2022 Regulatory Update


Date: Thursday, June 2, 2022

Panel Discussion: 5:00 PM – 6:15 PM ET 


Please join the RMA NY Chapter on Thursday, June 2nd, for a discussion on key risk and control areas on the regulatory radar given the current macroeconomic environment, market events and post pandemic developments. Topic will include:

  • 2022 Regulatory & Supervisory Priorities
  • Emerging Regulatory Risks and How the Financial Services Industry Should Address These Risks
  • Operational Resiliency Risks
  • Evolving Environmental, Social and Governance (ESG) in the Markets and Regulatory Focus
  • The Role of Technology in the Risk and Compliance Profession

Registrants are welcome to submit questions to the panelists in advance of the session. Please send all questions to rma@rmany.org

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.



Carlo di Florio, Global Chief Services Officer, ACA Compliance Group

Carlo di Florio is the Global Chief Services Officer of ACA Compliance Group. At ACA, Carlo is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (“GRC”) service offerings. His responsibilities include oversight, management, and strategic growth of ACA’s global regulatory compliance, cybersecurity and risk, AML and financial crimes, and performance practices.

Prior to joining ACA, Carlo worked for over 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), where he was a Partner in the Financial Services Risk & Regulatory Practice; the Securities and Exchange Commission (SEC), where he was the Director of the Office of Compliance Inspections and Examinations (OCIE); and the Financial Industry Regulatory Authority (FINRA), where he was the Chief Risk & Strategy Officer. In these roles, Carlo led the design and implementation of large-scale regulatory compliance improvements, technology and data analytics transformations, and risk management program enhancements.

Carlo also serves as Co-President and Governor of the Risk Management Association (RMA) NY Chapter and as Adjunct Professor at Columbia University, Master of Science program in Enterprise Risk Management. Carlo has been named one of the 100 Most Influential Leaders in Corporate Governance by the Association of Corporate Directors; one of the Top Trailblazers & Pioneers in Governance, Risk & Compliance by The National Law Journal; and one of the Most Influential People in Finance by Worth Magazine.


Yvonne Pytlik, Professor at Columbia University MS. ERM – Strategic Risk Management; CEO and Managing Partner, Global Compliance Risk Management Corp.

Yvonne is CEO and Managing Partner at Global Compliance Risk Management Corp. based in NYC and Wellesley, MA - a strategic advisory and regulatory compliance risk management firm. GlobalRMC (www.GlobalRMC.com) provides a comprehensive range of compliance and regulatory services to the global financial services industry, Asset Management Firms, Hedge Funds, Private Equities, Broker Dealers and Banks. As a trusted partner for clients, we deliver on time, within budget and to the highest quality standards, always striving to exceed expectations. 

Yvonne is a recognized ERM and compliance industry expert, and frequent speaker addressing Governance, Risk and Compliance best practices in the asset management industry. She is a senior executive and one of industry's most highly sought after strategists in compliance risk management for financial institutions. Yvonne serves on the Board of Governors - Executive Committee and Audit Committee at RMA NYC.

Ms. Pytlik was most recently Senior Vice President, Chief Compliance Officer and Head of US Regulatory Compliance at HSBC Global Asset Management (USA) Inc. in New York. Yvonne has a long and distinguished career in compliance as the Chief Compliance Officer, Head of Compliance and Risk and Chair of Compliance Committees at a number of high profile firms, including KPMG, Deutsche Bank and Virtus Investment Partners, responsible for overseeing all compliance matters enterprise-wide for investment advisers, mutual funds and broker dealer businesses. During her tenure at major financial services firms, Yvonne made numerous significant contributions to the firms' overall compliance organizations, including the development and implementation of global compliance risk management functions in the Americas, Europe, and Asia-Pacific regions.  She has an M.B.A. from Suffolk University and a B.S. in Management from University of Massachusetts.


Thank you to S&P Global Ratings for our Platinum Sponsor for all programming in 2022. 

**Registration can be done online by clicking here.
  • Members of RMA-NY Chapter: $20
  • Non-Members of RMA-NY Chapter: $45
  • DISCOUNT Join/Re-Join and Attend the Webinar: $85 (Memberships valid until 8/31/2023)


**Please be aware of the RMA New York Chapter Antitrust Policies HERE**



Your membership category will be verified after receipt. If an adjustment is needed due to selecting an incorrect category at checkout, RMA NY Chapter is authorized to place a charge or credit on the card number supplied. All payments must be received prior to admission to meeting. THE OFFICIAL CUT-OFF DATE TO PRE-REGISTER is Wednesday, June 1, 2022. Cancelations must be received 48 hours in advance to qualify for a refund; cancellations after that time and no-shows are liable for payment. 



Phone: 914-332-0042 

Email: rma@rmany.org

Register Online at: www.rmany.org

RMA New York Chapter

25 North Broadway

Tarrytown, NY 10591