James F. Strickland
Chief Audit Executive
TDBANKNORTH, N.A.
Portland, Maine
As a follow-up to a presentation at last year's conference that
presented the results of a FIRMA member survey on best practices and
tendencies in Compliance, Audit and Risk Management oversight for
brokerdealers and wealth management, Jim will provide attendees a
practical view of the application of those practices. Calling on 25
years of experience, Jim will discuss tools and techniques that have
proven effective in coordinating Audit and Compliance oversight
activities in banks with broker dealers and wealth management
businesses, interacting with regulators, what lessons have been learned
from the industry events of the recent past, and what changes may be in
order to increase the role's effectiveness in a post financial reform
world.
