Agenda

Global operational risk agenda

Agenda

Key insights on the pressing topics keeping you awake at night.

Hear how global regulators are contextualizing controls post crisis along with evolving guidance on operational resilience

12:0013:00

 Registration: familiarize yourself with the platform

11:00 - 12:00

Meet with your industry peers and take advantage of our comprehensive media hub for extended learning on all things operational risk and resilience.

12:5013:00

Chair's opening remarks: Global regulatory guidance

12:50 - 13:00

Never before has there been such a significant global emphasis on operational resilience. March 22nd will offer key insights and practical tools delving into:

  • Regulatory expectations: managing in a volatile environment where business and operational resilience is necessary
  • Demystifying global regulatory expectations and taxonomies
  • The impact of a shifting operating model
  • The future of work: a return to the conventional or the 'new norm'
  • The evolution of operational resilience: regulation and the firm perspective 
 
Joseph Iraci

MD, financial risk management, CRO, lecturer and author

former TD Ameritrade, UBS, BNY Mellon

Joe Iraci is a Managing Director at TD Ameritrade where he heads the Financial Risk Management team. Prior to this position he headed the Financial Markets Services Group, and the Corporate Risk team. Prior to joining TD Ameritrade Joe held several senior risk management positions within Fidelity Investments at both Fidelity Employer Services Corporation and Fidelity Brokerage Company. Joe previously had been the Head, New Business Operations, UBS AG, and the Regional Head Americas / Deputy Global Head of Operational Risk at Deutsche bank AG, a position he assumed from heading the Business Risk Management for Deutsche Bank's Corporate Trust and Agency Services business. Prior to joining Deutsche Bank, Joe had been a Bank Examiner with the FDIC and served in the United States Marine Corps. Joe completed his undergraduate studies at St. John's University and received his MBA from New York University.

13:0013:30

Fireside chat and open Q and A: Moving beyond the current crisis: Working collaboratively with regulators

14:00 - 14:30

Join us for an in-depth interactive session where you can pose your questions in advance. Details to follow shortly.

Arthur Lindo (Art)

Deputy director for policy

Federal Reserve Board's Division of Supervision and Regulation

Arthur Lindo (Art) is the Deputy Director for Policy in the Federal Reserve Board's Division of Supervision and Regulation. His principal responsibilities include overseeing the development and assessment of the effectiveness of Board regulations and policies affecting the financial services sector and coordinating the Board’s domestic and international regulatory programs. He also advises the Board on emerging policy matters that have implications for the supervision and regulation of the financial services sector. He is an active participant in various committees in the Federal Reserve System and is the Chairman of the Appraisal Subcommittee of the Federal Financial Institutions Examination Council (FFIEC) and the Chairman of the Basel Committee’s Operational Resiliency Working Group. Art has a BA in Accounting from the Catholic University of America and a MBA in Finance from the George Washington University.

Tom Osborn

Editor

Risk.net

Tom Osborn is the desk editor of Risk.net's risk management coverage. Prior to joining Risk, he reported on the futures and foreign exchange industries for Dow Jones' Financial News and the Euromoney group of publications.

Tom holds a bachelor's degree in English literature from the University of Warwick, UK.

14:0014:30

Fireside chat: Cybersecurity and operational resilience in a post COVID-19 world

13:30 - 14:00

Kevin Greenfield

Deputy comptroller for operational risk

Office of the Comptroller of the Currency

Kevin Greenfield is the Deputy Comptroller for Operational Risk at the Office of the Comptroller of the Currency (OCC).

In this role, Mr. Greenfield oversees development of policy and examination procedures addressing operational risk, bank information technology, cybersecurity, critical infrastructure resilience, payments systems, and corporate and risk governance. He assumed these responsibilities in November 2019.

Prior to this role, Mr. Greenfield served as the Director for Bank Information Technology for the Operational Risk Division where he managed a team responsible for developing, communicating, and interpreting policies for the OCC's supervision of technology operations at financial institutions. He represented the OCC on several interagency groups that focus on coordination and development of information technology risk management supervisory guidance for such topics as information security, resiliency, technology operations, corporate governance, and independent risk management.

Prior to being named Director for Bank Information Technology in 2014, Mr. Greenfield spent 14 years with the OCC's Large Bank Supervision Department, where he gained experience examining large and complex technology operations at several of the largest U.S. financial institutions. In this role, he held various technology supervision roles at large financial institutions based in Pittsburgh, Charlotte, and New York City.

Mr. Greenfield is a graduate of the University of Dayton and holds the Certified Information Systems Auditor professional certification.

Tom Osborn

Editor

Risk.net

Tom Osborn is the desk editor of Risk.net's risk management coverage. Prior to joining Risk, he reported on the futures and foreign exchange industries for Dow Jones' Financial News and the Euromoney group of publications.

Tom holds a bachelor's degree in English literature from the University of Warwick, UK.

14:3014:50

Post-session Chatham House Q and A with our speakers

14:30 - 15:30

Pose your questions to our expert panel of speakers. This session is completely confidential and will take place on Zoom. 

Kevin Greenfield

Deputy comptroller for operational risk

Office of the Comptroller of the Currency

Kevin Greenfield is the Deputy Comptroller for Operational Risk at the Office of the Comptroller of the Currency (OCC).

In this role, Mr. Greenfield oversees development of policy and examination procedures addressing operational risk, bank information technology, cybersecurity, critical infrastructure resilience, payments systems, and corporate and risk governance. He assumed these responsibilities in November 2019.

Prior to this role, Mr. Greenfield served as the Director for Bank Information Technology for the Operational Risk Division where he managed a team responsible for developing, communicating, and interpreting policies for the OCC's supervision of technology operations at financial institutions. He represented the OCC on several interagency groups that focus on coordination and development of information technology risk management supervisory guidance for such topics as information security, resiliency, technology operations, corporate governance, and independent risk management.

Prior to being named Director for Bank Information Technology in 2014, Mr. Greenfield spent 14 years with the OCC's Large Bank Supervision Department, where he gained experience examining large and complex technology operations at several of the largest U.S. financial institutions. In this role, he held various technology supervision roles at large financial institutions based in Pittsburgh, Charlotte, and New York City.

Mr. Greenfield is a graduate of the University of Dayton and holds the Certified Information Systems Auditor professional certification.

Arthur Lindo (Art)

Deputy director for policy

Federal Reserve Board's Division of Supervision and Regulation

Arthur Lindo (Art) is the Deputy Director for Policy in the Federal Reserve Board's Division of Supervision and Regulation. His principal responsibilities include overseeing the development and assessment of the effectiveness of Board regulations and policies affecting the financial services sector and coordinating the Board’s domestic and international regulatory programs. He also advises the Board on emerging policy matters that have implications for the supervision and regulation of the financial services sector. He is an active participant in various committees in the Federal Reserve System and is the Chairman of the Appraisal Subcommittee of the Federal Financial Institutions Examination Council (FFIEC) and the Chairman of the Basel Committee’s Operational Resiliency Working Group. Art has a BA in Accounting from the Catholic University of America and a MBA in Finance from the George Washington University.

14:5015:10

Crime Dot Com: how cyber-crime tactics are being harnessed by nation states

14:50 - 15:10

Steve Marlin

Staff writer

Risk.net

Geoff White

Author and investigative journalist covering technology

Crime Dot Com

Election hacking, the dark web, multi-billion dollar cyber heists – investigative journalist Geoff White has covered it all.

His work’s been featured by BBC News, Channel 4 News, The Sunday Times and more.

His book, Crime Dot Com, takes you inside the murky world of the digital underground, uncovering cybercrime’s emergence as today’s global threat. It’s now being turned into a 10-part BBC podcast series.

The twists and turns of his investigations into hacking have informed and entertained audiences from music festivals to political party conferences, and his live phone-hacking stage show was a sell-out hit at the Edinburgh Fringe Festival.

15:1016:10

Interactive roundtable: Achieving operational resilience through integrated risk management

15:10 - 16:10

Operational risk impacts and influences the entire organization. As such, operational risk programs need to become more connected to the entire suite of risk and continuity perspectives. With operational risk, the organization should avoid viewing the program only from a compliance or regulatory perspective, focusing solely on “checking-the-box” or preparing for a situation when regulators or auditors examine your program. The myriad of organizational data and operational understanding that is maintained and collected by operational risk programs should be empowered to inform strategic business direction.

