful career in external/internal audit and accounting, Jo is now an active Internal Audit Strategist, Ethics and Culture Consultant, Higher Education Professor, Author, and Trainer/ Speaker, providing Continuing Professional Education (CPE) hours, live and virtually, to organizations across the globe. Jo's motto says the most about her personal and professional outlook: “Good things come to those who wait… but don’t. You deserve better than good.” Every one of her books and presentations focuses on that proactive stance, and how we can immediately connect our actions to our values.
8:30am to 12:00noon
*Keynote Speaker:
Carolyn Pokorny, MTA Inspector General
*James Ruotolo, Senior Manager, Fraud & Financial Crimes
Grant Thornton
'Trial by fire: Lessons learned fighting fraud during a pandemic'
Fraud loves a crisis. Wherever there is confusion and haste, there is the opportunity to steal. During this session, we will review some of the specific lessons learned regarding pandemic-related fraud schemes and discuss what organizations can do to protect themselves from a tidal wave of fraud risk expected in the coming year.
James Ruotolo is a Senior Manager in the Fraud & Financial Crimes practice at Grant Thornton, LLP. James has 20+ years of antifraud experience, previously holding senior leadership roles in a financial services investigation unit and running the fraud and security intelligence product division for an industry-leading analytics software company. James holds a Master’s degree in Fraud Management and serves on the board of directors for the non-profit Identity Theft Resource Center. He is the co-inventor of two patented fraud detection models, a Certified Fraud Examiner, and a frequent author and speaker on fraud risk management and technology.
*Michael Rasmussen, GRC 20/20 Research, LLC
'Developing a Culture of Integrity'
Governance, risk management, and compliance (GRC) is the capability to reliably achieve objectives, address uncertainty, and act with integrity. This last piece of GRC is critical: at its foundation GRC is about the integrity of the organization. While objectives can be achieved in many unethical ways, organizations need to shift their thinking of GRC and focus on the integrity of the organization. Does it live up to its values, commitments, obligations, and statements? Organizational integrity requires GRC to be more than the back-office functions of risk and compliance -- it must be actively engaged in the front-office of the business. Integrity requires a cultivated culture of ethics and responsibility.
Michael Rasmussen is an internationally recognized pundit on governance, risk management, and compliance (GRC) – with specific expertise on the topics of enterprise GRC, GRC technology, corporate compliance, and policy management. With 28+ years of experience, Michael helps organizations improve GRC processes, design and implement GRC architecture, and select technologies that are effective, efficient, and agile. He is a sought-after keynote speaker, author, and advisor and is noted as the “Father of GRC” — being the first to define and model the GRC market in February 2002 while at Forrester.
(1 hour lunch break)
Afternoon Session
1:00pm to 4:30pm
*Kelly Paxton, CFE, PI
K Paxton LLC
'Catch Me If You Can: Today's Pink Collar Criminal'
Embezzlement is the crime that every business owner, government agency, PTA, and youth sports league worries about. Protecting assets is a top priority. The loss of money is devastating. However, what is worse is the loss of time which is unrecoverable and the loss of trust which takes the biggest toll. When embezzlement happens it is often committed by a long-term, trusted employee. They have worked side by side with you for potentially years or even decades. Often, they are part of the family. These embezzlers live amongst us.
Kelly Paxton is the Principal and Founder of K Paxton LLC. As a Certified Fraud Examiner and private investigator, Kelly is a nationally recognized expert in fraud who has investigated hundreds of cases. Kelly is also an expert in Pink Collar Crime. What started as a research project (why are so many embezzlers women?), has become an extremely relevant and relatable speaking topic. Her hands-on investigative experience, along with her research into criminal behavior and investigating for both prosecution and defense, provide real-life practical information. Kelly didn't start out in law enforcement but that's where she spent most of her career. While she was working at a financial services firm, a client was arrested on wire fraud charges. This ended up leading her to a new, most more exciting career as a special agent for US Customs. She was able to work all types of cases including white collar fraud, money laundering and narcotics cases. She got used to investigating 'bad guys!' Kelly has worked in both the public and private sector. Her cases have included embezzlement, conflict of interest, intellectual property, Open Source intelligence, and fraud. Her most recent position at at Nike where she was recruited for her expertise in Open Source Intelligence and being a Certified Fraud Examiner. She also was a contact investigator for the Department of Homeland Security doing background investigations. She has performed hundreds of top secret clearance background investigations for the federal government (Not Edward Snowden's though!). Read more about Kelly and her Company at www.KellyPaxton.com!
*Amanda 'Jo' Erven, CPA, CIA, CFE, President & Founder
Audit. Consulting. Education. LLC
'Fraud and Pop Culture'
Did you know the movie Psycho is a story of an embezzler? From past to present – from fact to
fiction – from movies, to podcasts, to books – get ready to dive in to all things “Fraud and Pop
Culture” with Kelly and Jo!
Amanda 'Jo' Erven, CPA, CIA, CFE, is the President and Founder of Audit. Consulting. Education. LLC. After a successful career in external/internal audit and accounting, Jo is now an active Internal Audit Strategist, Ethics and Culture Consultant, Higher Education Professor, Author, and Trainer/ Speaker, providing Continuing Professional Education (CPE) hours, live and virtually, to organizations across the globe. Jo's motto says the most about her personal and professional outlook: “Good things come to those who wait… but don’t. You deserve better than good.” Every one of her books and presentations focuses on that proactive stance, and how we can immediately connect our actions to our values.