Financial Institutions Conference

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Special Notes

  • Please note: You may attend this program via live webcast from your own computer. Register for the live webcast option HERE.
  • Reserve your overnight accommodations at The Meadows by April 30 in order to receive the negotiated room rate of $107 . Book at and use group code 05212018ISC or call 515-957-3000, 800-325-9015 and mention Iowa Society of CPAs.
  • Conference materials will be distributed electronically to each participant 3-5 days prior to the conference.




  • Accounting
  • Personal Development
  • Specialized Knowledge
  • Technology
  • Taxation

Designed For

CPAs, CEOs, CFOs and other financial staff working for financial institutions and CPAs who have financial institutions as clients.


To provide the latest information on accounting and financial issues affecting financial institutions.

Your Price: $300.00

This is your base price and does not reflect any additional session fees, optional add-ons, or guest registrations. This price includes the early-bird discount. Full prices will be applicable to all registrations after May 8, 2018.

Members log in and save $50.00 on this event. Not a member? join today.


May 22, 2018

8:10am - 9:10am (Central Time)

Ernie Goss manages two Creighton University monthly surveys of banks and businesses in twelve Mid-America states, including Iowa. Learn about likely changes, based on survey results and other national data, such as inflation and interest rates and farm and overall income. Economic risks and opportunities will also be discussed.

Speaker: Ernie Goss, Ph.D.-Chair, Regional Economics | Creighton University and Principal, Goss Institute

9:10am - 9:30am (Central Time)

Obtain an update on the condition of Iowa's state chartered banks as well as other hot topics relating to regulating Iowa's banks.

Speaker: Shauna Russell Shields-Bank Bureau Chief | Iowa Division of Banking

Select One and Only One
9:40am - 10:30am (Central Time)

We live in a VUCA world, one characterized by volatility, uncertainty, complexity and ambiguity. To thrive in this rapidly changing world, it is critical that we find the courage to do the right thing in order to serve our organizations and colleagues with integrity. This session will examine the interplay among ethics, integrity and authenticity. The discussion will focus on what it means to leave, lead and work an authentic life by examining the five main areas of authenticity: purpose, values, relationships, self-determination and compassion.

Speaker: Tom Westbrook, Ph.D. | Drake University and Learn Associates

9:40am - 10:30am (Central Time)

Check back for session description and speaker

Select One and Only One
10:40am - 11:30am (Central Time)

This session will highlight key areas of CECL implementation, with a focus on issues facing community banks.

Speaker: Nathan Barnes, CPA-Assurance Manager | RSM US LLP

10:40am - 11:30am (Central Time)

Check back for session description 

Dave Augustyn, CPA- Partner | KPMG US

12:15pm - 1:10pm (Central Time)

Discover the five leadership practices shown to help create an engaged workforce that share common goals and work productively toward common results. The five core practices include:

  • Model the Way
  • Inspire A Shared Vision
  • Challenge the Process
  • Enable Other to Act
  • Encourage the Heart. 

The session will conclude with action planning on how you can elevate your efforts to lead individuals and teams.

Speaker: Tom Westbrook, Ph.D | Drake University and Learn Associates

Select One and Only One
1:15pm - 2:10pm (Central Time)

This session will review current cybersecurity threats, statistics and how to implement controls and training to mitigate the threats.

Speaker: Jerry Warrick, MCSE | Director of  Technology and Management Consulting | RSM US LLP

Select One and Only One
2:20pm - 3:10pm (Central Time)

Proprietary technology and closed standards are causing confusion and unnecessary complexity in the world of payments. This session will discuss the current state of the payments industry, potential problems of current trends and ways financial institutions can maximize choice and flexibility while taking back some control of their payments program.

Speaker: Patrick Dix-vice president public relations | ITS
2:20pm - 3:10pm (Central Time)

This session will cover state administrative, judicial and legislative updates specific to financial institutions. 2017 developments and states' reaction and the impact of federal tax reform will be covered.

Speakers: Tracy Graham, Senior Manager National State and Local Tax Practice and Jodie Scott, Partner Minneapolis State and Local Tax Practice | KPMG LLP

2:20pm - 3:10pm (Central Time)

As Beyond the Obvious author Phil McKinney states, “All ideas, concepts, products, and/or services have a natural progression”.   If this progression isn’t appropriately acknowledged and addressed, these will move from consideration as “tomorrow’s answers” to “yesterday’s news”.  The ability to think and act innovatively to ensure the right decisions are being made is a differentiator in who will be successful and who will not.   
This session will explore innovative thinking in today’s business.  Specific areas of focus include:   

  • Differences between creative thinking and innovative thinking, and the roles both play in business.
  • Innovative thinking from a strategic planning perspective, and why many organizations can do it better.
  • Trends shaping the way innovation, if done well, can make a difference.
  • The impact innovative thinking has on one’s ability to attain/sustain success, or move toward  obsolescence.
  • Integrating a mindset of innovation into a team, department, or organization.