Key discussion points during this roundtable include:

  • Breaking down Silos
  • Create a unified data set that is integrated across risk and continuity programs
  • Gaining powerful insights into operational performance and success metrics
Sidhartha Dash

Research director

Chartis

Sid is a research director at Chartis Research with more than 20 years of experience in the financial, energy and commodities markets in various functions across the trade and software development lifecycles. He has held various roles in product development, trading, risk management, software development and consulting in banks, hedge funds, and risk advisory and software firms, including Standard Chartered Bank, TCG Group, HCL and Cognizant.

Sid’s specific areas of interest and research include risk data, model risk management, quantitative models in illiquid markets, high-performance analytics, energy and commodity trading risk, market structure design, new computational models, and the use of innovative mathematical methods in various emerging areas of risk management .He has a MBA from the Indian Institute of Management and is a qualified Chartered Alternative Investment Analyst CAIA, Financial Risk Manager (FRM) ,Energy Risk Professional (ERP), Member of GARP and CIPM from the CFA institute.

 

Nita Kohli

Head of operational resilience

Freddie Mac

Gaurav Kapoor

Chief operating officer

MetricStream

David Glendinning

Chief risk officer UK

Société Générale

15:1016:10

Meet with your industry peers and take advantage of our comprehensive media hub for extended learning on all things operational risk and resilience.

14:30 - 15:30

16:0016:20

Risk, resilience and the future of work

16:10 - 16:30

Rich Cooper

Principal-financial services

Fusion

With many years of experience deploying business continuity and risk management platforms globally, Rich Cooper oversees customer success and business development for large, global accounts.

Rich has more than 20 years of experience in the business continuity and risk management marketplace, running programs and implementing software in both Europe and North America for some of the world’s largest organizations. He has an MBCI certification from the Business Continuity Institute.

16:2017:00

New ways of working panel: operational resilience, COVID-19 and beyond
How leading FIs are solving key challenges associated with the new norm

15:30 - 16:10

  • Risk related to long term remote working: human capital, engagement, career growth and moral
  • Cross boarder implications
  • Tools: cooperation, easing the long term risk
  • Reputational and conduct risk across all the risks

 

Nilesh Varu

Group operational resilience

Lloyds Banking Group

Nilesh Varu MSc. CISM is currently focused on Group Operational Resilience oversight at Lloyds Banking Group and has a solid risk background with more than 17 years of subject matter expertise in IT management, information security, data privacy as well as regulatory frameworks. 

Through a demonstrated history of working in financial services, Nilesh has been closely involved with the Operational Resilience agenda for a number of years and has led various high profile initiatives up to Board level. 

Nilesh is also part of an extensive professional network and is an active committee member for a not-for-profit industry group focussed on Operational Resilience matters.

David Glendinning

Chief risk officer UK

Société Générale

Nita Kohli

Head of operational resilience

Freddie Mac

Paula Fontana

Senior Director, Value Creation & Delivery - Product Marketing

Fusion Risk Management, Inc.

Rich Cooper

Principal-financial services

Fusion

With many years of experience deploying business continuity and risk management platforms globally, Rich Cooper oversees customer success and business development for large, global accounts.

Rich has more than 20 years of experience in the business continuity and risk management marketplace, running programs and implementing software in both Europe and North America for some of the world’s largest organizations. He has an MBCI certification from the Business Continuity Institute.

Gaurav Kapoor

Chief operating officer

MetricStream

Gaurav Kapoor serves as the Co-founder and Chief Operating Officer of MetricStream. Gaurav has been involved with the company since its inception and as the COO, is responsible for the overall Go-to-Market Strategy, Sales, Marketing, Customer Advocacy, and the Partner and Community Ecosystem. Until 2010, he also served as the CFO of MetricStream.

17:2017:40

Reimagined and resilient: the new operational norm for financial services

17:20 - 17:40

Paula Fontana

Senior Director, Value Creation & Delivery - Product Marketing

Fusion Risk Management, Inc.

17:4018:20

Lessons learned: how crisis has encouraged the evolution of operational resilience

16:45 - 17:25

  • How has the pandemic influenced the way we perceive resilience? 
  • Moving beyond the pandemic, how do we envisage the future of resilience?
  • Prevention as a key component of resilience: how do we view prevention differently? 
  • How can we prevent disruption? Using steps such as detective and preventative controls
  • Strategies to recover from disruptive events and minimize impact

 

 

 

Richard Cech

Senior bank examiner, operational risk governance

Federal Reserve Bank of New York

Rick is a Senior Bank Examiner. He joined the Operational Risk Governance unit at the New York Fed in December, 2011 in the Financial Institutions Supervisory Group (FISG).

Rick began his career as a municipal finance attorney, then joined J.P. Morgan & Co., where played a variety of roles in markets and investment banking. In the late 1990s, Rick joined J.P. Morgan's original operational risk development team. There, he was responsible for framework development tasks and loss data collection and reporting systems. While at J.P. Morgan, Rick chaired the IIF subcommittee that drafted the finance industry's recommendations for Basel II event type categories, and later participated in the definition of loss data recording standards for the Operational Risk data eXchange (ORX). Before joining the Fed, Rick was an operational risk framework consultant for RiskBusiness International, designing customized taxonomic models and structured risk management programs for institutional clients.

Rick has been a writer, speaker and business school instructor on operational risk topics. He received a B.A. (Economics) and M.A. (Organizational Behavior) from Yale University, and a J.D. from University of Connecticut School of Law (Law Review, lead articles editor).

Joseph Iraci

MD, financial risk management, CRO, lecturer and author

former TD Ameritrade, UBS, BNY Mellon

Joe Iraci is a Managing Director at TD Ameritrade where he heads the Financial Risk Management team. Prior to this position he headed the Financial Markets Services Group, and the Corporate Risk team. Prior to joining TD Ameritrade Joe held several senior risk management positions within Fidelity Investments at both Fidelity Employer Services Corporation and Fidelity Brokerage Company. Joe previously had been the Head, New Business Operations, UBS AG, and the Regional Head Americas / Deputy Global Head of Operational Risk at Deutsche bank AG, a position he assumed from heading the Business Risk Management for Deutsche Bank's Corporate Trust and Agency Services business. Prior to joining Deutsche Bank, Joe had been a Bank Examiner with the FDIC and served in the United States Marine Corps. Joe completed his undergraduate studies at St. John's University and received his MBA from New York University.

Allison Parent

Executive director

Global Financial Markets Association

Dolores (Lori) Miller

Head of operational risk

AIG Investments

As Head of Operational Risk Management for AIG Investments, Finance, Tax & Treasury, Dolores (Lori) Miller executes all elements of AIG’s operational risk framework.    Lori and her team work with AIG business heads on effective risk assessment and mitigation, and evaluate complex transactions and new products as part of AIG’s new product approval process.   Relying on her background as a fixed-income portfolio manager and trader, Lori brings a practical framework and execution experience to enhance the risk & control environment, and serves as leader in risk management for AIG.  Lori manages a global team across seven office locations, bringing together operational risk, model risk, business continuity, and technology risk management in a cohesive approach.

Lori has a BSBA in Finance and her MBA in Finance from The Ohio State University, and her CPA and CFA designations.

Rich Cooper

Principal-financial services

Fusion

With many years of experience deploying business continuity and risk management platforms globally, Rich Cooper oversees customer success and business development for large, global accounts.

Rich has more than 20 years of experience in the business continuity and risk management marketplace, running programs and implementing software in both Europe and North America for some of the world’s largest organizations. He has an MBCI certification from the Business Continuity Institute.

Paula Fontana

Senior Director, Value Creation & Delivery - Product Marketing

Fusion Risk Management, Inc.

17:4519:45

The learning doesn’t stop here! Post-discussion benchmarking and 1-2-1 meetings

17:45 - 20:45

Take advantage of our in-depth content zone offering you exclusive white papers and video interviews. Or, why not meet with your industry peers with prearranged catch-ups? Our scheduling tool allows you to keep track of your agreed meetings along with scheduled content of the day. 

12:0013:00

 Registration: familiarize yourself with the platform

11:00 - 12:00

Meet with your industry peers and take advantage of our comprehensive media hub for extended learning on all things operational risk and resilience.

12:0012:30

OpRisk Daily: Climate risk - a threat scenario crucial to operational resilience

12:00 - 12:15

Daily live chat show exploring what inspires and drives some of the most innovative minds in operational risk.

Adityadeb Mukherjee

Head climate risk management

Standard Chartered

Ken Radigan

Chief executive officer

PRMIA

Ken has held high-level posts in prominent multinational insurance corporations, and acted as a risk management consultant in the financial industry.  From 2014 to 2015, he served as the Chief Risk Officer (CRO) of the US and Bermuda operations of Aspen, where he developed and administered a risk management framework and headed multiple global functions, including the operational risk department. 

