Robust, Business-Critical, Streamlined & Proactive Risk & Compliance Strategies Designed For Financial Services
Maximise Brand New Insights From 20+ Senior Risk & Compliance Leaders To Establish A Watertight Operational Resilience & Risk Framework Which Adapts To Disruption, Prepares For Emerging Risks, New Regulations & Responds To ESG & Climate Requirements – Maximise AI, Data, Cloud & New Technologies – Combat Cyber Security Threats, AML & Financial Crime – Protect & Support Vulnerable Customers – Deter Misconduct, Raise Standards Of Governance & Encourage A Culture Of Responsibility
08.30 Registration, Informal Networking & GIC Welcome
09.00 Morning Co-Chairs’ Opening Remarks
Sarah Garrington, Operational Resilience Lead, Fidelity International
Lucyann Chawla, EMEA Head of Compliance Testing & Quality Assurance, MUFG
Model Risk - Perspective 1
09.10 Advance Your Model Risk Management Practices To Understand Complexities & Navigate The Impact Of Ever-Evolving Macro Economic Trends Whilst Ensuring To Stay Compliant With The Implementation Of Upcoming PRA CP6/22
- With the implementation of the policy laid out in the PRA Consultation
Paper CP6/22 coming into effect in May 2024, how can firms best prepare and equip teams to adapt to the proposed regulations whilst continuing to
work within compliance parameters? - How can we effectively identify and manage the risks associated with the use of AI in modelling techniques such as machine learning?
- Survey the latest advancements in model governance while ensuring all models are reliant and compliant with regulatory requirements
Scott Allen, Director – Model Risk, Fidelity International
Operational Resilience: Reinforce & Strengthen
09.30 Embed Rock-Solid Operational Strategies Which Boost Resilience & Business Continuity Amidst Turbulent Financial Landscapes To Mitigate Disruption, Remain Agile & Deliver Critical Services
- How can financial services increase emphasis on operational resilience concerning third-party relationships to proactively manage and mitigate potential risks
- Deep dive into proven operational resilience strategies which seamlessly integrate into your existing risk management frameworks to bolster risk mitigation efforts
- Navigate uncertainty by driving robust and resilient strategies which rapidly respond to external emerging risks and strengthen recovery by mitigating impact
AI, Regulatory Tech & Cloud
Panel Discussion & Q&A
09.50 Maximise AI, Automation, New Tech & Cloud Adoption Within Risk & Compliance Models To Empower Decision Making, Mitigate Disruption & Strengthen Risk Management To Deliver Bottom-Line Results
- As new regulations such as the AI Act are implemented, what new risks can we expect, and what transformative changes lie ahead in the pipeline?
- Critical questions, answered! AI: a help or a hinderance? What do we really mean by AI in FS, and how much should we trust it?
- In light of generative AI advancements today, how can firms strike the critical balance between automation and human oversight to ensure robust compliance practices? How can we really get comfortable with AI and harness the new opportunities in compliance infrastructure?
Chris Beevor, Group Compliance COO, GAM Investments
Leanne Bridges, CCO Risk Lead: Specialist Risk Functions, Nationwide Building
10.20 Bonus Session; Reserved For Exclusive Conference Partner
10.50 Morning Refreshment Break With Informal Networking
New Regulations: Regulatory Horizon Scanning
Panel & Q&A
11.20 Successfully Upgrade & Implement An Aligned, Robust & Resilient Operating Model Which Quickly Interprets Rapidly-Changing Risk & Compliance
Regulations & Responds Effectively
- 2024 is a critical year for regulations, with DORA, the AI Act and PRA CP6/22 in the pipeline, unearth new strategies to best-prepare for impact and ensure minimal threats and disruption
- Gain a competitive advantage by exploring the role of reg tech solutions in simplifying compliance processes with the introduction of AI tools across FS
- With 2025 being the deadline for the Digital Operational Resilience Act, how are FS firms preparing for the implementation and how can they align with one another to explore new opportunities?
Jane Claydon, Director Regulatory Compliance, American Express
Shona Sandhu, Deputy Chief Compliance Officer, Citadel Securities
Holly Crawford, Consumer Duty Regulatory Lead, Aviva Life Holdings
Data Management, Integrity & Transformation
11.50 Harness The Power Of Big Data By Providing Critical Data Insights & Predictive Analytics Which Mitigate The Impact Of Future Risk
- Unlock the potential of emerging technological advancements and leverage the benefits of data insights to ensure regulatory compliance and drive down financial risk
- The importance of a good data strategy is crucial but how can we ensure data goes through an organisation transparently whilst maintaining integrity?
- As regulators are looking to use data more directly from firms, is there a new risk of data be taken out of context and hence posing further risks and utilising greater resources?
- Implement new tech and AI solutions to reduce data breaches and reduce impact on customers for improved data handling
Emerging Risk Frameworks
- How can risk and compliance teams evolve on a strategic and tactical level to ensure they consistently keep up with emerging regulatory changes and risk frameworks?
- With the AI Act incoming, gain valuable insights into the risks associated with generative AI and how to effectively manage the challenges that may arise in its implementation
- Stay ahead in a competitive and complex risk landscape with an uncertain future by unlocking the tools and frameworks necessary to keep up with critical trends such as geopolitical risks to ensure business continuity in 2024 and beyond
- Examine how to harness innovation safely whilst maintaining compliance at every level by deciphering the emerging risks in a turbulent, global environment
Emma Hagan, Chief Risk & Compliance Officer, ClearBank
12.30 Bonus Session; Reserved For Exclusive Conference Partner
12.50 Lunch & Informal Networking For Speakers, Delegates & Partners
13.50 Afternoon Co-Chairs’ Opening Remarks
Sally Clayton, Chief Risk Officer, Legal & General
Louise Emma Johnston, VP, Chief Compliance Officer AESEL & AEPSL, American Express
Risk Culture & Governance: Deter Misconduct, Raise Standards Of Governance & Encourage A Culture Of Responsibility
Panel & Q&A
14.00 Foster A Competent Risk Culture That Cultivates Trust & Equips Financial Leaders With The Confidence To Improve Outcomes & Reinforce Resilience
- As regulatory pressure skyrockets, what steps are required to ensure robust risk frameworks which seamlessly tie together enterprise risk management (ERM) and risk governance?
