CFO CONFERENCE WITH FMS, NY/NJ CHAPTER

Transcription

1 CFO CONFERENCE WITH FMS, NY/NJ CHAPTER Tuesday, November 15, 2016 Hotel Woodbridge at Metropark, Iselin, NJ Presented By:

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3 BEYOND THE NUMBERS CFO CONFERENCE w/ FMS, NY/NJ Chapter Hotel Woodbridge at Metropark, Iselin, NJ Tuesday, November 15, :00 a.m. 8:30 a.m. Registration / Continental Breakfast 8:30 a.m. 8:40 a.m. Welcome / Introduction Alan J. Bedner, EVP/Chief Financial Officer Unity Bank 8:40 a.m. 9:30 a.m. Economic Update Dr. Alan S. Blinder, Vice Chairman Promontory Interfinancial, LLC 9:30 a.m. 10:20 a.m. The Changing Role of the CFO Barry Adcock, Financial Performance Strategist Deluxe Financial Services, Inc. 10:20 a.m. 10:40 a.m. Networking Break 10:40 a.m. 11:30 a.m. Regulatory Hot Topics Panel Moderator: Edward C. Hogan, Esq., Shareholder Stevens & Lee, PC Panelists: Joseph N. Durham, CRCM, CAMS Crowe Horwath, LLP Richard L. Quad, Co-Head, Financial Institutions Griffin Financial Group, LLC Gregory J. Rubis, Esq., Special Counsel Pepper Hamilton LLP Paul H. Schieber, Esq., Shareholder Stevens & Lee, PC 11:30 a.m. 11:55 a.m. BSA Validation: How to Evaluate your Need David Lutz, BSA/AML Manager P&G Associates 11:55 a.m. 12:45 p.m. The War for Talent in Banking: Strategies for Success Alan J. Kaplan, Founder & CEO Kaplan Partners 12:45 p.m. Optional Luncheon / Networking 12:45 p.m. Adjournment

4 BEYOND THE NUMBERS CFO CONFERENCE w/ FMS, NY/NJ Chapter Hotel Woodbridge at Metropark, Iselin, NJ Tuesday, November 15, 2016 SPEAKER BIOGRAPHIES (In Order of Appearance) Alan J. Bedner Unity Bank Since 2001, Alan J. Bedner has served as the chief financial officer and executive vice president of Unity Bancorp Inc. Prior to joining Unity Bank, Bedner worked for Summit Bancorp and SEI Asset Management. He is a graduate of York College of Pennsylvania and is a certified public accountant. Dr. Alan S. Blinder Promontory Interfinancial, LLC Dr. Alan S. Blinder is the Gordon S. Rentschler Memorial Professor of Economics and Public Affairs at Princeton University. Dr. Blinder is also vice chairman of Promontory Interfinancial Network, and a regular columnist for The Wall Street Journal. He served as Vice Chairman of the Board of Governors of the Federal Reserve System from June 1994 until January In this position, he represented the Fed at various international meetings, and was a member of the Board's committees on Bank Supervision and Regulation, Consumer and Community Affairs, and Derivative Instruments. He also chaired the Board in the Chairman's absence. He speaks frequently to financial and other audiences. Before becoming a member of the Board, Dr. Blinder served as a Member of President Clinton's original Council of Economic Advisers from January 1993 until June There he was in charge of the Administration's macroeconomic forecasting and also worked intensively on budget, international trade, and health care issues. During the 2000 and 2004 presidential campaigns, he was an economic adviser to Al Gore and John Kerry, and he continues to advise numerous members of Congress and officeholders. He also served briefly as Deputy Assistant Director of the Congressional Budget Office when that agency started in 1975, and testifies frequently before Congress on a wide variety of public policy issues. Dr. Blinder earned his A.B. at Princeton University in 1967, M.Sc. at London School of Economics in 1968, and Ph.D. at Massachusetts Institute of Technology in 1971 all in economics. Dr. Blinder has taught at Princeton since 1971, and chaired the Department of Economics from 1988 to He was the Founder and either Director or Co-Director of Princeton's Center for Economic Policy Studies from 1989 to Dr. Blinder is the author or co-author of numerous books and has written scores of scholarly articles.

