Compliance Management Systems (Financial Institutions Conference)


CPE Credits



PICPA Member: $29 | Nonmember: $39

 More Information

Course No.

You will have up to 90 days after the date of purchase to complete the course and take the exam.


If you attended the Financial Institutions Conference on September 28-29, 2015, this course would be considered a duplicate and cannot be used towards your CPE requirement.

Hear Ann Aerts, CPA, Lynn Bedard, and Douglas Hallett, CPA, CISA, CFSA, cover the history and regulatory expectations of a compliance managment system, including these points:

  • Regulatory guidance
  • Three lines of defense model
  • Common implementation and sustainability pitfalls and challenges


Ann M. Aerts, CPA
PricewaterhouseCoopers LLP

Ann is a Partner in PwC's US Financial Services Internal Audit Service practice. She has over 25 years of experience serving internal audit clients in the financial services industry. She has a diverse background and experience providing assistance to internal audit, compliance and risk management functions assessing, evaluating, designing and implementing solutions to meet the changing regulatory environment and complex business needs within the financial services industry.

Throughout her career, Ann has implemented and executed hundreds of internal audit engagements ranging from full outsourcing to co-sourcing and strategic sourcing of subject matter specialists. In her full outsourcing client engagements, she has been the primary liaison with executive management and the Audit Committee, responsible for the entire internal audit life cycle; risk assessment through reporting. In addition, Ann has worked with several organizations to better integrate the compliance, risk and governance functions to leverage data and information and manage touch points throughout the larger organization. 

Ann has also led projects to assist financial service and other organizations in designing and executing management programs to comply with Sarbanes-Oxley (SOX) Section 302 and 404. She has worked on numerous SOX engagements where Ann and her team have been responsible for executing management testing, working with management to assess results.

Ann earned her Bachelor of Arts (BA) in accounting and finance at the University of Wisconsin. She received her Master of Business Administration (MBA) at Creighton University. She is a Certified Public Accountant licensed in Pennsylvania.

Douglas A. Hallett, CPA, CISA, CFSA
PricewaterhouseCoopers LLP

Doug is a Director in PwC's US Financial Services Internal Audit Service practice. He has over 13 years of experience in professional services, helping clients solve governance, regulatory compliance, internal audit, internal controls, and IT related challenges.

Doug has experience working with large global banks, smaller regional banks, as well as non-bank financial service institutions.  In recent years he has spent the majority of his time helping clients address regulatory compliance challenges in lending and servicing.  Doug has led numerous projects related to consumer compliance and protection including topics such as Compliance Management (CMS), Consumer Complaint Management, and Third-Party Risk Management.  In addition, he has helped multiple institutions assess and enhance practical governance and risk management functions to align with the organization’s business, size, and complexity considering regulatory expectations and industry practices.

Doug also has extensive experience with internal controls over financial reporting (ICFR).  He has led projects to assist management with the development and implementation of an ICFR program and external audit teams responsible for testing the design and effectiveness of internal controls.

Doug earned his MS Accounting from the University of North Carolina, Chapel Hill. He received his BA Finance and BA Management Information Systems from Virginia Tech. Doug is a Certified Public Accountant licensed in Pennsylvania and North Carolina. He is also a Certified Information Systems Auditor (CISA) and a Certified Financial Services Auditor (CFSA).

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