- When evaluating the strength of governance and risk management, culture is integral! Which factors can help to translate a financial organisation’s culture into tangible risk management and governance decisions?
- How are financial services companies approaching measuring and evidencing progress around their conduct and culture efforts?
- Ensure teams aren’t making decisions in silo and work to define exactly what information should be shared between functions to align with wider organisational structures and avoid firm liability
Adam McElroy, Group Head of Cyber Risk, Bank of Ireland
Sally Clayton, Chief Risk Officer, Legal & General
Clive Wratten, Global Head of Operational & Resilience Risk, HSBC
Susan Wright, Director – Safeguarding Assets & Reporting Governance, Citi
Keith Davies, Group Chief Risk & Compliance Officer, Admiral PLC
Lisa Lucchesi, Head of Enterprise Risk, arbdn
Cyber Crime, Security & Resilience
14.30 Uncover Proactive Strategies Which Safeguard Your Customers & Organisation With Strengthened Security Controls Which Shield Against Increasingly Sophisticated Cyber Threats, Ransomware Attacks & Security Breaches
- How can financial services mitigate potential risks, combat phishing, protect vulnerable customers, and launch an effective defence for long-term protection?
- Tackling generative AI: how can financial organisations leverage the advantages of increased innovation whilst continuing to safeguard from evermore advanced cyber threats, reputational risks and more?
- Leverage L&D to upskill cyber teams to identify, alert and react to malicious activities or potential threats confidently, and effectively
Customer Outcomes & Vulnerable Customers
14.50 Unearth Proven & Proactive Strategies Which Align With Your Risk & Compliance Processes, Elevate Customer Outcomes & Fortify Protections For Vulnerable Customers Across All Aspects Of The Journey
- Understand the nuanced aspects of vulnerability within your customer base and explore new methods to support those in need whilst minimising exposure to risk
- How can R&C teams measure and report customer outcomes at every crucial stage of the customer journey including outsourcing in order to identify risks in a timely manner?
- Identify and clarify the key steps needed to deliver your outcomes by defining a tangible measure of what needs to be accomplished in each stage of the customer journey
15.10 Afternoon Refreshment Break & Informal Networking
15.40 Bonus Session; Reserved For Exclusive Conference Partner
Watertight Mobile Communications Compliance - Delegate Discussion
16.10 Stay Ahead Of Regulatory Changes & Effectively Monitor New Modes Of Communications To Swiftly Combat Security Hazards & Retain A Competitive Advantage
- With remote arrangements now being the norm, how can FS seamlessly mitigate the risk of misconduct with the dramatic increase in unmonitored communication applications?
- The communications conundrum: highlight best practices to effectively reduce regulatory scrutiny and detect risks with modern methods of communication taking centre stage
- How can firms uncover risks across its communications quickly whilst benefiting from significant efficiencies and cost savings?
Financial Crime & AML
16.30 Mitigate Adverse Effects Of Criminal Activity & Protect Customers With Practical, Proactive & Robust AML Frameworks & Financial Crime
Strategies
- Uncover brand new, business-critical insights to refresh your existing risk and compliance strategies to combat new and increasingly sophisticated types of financial crime risk
- Which strategies should be the key focus of financial services R&C teams to ensure existing frameworks provide secure outlets to protect consumers and the company from potential crime threats?
- Examine how to best identify unusual customer behaviour and file SARs more effectively while remaining compliant with critical global AML reporting regulations
- How will the emerging technological advancements and the changing geopolitical landscape influence the rate and risk of financial crime threats in 2024 and beyond?
- Maximise end-to-end fraud solutions by uncovering the key AML- driven strategies to effectively mitigate financial threats and ensure smooth business processes
Model Risk - Perspective 2
16.50 Advance Your Model Risk Management Practices To Understand Complexities & Navigate The Impact Of Ever-Evolving Macro Economic Trends Whilst Ensuring To Stay Compliant With The Implementation Of Upcoming PRA CP6/22
- With the implementation of the policy laid out in the PRA Consultation Paper CP6/22 coming into effect in May 2024, how can firms best prepare
and equip teams to adapt to the proposed regulations whilst continuing to work within compliance parameters? - How can we effectively identify and manage the risks associated with the use of AI in modelling techniques such as machine learning?
- Survey the latest advancements in model governance while ensuring all models are reliant and compliant with regulatory requirements
ESG & Climate Risk
17.10 Establish ESG & Climate Risk Models Across FS Which Remain Compliant, Renew Governance & Maintain Sustainability In Response To
The Expanding Requirements Of Regulators & Stakeholders
- With greenwashing concerns ever-increasing, how can R&C teams accurately meet anti-green-washing rules to prioritise business compliance and mitigate reputational risk?
- How can the prevailing geopolitical environment impact the formulation of ESG priorities and processes within organisational frameworks in FS?
- How can digitalisation and sustainability go hand in hand, and how can Financial Services leverage data efficiently across ESG reporting strategies to align with evolving regulatory demands?
17.30 Afternoon Co-Chairs’ Closing Remarks & Close Of Conference