Speaker: Gary Walljasper | The Carlson Group, LLC and Your Clear Next Step

Note: This session is not available for webcast attendees.

3:20pm - 4:20pm (Central Time)

Special agent Kohler will share information about bank fraud matters, using FBI investigations as case studies.

Speaker: Kevin Kohler, CPA |Federal Bureau of Investigation


Thomas S. Westbrook

Show Bio

Tom Westbrook serves as Dean of Continuing Education at Drake University in Des Moines. He directs and teaches in the new undergraduate minor in Leadership Education and Development and has also taught graduate leadership classes. Tom's company, Learn Associates LLC designs and offers leadership, train the trainer and organization development courses. He is a featured speaker at numerous corporations and other educational events. He is very successful at blending the theoretical aspects of leadership with practical, performance-based applications.

While at Simpson College, Tom served as Dean of Continuing Education, a program he initiated in 1980s. He has been published in many leading journals including The Human Resource Development Quarterly, American Journal of Distance Education, and The Journal of Continuing Higher Education. Tom was awarded the Iowa Distance Education Association’s Points of Presence Award for exemplary programming in 1999. He earned a docotorate at the University of Iowa where he was awarded the Leonard B Davis Award for scholarship and service.

Here is a sample of responses to Tom’s recent presentations: “I could have listened to him all day…Very helpful, very engaging." “We could have Tom every year and it would not be too much." “Enclosed is a copy of the evaluation summary for the seminar. I must tell you that in all of the 23 plus years I have served as executive director, these are truly some of the highest evaluations I have ever seen. It is extremely rare to see evaluations that, in allcategories, exceed 4.5 on a scale of 1 to 5.”

Kevin Kohler

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Kevin Kohler is a special agent for the FBI, a position he has held for 18 years. He investigates a wide range of federal criminal violations. Kevin’s primary area of focus is complex financial crimes, including bank fraud, insurance fraud, health care fraud, corporate fraud, embezzlements, and public corruption. He travels as part of the FBI's corporate fraud response team, assisting on significant financial crimes across the country.

Prior to becoming an FBI agent, Kevin worked in the Minneapolis office of Deloitte, a national accounting firm. He has been a licensed CPA since 1997. Kevin obtained a bachelor’s and master’s degree in accounting from Brigham Young University in Provo, Utah.

David Augustyn

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Dave Augustyn is a partner at KPMG US in Chicago. He serves in the accounting advisory services group within the deal advisory and strategy practice. Dave commenced work with KPMG in the Chicago audit practice in October 1990 and joined the accounting advisory services group in May 2000.

Dave is a frequent presenter and panelist at various industry conferences in the areas of accounting for structured finance transactions, business combinations, consolidation issues, joint venture formation, financial instruments, debt/equity and derivatives. He has significant experience in U.S. GAAP, IFRS and U.S. insurance statutory technical accounting application. Dave currently leads a Midwest accounting advisory team based in Chicago and on a national level leads a service line focused on accounting change and other technical accounting activities. His current focus is on revenue recognition, leases and CECL.

Dave is internally certified as an audit support specialist, as an IFRS reviewing partner and a member of the financial instruments and derivatives program. His work in structured products includes both product development support for sell-side clients and advice on how to account for transactions on the buy-side for both KPMG audit clients and advisory non-audit clients. Dave has led efforts on projects to implement new accounting standards under U.S. GAAP and led IFRS conversion projects.

Jerry Warrick

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Jerry Warrick is director of technology and management consulting for RSM US in Des Moines. Jerry’s responsibilities include technology planning, including strategic planning, risk, business continuity, security and organizational analysis for financial institutions. He also specializes in serving as a virtual CIO in Iowa.

Recently Jerry was the IT, operations and risk director and a board member for a 1.1-billion-dollar bank. While at the bank, Jerry led the merger of seven individually chartered banks that included a core and internet banking software change. The merger led to necessary changes in the organizational structure and he lead the bank through those changes while identifying and implementing newly created positions to help support today’s financial institution customers.

Serving as a board member, the enterprise risk committee chair and his recent accomplishment of graduating from Graduate School of Banking, has allowed Jerry the complete oversight of a financial institution that includes financials, lending, compliance, operations, IT, fraud and risk. He was tasked with annual strategic IT planning that focused on applications selection and integration, network infrastructure, telecommunications, merger and acquisition related IT integration, among various other IT related areas. As a past network consultant, his skillset allowed him to have day to day hands-on experience with building the bank’s infrastructure. Jerry’s operational experiences allowed him to oversee the bank’s operational processes and software. The additional oversight of the bank’s online and mobile platforms has allowed Jerry to guide the bank strategically over the past nine years. Due to the highly regulated environment and Jerry’s oversight of IT, operations and risk he participated in a variety of hardware, software, and operating environment audits. These audits included all aspects of computer security and business continuity planning.

Jerry is a Microsoft Certified Systems Engineer (MCSE).

Gary Walljasper

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         Gary Walljasper brings more than 20 years of strategic human resources consulting experience to The Carlson Group, LLC and Your Clear Next Step. His professional career has included multiple management and leadership roles involving extensive advisory work and partnership with middle and senior management. 
Gary’s areas of focus and expertise include leadership development/effectiveness, strategic talent management, human capital planning, individual and organization development, strategic recruitment/retention, team dynamics, career planning, M&A integration, work-life focus, and employee engagement. 
Known for his leadership development and coaching, Gary has presented at several conferences on a wide range of strategic initiatives, including talent and leadership development, human capital planning, and learning transfer. His diverse background of capabilities include: HR executive, corporate trainer/facilitator, leadership coach, and a leader of people.

Jodie Scott

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Jodie Scott is a partner in KPMG’s State and Local Tax (SALT) practice in Minneapolis. She has over 18 years of experience at the firm providing state and local tax compliance and advisory services. Jodie is a member of KPMG’s state tax resource network, where she is responsible for providing guidance on corporate income/franchise tax audit and matters for the states of Minnesota, Iowa and South Dakota.

Jodie works with a broad range of U.S. multi-state clients, including many publicly traded fortune 500 companies, and has extensive experience with a wide range of complex multi-state tax matters. Jodie’s current and past clients include leaders in the financial services industry. She has substantial experience leading and coordinating multi-state compliance and advisory engagements for companies operating in numerous industries.

Jodie frequently presents on state tax matters including other state CPA societies, state bar associations, FEI and TEI.

Patrick Dix

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Patrick Dix is a veteran news anchor and reporter who manages the SHAZAM Network’s public relations efforts. Patrick serves as the main company spokesman and uses his expertise to lead all social media channels, write articles for trade associations, create press releases for the network and provide media training to financial institutions.

Patrick joined the SHAZAM Network in 2015 after a 25-year career as a broadcast journalist. For the last 16 years, Patrick served as the senior news anchor on the No. 1-rated network morning newscast in Des Moines, Iowa.

Patrick has been recognized for outstanding reporting with awards from The Society of Professional Journalists, The William Randolph Hearst Foundation and the Midwest Broadcast News Association.

Ernie Goss

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Ernie Goss is the Jack MacAllister chair in regional economics at Creighton University. He is also principal of the Goss Institute in Denver, Colo.

Ernie is editor of Economic Trends, an economics newsletter, published monthly with approximately 9,500 subscribers. He produces a monthly business conditions index for the nine-state Mid-America region, and conducts a survey of bank CEOs in ten U.S. states. Survey and index results are cited each month in approximately 100 newspapers; citations have included the New York Times, Wall Street Journal, Investors Business Daily, The Christian Science Monitor, Chicago Sun Times, and other national and regional newspapers and magazines. Each month 75-100 radio stations carry Ernie’s Regional Economic Report.

Ernie has published more than 100 research studies focusing primarily on economic forecasting and on the statistical analysis of business and economic data. His book Changing Attitudes Toward Economic Reform During the Yeltsin Era was published by Praeger Press in 2003, and his book Governing Fortune: Casino Gambling in America was published by the University of Michigan Press in March 2007.

Ernie was a visiting scholar with the Congressional Budget Office for 2003-2004. He received his Ph.D. in economics from The University of Tennessee in 1983 and is a former faculty research fellow at NASA’s Marshall Space Flight Center.

Shauna Russell Shields

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Shauna Russell Shields is the bank bureau chief for the Iowa Division of Banking, a position she has held since 2014. She previously served as general counsel to the Iowa Division of Banking for ten years. In her capacity as bank bureau chief, Shauna is responsible for overseeing regulation of Iowa’s state chartered banks. She also served as an assistant attorney general for the state of Iowa and was in private law practice prior to joining the state.

Tracy Graham

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Tracy Graham is a senior manager in KPMG’s national State and Local Tax (SALT) practice and serves clients in the financial services industry. She focuses primarily on apportionment, compliance, provision and audit considerations for super regional and national financial services companies, including banks, broker dealers and FinTech companies.

Tracy has over 15 years of experience working with companies in the financial services industry to address state tax reporting and planning matters. Prior to joining KPMG, Tracy served as a senior manager at Ernst & Young where she led teams serving financial service clients on income franchise compliance and reporting considerations in the banking and capital markets space. Additional experience during her career includes analyzing effective tax rates, tax attributes, and valuation allowances, as well as overseeing the state FIN 48 process. Tracy also has industry experience leading state tax functions at a multi-national insurance company and a large bank, both with multiple investment subsidiaries including partnerships and REITs.

Tracy holds a JD degree from the Ohio State University College of Law and a BS degree from Wittenberg University. She is an Enrolled Agent with the Internal Revenue Service.

Nathan A. Barnes

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Nathan Barnes is an assurance manager specializing in financial institutions for RSM US LLP’s Des Moines office. He works with a diverse group of middle-market clients ranging from bank holding companies with assets over $10 billion to smaller community banks.

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