5 He was previously President of the Eastern Economic Association and Vice President of the American Economic Association. He is a member of the board of the Council on Foreign Relations, a member of the Economic Club of New York, the Bretton Woods Committee, and the Bellagio Group, and a former governor of the American Stock Exchange. He also serves on academic advisory panels for the Federal Reserve Bank of New York and the Hamilton Project. He has been elected a Distinguished Fellow of the American Economic Association, and a member of the American Philosophical Society, the American Academy of Arts and Sciences, and the American Academy of Political and Social Science. Barry Adcock Deluxe Financial Services, Inc. Barry Adcock helps community banks identify and act upon opportunities to improve their net interest margin and the efficiency of their financial reporting processes through Banker s Dashboard, a web-enabled performance-management solution that aggregates financial data, provides daily insight, and guides CEO and CFO decisions. Adcock draws upon a deep understanding of financial institutions operations gained through almost 25 years experience in Controller and CFO roles at The Banker s Bank, Georgian Bank and NorthSide Bank. He holds a bachelor s degree in business administration and accounting from Kennesaw State University and earned his CPA license from the State of Georgia in Edward C. Hogan, Esq. Stevens & Lee, PC Edward C. Hogan, Esq. represents financial institutions and other companies in connection with public offerings and private placements of securities, mergers and acquisitions and ongoing regulatory requirements under banking and securities laws, as well as general corporate and shareholder matters. Hogan has represented both banks and insurance companies in their conversions from mutual to stock form. He has served as both issuer s and underwriter s counsel in initial and secondary public offerings and in private placements of equity. Hogan has served as counsel to both the acquirer and the acquired company in mergers and other change-in-control transactions. He has advised start-up (de novo) banks and their organizers on formation and organization matters, obtaining the necessary regulatory approvals and raising initial capital. Hogan has also represented several public companies in connection with the spin-off of subsidiaries to the public companies shareholders to create new publicly held companies. He has also assisted multiple banks and thrifts with the formation of their holding companies. In addition, Hogan has advised community banks in their defense against hostile takeover attempts and numerous other banking institutions in the design and implementation of anti-takeover provisions and techniques. Together with the firm s employee benefits lawyers, he has drafted and negotiated numerous employment and change in control agreements between banks and their executive officers.

6 Joseph N. Durham Crowe Horwath, LLP Joseph N. Durham is a senior manager in the Regulatory Compliance Risk Consulting practice and is responsible for managing Compliance and Bank Secrecy Act/Anti-Money Laundering audit and consulting relationships. Durham s primary focus is serving clients in the Northeast United States, but is experienced with financial institutions of all sizes throughout North America. He has over 13 years of experience at Crowe Horwath, entirely in the regulatory compliance and BSA/AML field. His primary areas of expertise are BSA/AML and Office of Foreign Assets Control (OFAC) regulations, Compliance Management Systems, and consumer protection regulations, including Fair Lending and Unfair, Deceptive, or Abusive Acts or Practices (UDAAP). Durham also serves as a senior engagement manager, primarily responsible for annual engagement planning, client communications and coordination, and overall technical and quality assurance for compliance and BSA/AML projects. He works with management to develop annual risk assessments and compliance audit plans. He works closely with the engagement executive on final client deliverables, as well as Audit Committee communications and deliverables. Durham is a Subject Matter Expert supplementing regulatory compliance consulting engagement teams for larger clients throughout the country. He also performs speaking and teaching arrangements for various institutions and organizations. He holds a B.A. in economics from the University of Michigan. He is a Certified Regulatory Compliance Manager (CRCM) and Certified Anti-Money Laundering Specialist (CAMS). Richard L. Quad Griffin Financial Group LLC Richard L. Quad is a trusted advisor to banking executives and Boards of Directors of community banks throughout the Eastern United States. Quad provides investment banking services to financial institution clients, including sell-side, buy-side, capital markets and related strategic and valuation services. While at Griffin Financial, he has advised Connecticut River Bancorp, Inc. on its sale to Mascoma Savings Bank, advised CNB Financial on its acquisition of FC Bank Corp., advised Bristol County Savings Bank on its purchase of deposits and four branch locations from Admirals Bank, advised BankNewport on its purchase of deposits and two branch locations from Randolph Savings Bank and has advised New Hampshire Thrift Bancshares both in its acquisition of Central Financial Corporation and in a $17 million raise of subordinated notes from accredited investors. Quad has more than 20 years of experience in both investment banking and commercial banking in the Northeast. As a senior investment banker, he has successfully completed over 50 assignments for more than 25 community bank clients including common, convertible, preferred stock and subordinated debt offerings, buy-side, sell-side and FDIC receivership transactions, as well as strategic and general advisory assignments.

7 Prior to joining Griffin, Quad was most recently Head of U.S. Financial Institutions M&A at RBC Capital Markets. During his 11-year tenure at RBC, he also served as Co-Head of U.S. Depository Institutions. He joined RBC in 2001 following its acquisition of Tucker Anthony Sutro, where he was a Vice President in the Financial Institutions Group. Quad s prior experience includes tenures with regional broker-dealer Advest, Inc., where he also worked in financial institutions investment banking, as well as with Banknorth Group, Inc., at the time a $2 billion bank holding company headquartered in Vermont, where he founded the company s internal M&A function and coordinated the bank s first two acquisitions. He received a B.S., magna cum laude, in business administration with a concentration in finance from the University of Vermont and an MBA with distinction from Cornell University. He holds Series 7 and 63 licenses from FINRA. Gregory J. Rubis, Esq. Pepper Hamilton, LLP Gregory J. Rubis, Esq. is special counsel in the Financial Services Practice Group of Pepper Hamilton LLP, resident in the Princeton office. Focusing on banking, securities and corporate law matters. Rubis practiced previously in California, New York and Washington, D.C. as a partner in two law firms, and has represented dozens of clients before the federal bank regulatory agencies, the U.S. Securities and Exchange Commission, and various state banking and securities regulators across the country. Before joining Pepper, he was counsel with the Office of the Comptroller of the Currency in New York, where he negotiated enforcement documents, participated in bank examinations, coordinated action with Federal Reserve and FDIC staff, and provided advice regarding supervision of banks, federal branches and agencies, and trust banks. His advice included analysis and interpretation of licensing, asset management and BSA/AML/OFAC issues. Before that, Rubis served the U.S. Department of the Treasury as a senior attorney in its Office of Thrift Supervision, working on federal banking, securities and corporate matters concerning savings associations and holding companies. He started his legal career in Washington, D.C. with the U.S. Securities and Exchange Commission in the Division of Corporation Finance, and then with the bank fraud task force within the Division of Enforcement. That government service included a detail where Rubis tried criminal cases before juries as a Special Assistant U.S. Attorney. Paul H. Schieber, Esq. Stevens & Lee, PC Paul H. Schieber, Esq. concentrates his practice in the area of consumer financial services and retail banking. Schieber represents banks, thrift institutions, credit unions, mortgage companies, loan servicers, finance companies, secondary market investors, real estate and title insurance companies, and other financial services providers and investors. He presents regularly to national financial services and related service provider organizations, including the Mortgage Bankers Association of America, American Bankers Association, Pennsylvania Bankers Association, Pennsylvania Association of Community Bankers,

8 Pennsylvania Credit Union Association, Real Estate Settlement Providers Council (RESPRO), October Research and the American Conference Institute. He is widely published on finance issues and is the co-author of The Lender s Guide to Consumer Compliance and Anti-Discrimination Laws, co-author of Pratt s State Regulation of Second Mortgages and Home Equity Loans and is the original author of theallregs State Law Compliance Module. Schieber has authored over 30 articles for both industry and legal publications. He is quoted regularly in trade publications, including, for example, Consumer Bureau Shaking Things Up, published in the Philadelphia Business Journal. In 2016, Schieber was inducted into the American College of Consumer Financial Services Lawyers. Since 2009, he has been recognized as one of the leading banking and finance lawyers in Pennsylvania by international legal research publisher Chambers & Partners, an honor based on an intensive research process incorporating client feedback. Prior to entering private practice in 1986, Schieber served as the executive director of the Public Housing Authorities Directors Association in Washington, D.C. He was also a legislative assistant in Governor Hugh Carey s New York State Office of Federal Affairs and to Congressman James Scheuer. David Lutz P&G Associates David Lutz is an experienced audit manager at the firm for the specialized area of Bank Secrecy Act/AML Compliance reviews. Lutz is a Certified Anti-Money Laundering Specialist ( ACAMS ) and is involved in the assessment of the adequacy of client Customer Identification Program, Customer Due Diligence, Enhanced Due Diligence, Suspicious Activity Monitoring policies and procedures, and Office of Foreign Assets Control programs. He has extensive experience in performing detailed testing of clients Anti-Money Laundering Program. This process involves a comprehensive independent assessment of client customer activities to determine if potential suspicious activity went unidentified by the Bank. Lutz has also assisted in independent Look-Back Reviews, BSA/AML System Validation, and Program Optimization for community banking clients. He leads the Firm s BSA/AML Audit Team, performing targeted and specialized BSA/AML Compliance reviews for banking and credit union clients of varying sizes. Lutz is a member of the NJ Banker s BSA Committee, NYSSCPA Anti- Money Laundering and Counter Terrorist Financing Committee, and Association of Certified Anti- Money Laundering Specialist (ACAMS). Alan J. Kaplan Kaplan Partners Alan J. Kaplan is the Founder and CEO of Kaplan Partners, a retained executive search and talent advisory firm headquartered in suburban Philadelphia. Since the firm s founding in 1994, Kaplan Partners has provided Boards of Directors and CEOs with advice on the dynamics of leadership succession, and assistance with the identification, assessment and selection of new CEOs, Directors and senior executives. The firm is an acknowledged leader in the fields of talent management and leadership succession across the banking and financial services industry.

9 Kaplan has over 29 years of talent management experience serving the financial sector, after an initial career in corporate banking with two leading Philadelphia banking institutions. He has successfully led over sixty bank CEO/Succession projects, as well as hundreds of C-Level search assignments. Kaplan Partners also counsels clients on CEO Succession Management, and conducts Management Assessments of leadership teams for professional development and succession planning. He holds an economics degree from Penn State University, and an M.B.A. in finance from Temple University. He is a member of the Dean s Council of the Temple University Fox School of Business, and served as an Advisory Board Member for Penn Liberty Bank. Alan is a weekly business commentator on talent management and career issues for KYW News Radio 1060 in Philadelphia; a monthly columnist for SmartCEO Magazine; and a frequent speaker and author for banking associations across the country. In addition, Kaplan serves as a member of the Global Board of Directors for the Association of Executive Search Consultants, the worldwide organization representing retained executive search and leadership consultants. Kaplan Partners is also a Founding Member Firm of the Partners Search Alliance, a nationwide consortium of leading boutique executive search firms.

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