Confirmed Panelists:

William Brodows, Senior Vice President, Supervision Group, Federal Reserve Bank of New York

William J. Brodows is a Senior Vice President in the Supervision Group at the Federal Reserve Bank of New York. He leads the supervision of the Large and Foreign Banking Organizations based in the Federal Reserve’s Second District and is a member of various Federal Reserve System committees. Mr. Brodows joined FRBNY as a bank examiner in 1996 and has served in a number of management positions in large bank supervision and risk specialty areas. 

Prior to the Federal Reserve, Mr. Brodows worked at Merrill Lynch in corporate treasury and in the futures business. He also served as Treasurer of a regional bank holding company based in Rochester, NY. 

Mr. Brodows holds a B.A. from Boston University and an M.B.A. from the University of Rochester.

 

Beth Dugan, Deputy Comptroller for Large Bank Supervision, Office of the Comptroller of the Currency (OCC)

Beth Dugan is a Deputy Comptroller for Large Bank Supervision at the Office of the Comptroller of the Currency (OCC).

In this position, Ms. Dugan is one of four deputy comptrollers overseeing the supervision of the OCC’s large bank portfolio. She assumed these duties in August 2019 and reports to the Senior Deputy Comptroller for Large Bank Supervision.

Prior to this role, Ms. Dugan served as the Deputy Comptroller for Operational Risk and oversaw policy and examination procedures development addressing operational risk, bank information technology, cybersecurity, critical infrastructure resilience, payments systems, and corporate and risk governance. She also oversaw the OCC’s supervision of significant service providers as part of an interagency supervision program.

Throughout her career at the OCC, Ms. Dugan has held a variety of leadership roles in supervising large complex financial institutions, as well as midsize and community banks and technology service providers. She has significant examination experience in technology, operations, audit, Basel II, enterprise governance, systems integration, and credit, capital markets, and trading platforms. Ms. Dugan is a commissioned National Bank Examiner and Certified Information Systems Auditor.

Ms. Dugan joined the OCC in West Virginia where she assisted in supervising all aspects of community and mid-size national banks throughout the southeastern and mid-Atlantic region. She holds a bachelor of arts in English and a master of business administration from West Virginia University.

 

Maurya Crawford Keating, Associate Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Maurya Crawford Keating is an Associate Regional Director in the New York Regional Office of the U.S. Securities and Exchange Commission. She joined the SEC’s Division of Examinations in 2018 as co-head of the NYRO Investment Adviser/ Investment Company unit, also serving as acting head of the Broker-Dealer/Exchange unit in the latter half of 2020. 

Before joining the SEC, she was a Lead Director and Associate General Counsel in the National Compliance Office of AXA Equitable Life Insurance Company. Her work for AXA Equitable included advising on a wide range of securities, insurance and investment advisory compliance, product and distribution issues, including international legal and compliance issues associated with AXA Equitable’s affiliation with AXA Group, a global financial services organization. Maurya was also Vice President, Chief Broker-Dealer Counsel & Investment Advisor Chief Compliance Officer of AXA Advisors, LLC, a full-service broker-dealer and investment adviser. Prior to AXA Equitable, she was an Associate General Counsel at New York Life Insurance Company and Royal Alliance Associates, Inc.

Maurya received her J.D. from St. John’s University School of Law, and her B.A. and M.A. from The Catholic University of America. She is admitted to practice as an attorney in New York state, and is on the Roll of Solicitors of the Law Society of England & Wales.

 

Michael G. Rufino, Associate Regional Director in the New York Regional Office, U.S. Securities and Exchange Commission

Michael G. Rufino is an Associate Regional Director in in the New York Regional Office (NYRO) of the U.S. Securities and Exchange Commission (SEC). He recently joined the Division of Examinations as co-head of the NYRO Broker-Dealer Exchange Program responsible for overseeing broker-dealers, municipal advisors and transfer agents located in New York and New Jersey.

Before joining the SEC, Michael was an Executive Vice President in Member Supervision at the Financial Industry Regulatory Authority (FINRA) responsible for overseeing their Sales Practice/Business Conduct Program, which included overseeing the risk monitoring and examination programs for FINRA member firms, their branch offices and associated persons. Prior to his role as Executive Vice President, Mr. Rufino held the roles of Senior Vice President, Deputy and Chief Operating Officer in FINRA's Member Supervision Sales Practice Program. Before joining FINRA, Mr. Rufino held the roles of Senior Vice President, Vice President and Managing Director in the New York Stock Exchange's Member Regulation Program.

Mr. Rufino received his B.B.A. in Finance magna cum laude and Masters in Managing Information Systems with honors from Iona College. He is also a CAMS certified anti-money laundering specialist.

 

Moderators: