Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

SKU: SEC072 Back to Course Listings

Georgia CLE
Accreditation Info

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About This Course

This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing due diligence to event response and offboarding.

Topics include:

Vendor management and due diligence per Regulatory Notice 21-29 (FINRA's reminder of supervisory obligations related to third-party outsourcing) and feedback from the vendor questionnaire
Best practices and tools for initial and ongoing vendor management and due diligence
Key considerations for vendor relationships, including bidirectional reporting of cyber events, WORM compliance, testing, and more

Lecturer Bios

Kathryn Travers

Kathryn Travers is Risk Monitoring Director in the M&A Investment Banking in FINRA’s Boston Office. Ms. Travers has more than 20 years of experience in the investment industry with 17 of those employed by FINRA.

Her responsibilities include managing the Risk Monitoring Analysts in her section that are responsible for monitoring the financial and sales practice day-to-day activities of 250 member firms.

Ms. Travers is a graduate of Stonehill College with a double major in Economics and Political Science. She also obtained her Certified Fraud Examiner (CFE) designation in 2016.

Brian Carter

Brian Carter is Vice President of Technology for Sigma Financial Corporation and Parkland Securities, LLC. He joined the firm in early 2021 to lead the effort to modernize and transform their technology platform. Mr. Carter brings a passion for implementing technology that helps organizations and people be more effective. How can we create solutions that allow people to shift their time from doing lower-value work to higher-value work? In the Post-COVID World with people working remotely, how do we allow them to do their work effectively while mitigating the constant cybersecurity threats posed by bad actors? These are some of the questions Mr. Carter thinks the most about.

He began his 20 plus years of experience in financial services technology as a programmer tasked with building a new commission processing system for National Planning Holdings, a broker dealer network formerly owned by Jackson National Life. From there he moved into various leadership roles, gaining experience in a wide range of technology disciplines. Mr. Carter earned an MBA from Vanderbilt University in 2014, which was a catalyst to transforming his outlook on technology to be more business focused.

Sarah S. Kwak, Esq.

Sarah S. Kwak is Associate General Counsel in FINRA’s Office of General Counsel, specializing in sales practice regulatory policy with a particular focus on the FINRA rules governing the membership application process, supervision, and customer account statements.

Prior to joining FINRA, Ms. Kwak was an Assistant Vice President at Merrill Lynch Pierce Fenner & Smith and served as a judicial law clerk for United States Bankruptcy Court Judge Barry Russell of the Central District of California. She holds two bachelor’s degrees from the University of California at Irvine and a J.D. from Washburn University School of Law.

Carmi Moser

Carmi Moser is a Senior Principal Risk Specialist with the team leading technology & cybersecurity examinations and investigations, providing cybersecurity consultations and training under the Cyber & Analytics Unit at FINRA.

Prior to joining FINRA, Carmi performed twelve years of combined hands-on and management experience in the Information Technology and Cybersecurity domains working in roles responsible for Governance, Risk & Compliance, Security Operations, and IT Operations. Her broad experience includes work at Kaseya, PyeongChang Winter Olympics, Virgin Hyperloop One and the Department of Energy’s cybersecurity operations center.

She completed her Master’s in Information Technology at American InterContinental University and holds several cybersecurity certifications including CISSP, CCSP, CDPSE, and GCIH.

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Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

Georgia CLEAccreditation Info

About This Course

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