From 1988 to 2014 he held a variety of positions at AIG, ultimately serving as CRO of the Casualty and Global Risk Solutions divisions.  Ken holds a B.A. in Mathematics from the University of Dayton, as well as numerous professional designations, including:  Professional Risk Manager (PRM), Chartered Property Casualty Underwriter (CPCU), Associate in Risk Management (ARM), and Associate in Surplus Lines Insurance (ASLI). 

Ken has also been an active volunteer for PRMIA, holding the following positions: Member of the Board of Directors, Treasurer, Chair of the Finance Committee, Chair of the Ethics Committee and Regional Director of the New York Chapter.
 

12:5013:00

Chair's opening remarks: Perspectives from the executive boardroom

12:50 - 13:00

Jay Newberry

Risk management executive and consultant

Jay Newberry has over thirty years of experience in risk management. 

Currently, he is engaged as Principal, Greenwich Risk Management Consulting, focused on Enterprise Risk Management and Operational Risk Management in the financial services industry.

Recently, Jay also served as an adjunct Lecturer in the Enterprise Risk Management Program at Columbia University teaching courses in Operational Risk Management, and Traditional Risk and ERM Practices.

Jay retired from Citigroup where he was responsible for the global Operational Risk Policy and Framework for identifying, assessing, monitoring, and communicating operational risk and the overall effectiveness of the control environment.

His responsibilities included standards for Risk Identification and Monitoring, spanning risk appetite, key operational risks and key indicators, and concentration risk.  He was also responsible for standards for Scenario Analysis and related stress loss forecasting processes.

In addition, Jay established and oversaw the independent verification processes for operational risk covering Basel AMA and CCAR and has facilitated a number of key global operational risk management governance committees.

Jay led U.S. regulatory relations for operational risk and partnered across Citi on global regulatory matters.

In his most recent role, he had responsibility for developing Citi’s Lessons Learned Policy and program, spanning all risk types.

Jay’s prior experience at Citi included leadership positions in developing and executing credit risk analytics, portfolio derivatives, risk capital, and credit portfolio management tools.  He began his banking career as Senior Analyst in Citi’s Corporate Finance Analysis Department where he engaged in marketing initiatives and credit approvals for the large corporate market.

Jay earned his BA degree in Economics from Middlebury College and his MBA from the Tuck School at Dartmouth.

 

13:0013:40

Fireside chat: Thinking beyond your core services and systems: How resilient is your ecosystem?

13:00 - 13:40

Mandar Rege

Managing director, operational risk management, technology and cybersecurity

Citi

Mandar has over 20 years of engineering and risk management experience across Technology Operations, Governance and Audit, helping organizations meet business objectives through technology. Currently he is serving as a Managing Director at Citigroup in the Operational Risk group. Prior to Citi, Mandar was the Global CTRO at TD Bank Group, before which he served as the CTRO and CISO at the Bank of Montreal. In his prior career, Mandar has worked extensively with financial institutions globally through leadership roles at Cisco Systems, Inc., Accenture LLC, Alvarez & Marsal LLP,  KPMG LLP and Ernst & Young LLP.

Mandar is an active member of the professional community and has presented at industry forums like Risk.Net, RSA and IAPP Conferences. Additionally, he is active in various profesional organizations such as ISACA, IAPP and ISC2 and has served as the Chair of the Canadian Banking Association’s CIRT (CISO Forum). He holds the CISSP, CIPP, CISA, and PMP certifications.

 

Paula Fontana

Senior Director, Value Creation & Delivery - Product Marketing

Fusion Risk Management, Inc.

Mamun Ahmed

Group head of risk resilience

LCH

Rich Cooper

Principal-financial services

Fusion

With many years of experience deploying business continuity and risk management platforms globally, Rich Cooper oversees customer success and business development for large, global accounts.

Rich has more than 20 years of experience in the business continuity and risk management marketplace, running programs and implementing software in both Europe and North America for some of the world’s largest organizations. He has an MBCI certification from the Business Continuity Institute.

14:0015:00

It’s all about risk culture: weaving operational resilience into the fabric of your organization

14:00 - 15:00

It’s inarguable that global regulators have turned up the heat on financial services firms over the past decade. COVID-19 has added a unique spanner into the equation, highlighting the need for agility and forcing regulators and firms alike to evolve their approach to operational resilience, technology and digitalization. With an increased focus on articulation and transparency within reporting, being able to build a robust resilience culture that transcends your regional operations has never been so crucial to regulatory compliance. How can organizations effectively improve their regulatory rating by building operational resilience into the DNA of their operations?

Gain the practical strategies and tools you need to change behaviours and build resilience with expert insights exploring:

  • Why it’s all about culture: culture as a conduit of regulatory reporting and how to define this
  • Identifying your approach to a resilient culture and how to make your processes more transparent
  • Truly enabling a proactive culture by moving beyond reactive silos and influencing behaviours
  • Categorizing business processes as it relates to regulatory compliance: mapping dependencies and understanding the business impact of a failed process
  • Taking a ‘Fix that fail’ approach and making compliance everyone’s responsibility
  • Effectively articulating the ‘how’ to regulators: operational resilience posture and hedge allocations
  • Leveraging work orchestration and observability: transparency and real-time visibility into the trade lifecycle
Ann Ghanie

Head of regulatory compliance

Cutover

Ann Ghanie is a Head of Regulatory Compliance at Cutover. With nine years of experience in the financial services industry, she has been a part of the implementation, interpretation, and reporting of major regulatory initiatives such as CCAR, Dodd Frank, Model Risk, and FFIEC Reporting. With her unique experience she is able to put a spin on the usage of a SaaS based solution in the regulatory environment.

Phil Harding

Head of content, Risk.net marketing solutions

Risk

Hasintha Gunawickrema

Chief control officer, wealth and personal banking

HSBC

Charles Forde

Group head of operational risk

AIB

Michael Kenney

Vice president operational risk asset management and operations multi-family

FreddieMac

As Vice President of Operational Risk, Michael leads the first line of defense risk management for financial crimes, privacy and information security, business resiliency, vendor management and compliance with regulatory requirements. Mike and his team establishes the risk direction by aligning the Multifamily Governance Framework with the business operating model. He continually improves governance by understanding the multifaceted drivers that effect risk environment.

15:1016:10

Roundtable - Blind curves: anticipating emerging risk

15:10 - 16:10

We live in an era of unprecedented change and volatility. The pandemic itself is a case study of the value of preparedness: no one wanted to prepare for a once in a 100-year event, but these events do manifest eventually. A prepared firm is a confident one, but how well are we doing defining emerging risks as an industry? And how are we surfacing them to the right individuals, at the right time, to proactively drive response before they become a larger problem?

 

Join us for an interactive roundtable among peers discussing the top emerging risks of our time. Together we will explore how forward-thinking firms are:

  • Harnessing technology to anticipate changes in their risk landscape
  • Leveraging predictive and situational insight to run more intelligent operations
  • Delivering on their customer promise, no matter what
Paula Fontana

Senior Director, Value Creation & Delivery - Product Marketing

Fusion Risk Management, Inc.

15:1016:10

Meet with your industry peers and take advantage of our comprehensive media hub for extended learning on all things operational risk and resilience. 1-2-1 meetings

14:50 - 16:00

16:2017:00

Executive boardroom: Creating a blueprint for resilience
How are leading FIs successfully implementing operational resilience?

16:00 - 16:40

  • Starting macro and going micro: where to start with resilience
  • Clear communication of the operational resilience blueprint and why this is a key priority across functions
  • Where does op resilience sit? Lines of defense and owning op resilience
  • Post-COVID: has this changed the way your firm views your approach to resilience?
Jennifer Finnerty

Managing director

PGIM Fixed Income

Jennifer Finnerty is a Managing Director and the Operational Risk Officer for PGIM Fixed Income.  In this role, she is responsible for executing and monitoring the risk management framework, administering business governance and coordination of the SSAE16 review.  In addition to her risk management responsibilities, she oversees PGIM Fixed Income’s Vendor Governance, Business Continuation, Records Management, Information Security, Sarbanes-Oxley, and Privacy programs.  She serves as the Statutory Auditor for PGIM Fixed Income’s Japan business.  Prior to assuming her current position, Ms. Finnerty held various positions in operational risk management, Internal Audit, Fixed Income Operations and Investment Accounting.  Ms. Finnerty started her career with the Firm in 1995 in Investment Accounting. She earned a BS in Accounting from the University of Delaware.

Rajat Baijal

Managing director, global head of enterprise risk

Cantor Fitzgerald

Luke Carrivick

Head of analytics and research

ORX

Luke is Head of Analytics and Research at ORX where he leads many industry initiatives spanning Operational risk modelling and management. He is also responsible for delivery of a wide range of ORX information and benchmarking including Loss Data, ORX News and the Scenarios Program. Prior to Joining ORX Luke held a variety of positions in Banking, Technology and Academia. Dr Carrivick holds an MBA, PhD and M.A in Mathematics from Cambridge University.

Mark Houseago

Head of enterprise resilience

CLS Group

Pansy Wong

Partner, Financial Regulation

Linklaters

Pansy is a highly regarded financial regulation lawyer, who has been instrumental in assisting major investment banks implement regulatory change of huge complexity. She has led major change programs across many business areas and geographies.

Pansy has in-depth knowledge of the full range of financial services’ products, including equities sales and trading, prime brokerage, stock lending, synthetics, derivatives clearing (OTC), listed derivatives (trading and clearing), electronic trading, equity derivatives (OTC), fixed income derivatives (listed and OTC), FX, commodities, and investment research.

Pansy also has experience in advising financial services companies on restructurings to minimise compliance and regulatory capital burdens, on the design and distribution of new investment products, on regulatory investigations for compliance breaches, including for insider dealing and market misconduct, and drafting internal compliance procedures.

In her previous role before rejoining Linklaters in 2020, Pansy collaborated with the bank’s data science team to develop an artificial intelligence program that automated the review of a significant volume of executed agreements.

Pansy was based in Hong Kong between 1994 and 2006, both at the firm’s Hong Kong office and afterwards with a major investment bank.

Before rejoining Linklaters, Pansy was associate general counsel at JPMorgan Securities plc and, previously, was senior counsel with another major global investment bank.

Julia Dixon

Linklaters

Partner, Financial Regulation

Julia advises banks, asset managers and other financial services institutions on a broad range of contentious and non-contentious regulatory issues. She has particular expertise in strategic regulatory engagement and regulatory risk identification and management.

Julia regularly advises boards, non-executive directors and executive management committees on governance issues, internal systems and controls and the Financial Conduct Authority (FCA)/Prudential Regulation Authority (PRA) approval process for firms and individuals.

She has significant experience in advising on obligations associated with the Senior Managers and Certification Regime (SMCR), perimeter and licensing queries, conduct of business regulation, client money/assets (CASS) and market abuse. Julia also advises on the regulatory aspects of corporate transactions and is adept at dealing with regulatory enquiries and supervisory requests as well as investigations and enforcement proceedings.

In 2014/2015, Julia was seconded to an international banking group to help them prepare for SMCR implementation.

17:0017:20

Approaching the UK’s operational resilience reforms: how to ensure you do it once and do it right

16:20 - 16:40

Pansy Wong

Partner, Financial Regulation

Linklaters

Pansy is a highly regarded financial regulation lawyer, who has been instrumental in assisting major investment banks implement regulatory change of huge complexity. She has led major change programs across many business areas and geographies.

Pansy has in-depth knowledge of the full range of financial services’ products, including equities sales and trading, prime brokerage, stock lending, synthetics, derivatives clearing (OTC), listed derivatives (trading and clearing), electronic trading, equity derivatives (OTC), fixed income derivatives (listed and OTC), FX, commodities, and investment research.

Pansy also has experience in advising financial services companies on restructurings to minimise compliance and regulatory capital burdens, on the design and distribution of new investment products, on regulatory investigations for compliance breaches, including for insider dealing and market misconduct, and drafting internal compliance procedures.

In her previous role before rejoining Linklaters in 2020, Pansy collaborated with the bank’s data science team to develop an artificial intelligence program that automated the review of a significant volume of executed agreements.

Pansy was based in Hong Kong between 1994 and 2006, both at the firm’s Hong Kong office and afterwards with a major investment bank.

Before rejoining Linklaters, Pansy was associate general counsel at JPMorgan Securities plc and, previously, was senior counsel with another major global investment bank.

17:2020:00

The learning doesn’t stop here! Post-discussion benchmarking and 1-2-1 meetings

17:25 - 20:25

12:0013:00

 Registration: familiarize yourself with the platform

11:00 - 12:00

Meet with your industry peers and take advantage of our comprehensive media hub for extended learning on all things operational risk and resilience.

12:5013:00

Chair's opening remarks: Business continuity, cyber, ICT, third party and IT systems

12:50 - 13:00

Paul Huggett

Head of third party sourcing risk profile and governance

Bank of Ireland

Paul is currently the Head of Third Party Sourcing Risk Profile and Governance at the Bank of Ireland, responsible for the governance, oversight and reporting of the overall sourcing profile of the Bank in relation to all third party arrangements, including risk, supplier management and procurement processes.

He has held similar positions at Lloyds Banking Group, building a Supplier assurance programme, defining policy and setting Supplier customer treatment standards. He has also worked as an IT an operations outsourcing programme manager, implemented new global workflow platforms, run investment banking and retail operations teams and been a Head of Internal Audit. He splits his time between the UK and Dublin every week and is not happy that Ryanair don’t have a customer loyalty scheme.

13:0013:40

Food for thought: Too big to fail? Rethinking risk and tech giants

13:00 - 13:30

In the era of all things cloud and third-party, how does the financial services industry perceive firms that are essentially 'too big to fail'? Has the past 12 months  illustrated that not one firm, company or global entity is ever too big to fall victim to crisis? 

Jayaraj Puthanveedu

MD, cyber & technology risk, global head operational resilience

BNP Paribas

Yogesh Mudgal

Director, emerging technology risk

Citi

Angela Johnson de Wet

Head of risk for IT change and new technologies, conduct, compliance and operational risk

Lloyds Banking Group

13:3014:10

What’s next? Lessons learned from crisis: evolving your approach to TPRM

13:30 - 14:10

  • What we’ve learned and why supply chains are more resilient than we thought
  • Determining which parts of our services are truly critical
  • Identifying how to carry out effective assurance in instances of decentralisation 
  • Successfully running due diligence and painting a holistic picture of risk exposure
  • How strong is your data in this space?
  • How is CSR taking a more prominent role and what does this look like?
  • Thinking beyond pandemic planning: How are you rethinking scenario planning?
Hasintha Gunawickrema

Chief control officer, wealth and personal banking

HSBC

Paul Huggett

Head of third party sourcing risk profile and governance

Bank of Ireland

Paul is currently the Head of Third Party Sourcing Risk Profile and Governance at the Bank of Ireland, responsible for the governance, oversight and reporting of the overall sourcing profile of the Bank in relation to all third party arrangements, including risk, supplier management and procurement processes.

He has held similar positions at Lloyds Banking Group, building a Supplier assurance programme, defining policy and setting Supplier customer treatment standards. He has also worked as an IT an operations outsourcing programme manager, implemented new global workflow platforms, run investment banking and retail operations teams and been a Head of Internal Audit. He splits his time between the UK and Dublin every week and is not happy that Ryanair don’t have a customer loyalty scheme.

Martin Boer

Director of regulatory affairs

The Institute of International Finance (IIF)

Amit Lakhani

Head of operational risk controls for ICT and third party management for corporate and institutional banking

BNP Paribas

Amit is a thorough IT Risk and Information Security Leader with a proven track record of leading, developing, designing and delivering wide variety of programs over the span of last 15+ years. Amit has a particular interest in raising information risks at board level and enabling business through mitigation or avoidance of IT risks through industry-accepted and sometimes cutting-edge solutions.

Amit has presented and published a number of research papers, articles and chapters in the Information Security field. His key focus has always been keeping the balance between business, technological and operational issues. In his most recent position at BNP Paribas, Amit leads the IT Risks and Third party risk management practices globally for the Corporate and Institutional Banking business. He has developed and implemented robust methodologies for effective IT risk management and is embedding a strong framework for internal and external vendor risk management.

Jaymin Desai

Offering manager, third party risk

OneTrust Vendorpedia

Jaymin Desai serves as the Offering Manager at OneTrust Vendorpedia — part of the largest and most widely used technology platform to operationalize third-party risk, security, and privacy management. In his role, Desai is responsible for driving the development and delivery of OneTrust's third-party risk management product as well as driving the refinement of the toolset and offerings.

He works with clients to centralize their vendor information across business units, assess risks based on use cases and relevant standards like CSA, CAIQ, SIG, GDPR and CCPA while also monitoring threats to seamlessly mitigate vendor risks throughout the engagement lifecycle. Desai takes a customer-based approach to product development and derives the majority of his backlog from customer feedback and direction. 

14:4015:20

SolarWinds and the supply chain threat we’ve ignored for too long

14:40 - 15:20

 

COVID-19 has brought digital supply chain risks to the top of the news. Now it must move to the top of the priority list for boards and risk managers. We will discuss fundamental changes that must be implemented to address the SolarWinds nation-state supply chain attacks – this will not be the last.

  • Insights about the SolarWinds event that are less commonly understood
  • Was the attack surprising? What did we get wrong in IT risk management?
  • The changes this event has on risk management
  • How SolarWinds has impacted the way business platforms and digital supply chains are designed and built

 

Jennifer Bisceglie

Chief executive officer & founder

Interos Inc

Jennifer Bisceglie is the President and CEO of Interos Solutions, Inc. a supply chain risk management (SCRM) SaaS provider. Leveraging more than 20 years of experience in managing and mitigating risks in supply chains across US Federal and Commercial customers. Jennifer is a sought after expert on the impact of cyber risk and supply chain risk on US and global economies.

Renee Forney

CISSP, Senior director, Azure Hardware Systems and information security

Microsoft

Agnes Berecz

Senior risk analyst

Danske Bank

Alpa Inamdar

Head of TPG advisory group

BNY Mellon

Alpa is Head of Third Party Governance Advisory Group. Prior to this role she was head of the Americas Business Change Group within Asset Servicing, where she was responsible for the management and oversight of client implementations. She oversees the strategy and execution of cross functional transition plans for new business opportunities and high profile, complex initiatives for existing clients.

Alpa is responsible for strategic planning, organizational restructuring, client relationship management, compliance, and risk. Prior to joining BNY Mellon, Alpa served as Vice President and Chief of Staff in the Regulatory and Tax Operations division at Goldman Sachs & Company. She was a global project manager for the Federal Preparedness program. Prior to Goldman Sachs, Alpa served as Cost Allocation Specialist for Societe Generale. She led various assignments at Fluor Daniel Corporation including overseeing a Nuclear Waste clean-up project costing in excess of $5 billion and the implementation of SAP system. She has a successful track record as a leader in managing complex client relationships, risk management, and transformation.

At BNY Mellon, Alpa is a chair of the IMPACT South Asian Leadership Hub. Currently Alpa sits on the board for Pratham and Ascend Leadership. Alpa is a Steering Committee Member for Shared Assessments.

Alpa is the program creator for Women Helping Women in Finance by helping young college women jumpstart their career within financial services through mentorship and exposure to the Financial Industry. She also created a program called Take 2 with the objective to increase the success for women returning to the workplace by providing them with an opportunity to explore a new career path or reacquaint themselves with new market trends or changes in their area of expertise after an extended career break.

Alpa earned a Master of Business Administration and Bachelor of Arts in Finance from California State University.
 

15:3016:30

Understanding vendor risk: Making risk decisions for vendors and fourth parties

15:30 - 16:30

Milliman CRS

Third party risk management continues to draw the focus from regulators, senior management and the board. TPRM decisions are critical to keeping a business on track. Despite enhanced efforts, risk teams are struggling to assess the risk and financial impact of vendors and find a cost-effective way to mitigate the risk. Tackling this challenge is an essential step in truly understanding the firm’s risk profile and implementing effective risk mitigation plans.

So, how should you approach understanding quantifying a complex, non-transparent risk? In this briefing our experts will delve into how best to understand the complexity of your vendor relationships to effectively mitigate vendor risk.  

Gain exclusive insight and the practical tools you need to:

  • Quantify TPRM beyond traditional methods
  • Determine risk appetite for vendor like other risks
  • Link cyber risk with critical vendors
  • Identify key metrics to communicate third and fourth party risk to the board
  • Create risk appetite with relevant metrics

The upcoming brief will provide essential viewing for risk leaders aiming to get a better handle on TPRM in 2021.

Chris Beck

Managing director

Milliman

Chris is a member of Milliman’s Cyber Risk Solutions (CRS) practice group.  The practice delivers a portfolio of risk consulting services, such as enterprise risk design, cyber risk assessment and quantification, test and build projects, operational risk assessments, enterprise risk management (ERM) education and training, and ERM technology evaluation. The CRS practice uses diagnostic consulting strategies to understand an organization’s enterprise risk goals and challenges and then customize solutions to deliver required business results. 

EXPERIENCE

Chris has 15 years of professional experience.  His experience includes work in the banking, insurance, capital markets and card sectors helping clients assess and mitigate risk. 

Prior to joining Milliman, Chris was a Senior Manager in Accenture’s Finance and Risk Management Consulting practice, delivering work for global financial service clients.   Additionally, Chris served as an active duty Naval Officer and has multiple overseas deployments. 

Professional experience and subject matter advisory includes: 

  • Cyber Security metrics and governance
  • Financial Service Regulatory and Compliance initiatives
  • Risk Management 
  • Corporate and Risk Governance
  • Surveillance 
  • Financial Services operating model and cost reduction
  • Regulatory remediation and responses
  • Legal department risk and optimization
  • Leading large cross functional projects and teams

EDUCATION

  • BS Political Science, University of Wisconsin–Madison
  • MBA, University of Chicago – Booth School of Business

Amit Lakhani

Head of operational risk controls for ICT and third party management for corporate and institutional banking

BNP Paribas

Amit is a thorough IT Risk and Information Security Leader with a proven track record of leading, developing, designing and delivering wide variety of programs over the span of last 15+ years. Amit has a particular interest in raising information risks at board level and enabling business through mitigation or avoidance of IT risks through industry-accepted and sometimes cutting-edge solutions.

Amit has presented and published a number of research papers, articles and chapters in the Information Security field. His key focus has always been keeping the balance between business, technological and operational issues. In his most recent position at BNP Paribas, Amit leads the IT Risks and Third party risk management practices globally for the Corporate and Institutional Banking business. He has developed and implemented robust methodologies for effective IT risk management and is embedding a strong framework for internal and external vendor risk management.

16:3017:10

Scenario planning session: Cyber resilience - balancing organizational and systemic threats

16:00 - 16:40

Join our operational and cyber resilience experts as they move through key disaster scenarios and how to prepare, get the wheels back on the bus and recover. 

  • Identifying your most critical systems and how they function
  • Problem solving: end to end recovery and agility
  • Catastrophic cyber attacks preparedness
Vicki Gavin

The Cyber Coach

Cyber Rescue Alliance

Vicki Gavin is recognized as an expert in cyber security. She was Cyber Security Woman of the Year and Security Serious Unsung Hero Awards, Marathon (Wo)man. She has been an invited speaker at an array of industry conferences including Info Crime Summit, InfoSec Europe and Enterprise IT Security Conference and is Chairperson of the Women's Security Society Board (2016 - Present). Currently she is Head of Cyber Risk at Artemis Fund Management.  Previously she was Data Protection Officer and Head of Information Security at the Northview Group responsible for managing both privacy and security risk.  She joined Northview from The Economist Group where she was Compliance Director, Head of Business Continuity, Information Security and Data Privacy establishing the firm’s cyber security and compliance programmes. Prior to this she was Head of Business Continuity and Business Risk at Barclaycard, Head of Recovery Planning & Crisis Management at Barclays Bank, and held various positions at Dresdner Kleinwort Wasserstein after emigrating from Canada. Vicki is MBCI and CRISC Certified, holds a BSc in Physics and a postgraduate Diploma in Teaching Adults.

Jörgen Mellberg

Chief information security officer, head of IT & DPO

Sparbanken Syd

Jayaraj Puthanveedu

MD, cyber & technology risk, global head operational resilience

BNP Paribas

Lee Webb

Group head of operational resilience

Aviva

17:1017:50

Fireside chat: benchmarking best practices and key takeaways on cyber stress tests and scenario planning

17:20 - 18:00

  • Reverse stress tests for cyber risk
  • Understanding inventory and impact tolerances
  • Benchmarking NIST methodology: what does good look like?
  • Identifying your most critical systems and how they function
Michael Barton

Senior director of quantitative assessments

United Health Group

Michael Barton is the Director of Operational Risk Quantification and Scenario Analysis at AIG.  In his role, he leads the development and implementation of operational risk stress testing, economic capital estimation, and allocation of those estimates to the business lines, as well as supporting the development of and quantification of operational loss scenarios for the organization.  In this role, Michael has worked extensively with cyber and business professionals around identifying and quantifying cyber risk.  Before working at AIG, Michael was the Head of the Regulatory Solutions Quantification group in U.S. Bank’s Corporate Treasury department.  In this role, he was responsible for CCAR/DFAST and Regulatory Capital modeling for Operational Risk as well as setting up a governance framework for models and analytical tools in the Corporate Treasury department.  Previous to those roles, Michael worked in an actuarial capacity at Sun Life Financial in Boston handling variable annuity reserving, fixed and variable annuity lapse study estimations, and retirement product pricing.  He held a similar variable annuity reserving role in Security Benefit Corporation in Topeka, KS before that.  Michael has a Bachelor’s Degree in Mathematics with an Actuarial Emphasis, and a Master’s Degree in Theology.

Sophia Kazinnik

Quantitative research

Federal Reserve Bank of Richmond

Evan Sekeris

Head of model validation

PNC

Evan's background is in the measurement and quantification of credit risk and operational risk.  His primary focus is currently on supporting institutions in building operational risk modeling for stress testing, developing their risk identification process and developing their model risk management frameworks.
Some of his recent client engagements include:
For a foreign global bank, helped them develop a comprehensive operational risk framework for their US based IHC. Ensured both integration of the framework in their international framework as well as US regulatory compliance.
For a large internationally active US bank: supported major change of course in CCAR operational risk stress estimates a few months prior to submission in reaction to regulatory guidance.
For a large regional bank: built their CCAR loss projection model and wrote the documentation for the full CCAR operational risk submission.
For a global bank conducted a validation of their operational risk modeling framework for CCAR
  Prior to joining Oliver Wyman, Evan was the Head of Risk Consulting for Financial Institutions for Aon in Columbia, Maryland. He was in charge of building Aon's risk consulting practice for financial institutions and managed multiple teams based in North America and Europe to deliver services to clients worldwide. Previously, Evan was an Assistant Vice President of the Federal Reserve Bank of Richmond, where he created the center of excellence for operational risk which served the System needs for operational risk related matters. The team was in charge of the supervision of all AMA and CCAR banks in the US and developed the Fed's CCAR model for operational risk.
Evan earned a B.A. and M.A. in Economics from the Université Catholique de Louvain in Belgium. He received an additional M.A. as well as his Ph.D. in Economics from the University of California at Los Angeles.

18:0020:00

The learning doesn’t stop here! Post-discussion benchmarking and 1-2-1 meetings

18:00 - 20:00

12:0013:00

 Registration: familiarize yourself with the platform

11:00 - 12:00

Meet with your industry peers and take advantage of our comprehensive media hub for extended learning on all things operational risk and resilience.

12:0012:45

Interactive presentation: Responding to disruptive events - invoking BCP during Covid-19"

12:00 - 12:45

Shehzad Ali Sharif

Joint director – strategic planning department

State Bank of Pakistan

Shehzad Ali Sharif is head of the Business Continuity Planning (BCP) Division at the State Bank of Pakistan (SBP). Mr. Sharif has been involved in the Business Continuation Program at the State Bank since its inception in 2006, and has been instrumental in the development of the BCP manuals, policies and procedures as well as the development of multiple backup sites and the BCP course curriculum. Due to his accomplishments in the field of BCP at SBP, Mr. Shehzad was awarded with the Organizational Competence Award, which is the highest achievement award in the organization. Mr. Shehzad holds an engineering degree and an MBA degree.

Muhammad Akmal

Director strategic planning

State Bank of Pakistan

Muhammad Akmal, has banking experience spreading over three decades. Joining the State Bank of Pakistan in 1991, he has worked in areas of regulation and supervision of banks and nonbank financial institutions. His areas of expertise include Banking Inspection, Foreign Exchange Policy formulation and implementation, Consumer Protection, Banking Conduct, etc. In view of his vast experience in Central Banking, he has been entrusted with the charge of Director Strategic Planning to provide leadership to SBP in formulation and implementation of strategic goals and SBP Vision 2020. He has attended a number of local and foreign trainings/expert panels and attachment programs offered by other central banks, IMF and the World Bank. He is member of various committees of the SBP. He also remained Co-Chairman National Financial Inclusion Strategy (NFIS) Technical Committee on “Financial Literacy & Consumer Protection”, Country Coordinator for Asian Clearing Union, especially for attending issues relating to import/export. He has conducted various capacity building programs for SBP and the Banking Industry. He has been a resource person from SBP for imparting trainings at Foreign Services Academy, Government of Pakistan, National Accountability Bureau (NAB), Federal Investigation Agency (FIA), Trade bodies/Chambers and National Institute of Banking & Finance (NIBAF). 

12:5013:00

Chair's opening remarks: The operational resilience toolkit

12:50 - 13:00

Evan Sekeris

Head of model validation

PNC

Evan's background is in the measurement and quantification of credit risk and operational risk.  His primary focus is currently on supporting institutions in building operational risk modeling for stress testing, developing their risk identification process and developing their model risk management frameworks.
Some of his recent client engagements include:
For a foreign global bank, helped them develop a comprehensive operational risk framework for their US based IHC. Ensured both integration of the framework in their international framework as well as US regulatory compliance.
For a large internationally active US bank: supported major change of course in CCAR operational risk stress estimates a few months prior to submission in reaction to regulatory guidance.
For a large regional bank: built their CCAR loss projection model and wrote the documentation for the full CCAR operational risk submission.
For a global bank conducted a validation of their operational risk modeling framework for CCAR
  Prior to joining Oliver Wyman, Evan was the Head of Risk Consulting for Financial Institutions for Aon in Columbia, Maryland. He was in charge of building Aon's risk consulting practice for financial institutions and managed multiple teams based in North America and Europe to deliver services to clients worldwide. Previously, Evan was an Assistant Vice President of the Federal Reserve Bank of Richmond, where he created the center of excellence for operational risk which served the System needs for operational risk related matters. The team was in charge of the supervision of all AMA and CCAR banks in the US and developed the Fed's CCAR model for operational risk.
Evan earned a B.A. and M.A. in Economics from the Université Catholique de Louvain in Belgium. He received an additional M.A. as well as his Ph.D. in Economics from the University of California at Los Angeles.

13:0014:00

Impact Tolerance/Tolerance for disruption

13:00 - 14:00

Gathering the relevant data for each critical business service to facilitate the impact analysis and help setting impact tolerance at the right level

Richard Flood

Managing director, EMEA and head, operational risk

State Street Bank

Cinzia Dicorato-Rura

Head of EMEA operational resilience risk

State Street

14:2014:40

Fireside chat: Designing a resilient footprint: location risk, individual resilience of the building, people and interdependence of physical locations in a country

14:20 - 14:40

Jon Evett

Head of global workplace resilience, executive director

JPMorgan Chase & Co.

Nagaraja Kumar Deevi

Managing partner & senior advisor

DEEVI Advisory & Research Studies

Nagaraja Kumar Deevi is senior strategic executive with over two decades of Leadership experience advising Global Banking & Financial Institutions. He is Senior Advisor to number of companies. NAG is specialized in Digital Transformation, Banking regulations, Regulatory Policy & Affairs and Enterprise wide Strategic Risk initiatives. Designed and developed Enterprise Risk Governance Framework aligned with firm-wide Corporate strategy, setting high level Regulatory Policy, Risk Appetite Statement, Recovery, and Resolution Planning (RRP)/Living Wills, Culture, Conduct & Reputational Risk ad Cyber Risk. NAG works closely with Academia, as mentor, publish Research papers and has advanced management studies from Harvard, Columbia, NYU, Kellogg and MIT.

15:0016:00

Meet with your industry peers and take advantage of our comprehensive media hub for extended learning on all things operational risk and resilience. 1-2-1 meetings

14:50 - 16:00

16:0016:40

Life insurance fireside chat: how the pandemic accelerated direct to consumer channels

14:10 - 14:30

  • Accelerating digital activities: hear how the pandemic accelerated direct to consumer channels, such as term life products
  • Gain insight into the challenges associated with putting these kinds of products on a platform
  • Hear how the direct to consumer system ended up having third party consultation as a result of consumers requiring assistance
  • Understand how third parties impacted the model and gave life to these new digital channels
Chris Olson

Board chair and head of operational risk management

MassMutual

17:0017:40

Predicting the past: preparing for the consequences of a post-COVID landscape

17:00 - 17:40

Ariane Chapelle

Adjunct professor

University College London

Dr, Ariane Chapelle, is Honorary Reader at University College London and is an internationally recognised trainer and consultant in Risk. She teaches at UCL 'Operational Risk Measurement for Financial Institutions’ and is a Fellow of the Institute of Operational Risk..

In 2019, the firm received the Risk.net Award for ‘Outstanding Achievement in the Year in Operational Risk’. She published at Wiley Finance Series the textbook Operational Risk Management: Best Practices in the Financial Services Industry, in December 2018 that rapidly became the No.1 best seller in its field and is now translated in French by Pearson France. In 2020, the book got elected “Book of the Year” by risk.net.

Dr. Chapelle founded and runs her adivsory and training practice in risk management, serving all sizes of financial organisations and international institutions, including central banks and UN agencies. She is a former holder of the Chair of International Finance at the University of Brussels with backgrounds in internal audit, credit risk and investment risk. She has been active in operational risk management since 2000 and was formerly head of operational risk management at ING Group and Lloyds Banking Group.

17:4020:00

The learning doesn’t stop here! Post-discussion benchmarking and 1-2-1 meetings

17:25 - 20:25

11:0013:00

 Registration: familiarize yourself with the platform

11:00 - 12:00

Meet with your industry peers and take advantage of our comprehensive media hub for extended learning on all things operational risk and resilience.

12:0012:45

Think Tank: Demystifying global sanctions: breaking down complexities in screening processes

12:00 - 12:45

Delving into the post-Brexit landscape and governing legislation

Igor Sumkovski

Senior manager, financial crime compliance advisory

Santander

As a senior financial crime manager for Santander, Igor is responsible for the implementation and delivery of an effective financial crime risk management strategy and policy framework. He obtained his Master’s Degree in Financial Regulation, International Corporate Governance and Economic Law at the Institute of Advanced Legal Studies, University of London and he is ICA qualified financial crime professional with proven BAU and project management experience, gained within some of the largest UK and EU banks.

Igor has a strong anti-financial crime background and comprehensive understanding of the external environment in respect to regulators, industry practice and benchmarking, strong knowledge of the UK/EU financial crime compliance legal and regulatory frameworks. He has genuine interest in AI and Machine Learning, committed to continuously exploring opportunities to use new technologies for greater effectiveness in combating financial crime.

12:5013:00

Chair's opening remarks: Top 10 operational risks revealed

12:50 - 13:00

Paula Fontana

Senior Director, Value Creation & Delivery - Product Marketing

Fusion Risk Management, Inc.

13:0013:40

Keynote panel: Top 10 op risks revealed

09:00 - 10:00

Join Risk.net’s renowned editorial team as they explore the top 10 op risks as unveiled by our community of operational risk experts. Bringing to life Risk.net’s most read article year-on-year, join one of our topical panels offering practical takeaways on how firms can remain compliant and mitigate risk in this precarious landscape.

 

Tom Osborn

Editor

Risk.net

Tom Osborn is the desk editor of Risk.net's risk management coverage. Prior to joining Risk, he reported on the futures and foreign exchange industries for Dow Jones' Financial News and the Euromoney group of publications.

Tom holds a bachelor's degree in English literature from the University of Warwick, UK.

Jeff Simmons

Managing director, head of enterprise risk management EMEA

MUFG

Jeff Simmons joined the Bank of Tokyo Mitsubishi UFJ ("BTMU") in June 2014 as the Head of Enterprise Risk, tasked with creating the function.

Prior to joining the bank he spent some 20 years working in the Risk Management arena, this included Market Risk, Credit Risk, Risk Model Validation and Regulatory Risk consulting.

At BTMU his responsibilities include the development of a Regional Risk Appetite Framework, including the design and implementation of a forward looking risk appetite framework which can be used for strategic decision making and control purposes. He is also developing an Integrated Stress Testing framework, and subsequently integrating this with the Risk Appetite framework including the analysis of the Banks forecast under varying macro economic environments. He is now working extensively with both the Tokyo based Head Office and the continental offices to develop a global framework in these 2 areas. Over the past year he has been working cloely with the Amsterdam based subsidiary in the development of the ICAAP/ILAAP and SIRA Frameworks.

He is also responsible for the implementation of an EMEA Risk Governance framework, this involves him working closely with the Regional offices to ensure that there is a standardised and efficient Risk Framework across the region.

 

Soren Andersen

Chief risk officer

Nordea Asset Management

Evan Sekeris

Head of model validation

PNC

Evan's background is in the measurement and quantification of credit risk and operational risk.  His primary focus is currently on supporting institutions in building operational risk modeling for stress testing, developing their risk identification process and developing their model risk management frameworks.
Some of his recent client engagements include:
For a foreign global bank, helped them develop a comprehensive operational risk framework for their US based IHC. Ensured both integration of the framework in their international framework as well as US regulatory compliance.
For a large internationally active US bank: supported major change of course in CCAR operational risk stress estimates a few months prior to submission in reaction to regulatory guidance.
For a large regional bank: built their CCAR loss projection model and wrote the documentation for the full CCAR operational risk submission.
For a global bank conducted a validation of their operational risk modeling framework for CCAR
  Prior to joining Oliver Wyman, Evan was the Head of Risk Consulting for Financial Institutions for Aon in Columbia, Maryland. He was in charge of building Aon's risk consulting practice for financial institutions and managed multiple teams based in North America and Europe to deliver services to clients worldwide. Previously, Evan was an Assistant Vice President of the Federal Reserve Bank of Richmond, where he created the center of excellence for operational risk which served the System needs for operational risk related matters. The team was in charge of the supervision of all AMA and CCAR banks in the US and developed the Fed's CCAR model for operational risk.
Evan earned a B.A. and M.A. in Economics from the Université Catholique de Louvain in Belgium. He received an additional M.A. as well as his Ph.D. in Economics from the University of California at Los Angeles.

Peter Bannister

Senior Vice President Governance, Risk & Compliance

MetricStream

14:0014:40

Rethinking outsourcing and third party risk panel

15:00 - 15:40

How has the scope of third party risk changed? What new threats and disruptions do you need to be preparing for? Listen in to hear from the greatest minds in third party risk as they explore how they have overcome the myriad of challenges facing the industry in 2020 and beyond. 

Timothy Carmon, CPA CGMA

Head of enterprise risk and control assessments

Massachusetts Mutual Life Insurance Company

Tim is the head of Enterprise Risk and Control Assessments, an area of Enterprise Risk Management (ERM). Tim joined MassMutual in 2006 as part of a team to implement a sustainable program to assess internal controls over financial reporting. Since joining the company, Tim has worked in a variety of risk management capacities including geographic risk concentration, Own Risk and Solvency Assessment (ORSA) and other regulatory risk compliance, and risk maturity assessment. Currently, Tim oversees multiple risk areas including Liquidity Risk, Operational risk, Model Risk, Financial Reporting Risk (including SOC 1 and SOC 2 reporting), and Third-Party Risk. Tim also oversees the Enterprise Risk Appetite and Top Risk programs that identify, assess and quantify the top risks facing the company in the immediate and long term in both normal and stress conditions. 
Prior to joining MassMutual, Tim worked at Deloitte in the Audit and Assurance Department with a focus on the life insurance industry. 
Tim graduated from the University of Richmond in Richmond, VA with a BS in Accounting and a BA in Religion. 

 

Olga Baldwin

Third party risk management, operational risk management, contract management

Sterling National Bank

Yakut Akman

Independent operational risk management consultant

Reference Point

Yakut Akman brings 35 years of diverse banking experience to her role of Chief Third Party Management Officer. She has responsibility, authority and accountability for the end-to-end Third Party Management Program, and leads global efforts to strengthen Citi's organizational framework, as well as processes and tools to manage third party risk.

Yakut's Citi career started in Istanbul, Turkey, as a Management Trainee. She then managed several trading support groups in New York ranging from Capital Markets and Fixed Income to Foreign Exchange, and was instrumental in establishing Citi's Interest Rate Derivatives Operations in the early 1990s. In 1996 she transferred to London as Director of Trade Services in Europe, managing Citibank's main service delivery hub in London supporting Europe.

Yakut is known for her abilities to connect operational details to the strategic business vision and drive meaningful change - an approach sharpened by many years in Operation & Technology and her role as Program Director in in Citi's Internal Audit, overseeing critical Investment and Consumer banking businesses, and also serving as Deputy Chief Auditor of Citi's Student Loan Corporation.

Prior to her current role, Yakut served as Global Head of Risk Management for Citi's Enterprise Infrastructure. Her responsibilities covered all operational risk disciplines including Information Security, Continuity of Business, and Third Party Management.

Yakut is a member of the Information Systems Audit and Control Association (ISACA) and is certified in CISA (Certified Information Systems Auditor). She is a Magna Cum Laude graduate of Mount Holyoke College with a degree in Economics.

 

 

 

Steve Schlarman

Integrated Risk Management Strategist

Archer

Steve Schlarman applies his experience in Risk Management, GRC, security and product design and architecture as a strategist for Archer.  Steve is responsible for research and thought leadership related to integrated risk management across the Archer suite. 

Steve joined Archer in 2001 and has held multiple positions over the last decade.  He has designed, built and evangelized integrated risk management solutions in a wide variety of capacities.  Prior to joining Archer, Steve was one of the founders and the Chief Strategist for Brabeion Software, an early IT GRC platform, where he was responsible for overall product strategy, product management and content management. Before Brabeion Software, Steve was a Director in PricewaterhouseCoopers’ Advisory Practice focusing exclusively on information security consulting and auditing. Steve served as PricewaterhouseCoopers’ global Subject Matter Expert on Enterprise Security Architecture and Security Policy as primary developer of PricewaterhouseCoopers' early GRC technology tool ESAS, the Enterprise Security Architecture System.

Steve is a respected author, spokesperson and evangelist. Steve holds a patent for his Composite Based Risk System (issued 7/2013, US8478628 B1).

Steve received a Bachelor of Science degree in Mathematical Sciences from Southern Illinois University-Edwardsville and holds both the CISSP and CISM certifications.
 

15:0015:40

Data governance in a decentralized landscape panel

11:15 - 12:15

The past 12 months have caused a phenomenal amount of change to everyone everywhere. The pandemic is not a micro incident, it's all encompassing. This has had a knock-on impact forcing economies and communities alike to rebuild and remodel the way they function. Critical systems that power the economy, such as banking, are facing increased pressure to re-engineer they way they do things along with the systems and tools they use. 

Data governance is a key priority in the emergence of remote working. Regardless, now is the time for organisations to address issues such as data. Join this session to delve into

  • How a robust data governance approach will accelerate the strength and applicability of your data across risk domains
  • How this in turn will encourage your organisation to prioritise technical investments
  • How a robust data governance model will help encourage ownership and achieve cultural buy-in across departments
Bala Ayyar

MD, chief data officer - Americas

Societe Generale

Born and brought up in Mumbai India, Bala Ayyar has worked in the field of Finance & Accounting and Banking for more than thirty years. Bala holds professional accounting qualifications from both India and the United States. He has an undergraduate degree in mathematics from the University of Mumbai.

Since joining SG in 2009, he has held a range of positions. Currently, he is the Chief Data Officer, SG Americas, with responsibility for data management and governance within the Region. This function is responsible for implementing the requirements of BCBS 239, establishing sound data governance framework that meets Group needs and local supervisory expectations and creating a solid platform for the data to be leveraged for strategic business decisions. Prior to that, he headed up the Project Management Office for the SG US Transformation project. Roles before that included Head of Finance Offshoring in SG Bangalore and Deputy CFO of the Americas Region of their Corporate & Investment Bank.

Prior to joining SG, Bala was with the Imperial Bank of Commerce (CIBC) for fourteen years in a range of positions in Toronto and New York. As Senior Vice President of the Wholesale North America Finance, he headed up the controllership function for CIBC's World Markets and Treasury & Risk Management Strategic Business Units within North America. With a total team of about 175 individuals across Toronto and New York, he was responsible for establishing a SOX-compliant industry-leading Finance control environment as well as supporting the efficient execution of business initiatives and managing the Finance related US regulatory relationships during a very demanding period. Prior to that, he also had stints as the business-line controller for the Bank's US origination businesses (Corporate Lending, Investment Banking, Merchant Banking, Structured Finance and High Yield), as well as the 2/ic to the Chief Accountant, with responsibility for consolidated financial, management and regulatory reporting at the corporate level.

Prior to CIBC, he was with the public accounting firm of KPMG for 10 years, mostly in Bahrain in the Middle East. He held a range of positions culminating in Senior Manager. Responsible for assurance and consulting engagements for offshore banks, focused on technical excellence, customer satisfaction and practice profitability. He was the Engagement Senior Manager for the region's second-largest bank and also played a key role in setting up a Treasury consulting specialization within KPMG Bahrain.
Bala Ayyar lives in Basking Ridge, New Jersey, is married with two children and enjoys long-distance running.

David Sirkin

Operational risk and asset management

AIG

Jay Wood

Director, head of digital records | control management | records management office

BNY Mellon

Nagaraja Kumar Deevi

Managing partner & senior advisor

DEEVI Advisory & Research Studies

Nagaraja Kumar Deevi is senior strategic executive with over two decades of Leadership experience advising Global Banking & Financial Institutions. He is Senior Advisor to number of companies. NAG is specialized in Digital Transformation, Banking regulations, Regulatory Policy & Affairs and Enterprise wide Strategic Risk initiatives. Designed and developed Enterprise Risk Governance Framework aligned with firm-wide Corporate strategy, setting high level Regulatory Policy, Risk Appetite Statement, Recovery, and Resolution Planning (RRP)/Living Wills, Culture, Conduct & Reputational Risk ad Cyber Risk. NAG works closely with Academia, as mentor, publish Research papers and has advanced management studies from Harvard, Columbia, NYU, Kellogg and MIT.

16:0016:40

Panel: Conduct risk in the digital economy

17:30 - 18:10

With the increasing uptake of cutting edge new technologies its unsurprising that digital risk has been a key priority for regulators globally. The pandemic along with the new norm in working and product delivery fundamentally highlighted this risk. What key areas need to be at the forefront of your plans for 2021? 

 

Penny Cagan

Managing director

MUFG

Kai Schrimpf

Global head of transaction monitoring

Credit Suisse

Tanya Weisleder

Global head of conduct risk

Credit Suisse

Tanya joined Credit Suisse in January 2017 from Citi where she spent 16 years in various senior Business, Risk and Compliance roles; her most recent roles included the North America head of conduct risk and head of risk management practices for the US & Latin America International Private Banking Business. 

At Credit Suisse Tanya is the global conduct risk head focused on the continual development of the Global Conduct Risk Strategy. She is a regular speaker on Conduct Risk at the biannual risk.net training industry training forum. Tanya obtained a Masters in International Affairs from Columbia University in New York, NY in May 2000 and a Bachelor of Arts in International Careers from the Lehigh University in Bethlehem, PA. 

Stan Yakoff

Head of Americas supervision

Citadel Securities

Stan is the Head of Americas Supervision at Citadel Securities where he covers the Equities, Futures, ETFs, systematic trading and low latency businesses.  Stan is also an Adjunct Professor at Fordham University School of Law teaching Quant Trading & US Market Structure Regulation.  Stan previously was a Compliance Officer at Marshall Wace North America L.P. where he specialized in Quantitative Compliance and helped build the core US compliance program.  Prior to that he worked at Knight Capital Group focusing on algorithmic trading, market structure, and surveillance. He holds a J.D. in Law from Fordham University School of Law where he was an Associate Editor on the Journal of Corporate & Financial Law, and additionally holds an M.Eng. in Engineering Management, M.S. in Pharmaceutical Manufacturing Engineering, and M.A. in Technology, Policy & Ethics from Stevens Institute of Technology.  Stan is Certified in Risk and Information Systems Control (“CRISC”) and is also a Certified Fraud Examiner (“CFE”).  Stan frequently lectures on industry topics including FinTech and RegTech, alternative data, regulatory and enforcement matters, surveillance, data privacy, and risk management. 

 

Lisa Nowell

Chief risk officer

Ashman Finance

Danny Frost

Chief risk officer, EMEA & APAC regional head of operational risk management

AIG

Mr Frost joined AIG in June 2015, and currently serves as Chief Risk Officer & Regional Head of Operational Risk for EMEA and APAC. Prior to joining AIG, Mr Frost held several roles within Investment Banking, managing Derivative Operations, Middle Office and Prime Brokerage functions. Mr Frost spent nineteen years of his career at Credit Suisse and most recently held the positions of Global Head of Operational Risk for Collateral, Clearing, Valuations & Liquidity and Global Head of Operations New Business / New Product Approval.

17:0018:00

The learning doesn’t stop here! Post-discussion benchmarking and 1-2-1 meetings

17:25 - 20:25