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
09.10 Morning Co-Chairs’ Opening Remark
Sarah Garrington, Head Of Resilience, Royal London
Lucyann Chawla, EMEA Head of Compliance Testing & Quality Assurance, MUFG
Model Risk
09.20 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
AI, Regulatory Tech & Cloud
Panel Discussion
09.40 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
Shaun Hurst, EMEA Prinicipal Regulatory Advisor, Smarsh
Operational Resilience
10:10 Operational Resilience: Countdown to Important Business Services compliance – what they haven’t told you
- Companies are facing challenges in achieving compliance and demonstrating operational resilience amidst evolving regulations, necessitating a fundamental shift in their GRC strategy.
- We guide you through the challenges and intricacies of operational resilience compliance, including the feedback to Important Business Services (IBS) outlined in BOE, PRA FCA PS21/3 Resiliency.
- Discover why a traditional GRC approach may fall short and how leveraging Digital Twin of an Organization (DTO) technology can be a game-changer, providing an holistic view of your organization, empowering proactive risk management, and streamlining compliance.
Jerome Caillot, Head of Business Development , iGrafx
Trevor Moore, Managing Director, IGX Solutions
Data Management, Integrity & Transformation
10:25 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
10.45 Bonus Session; Reserved For Smart Communications
11:00 Morning Refreshment Break With Informal Networking
New Regulations: Regulatory Horizon Scanning
Panel Q&A
11.30 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?
Shona Sandhu, Deputy Chief Compliance Officer, Citadel Securities
Holly Crawford, Consumer Duty Regulatory Lead, Aviva Life Holdings
Lucy Spencer, CRO Private Banking and Wealth, HSBC
David Bonavia, Lead Operational Risk Oversight Manager, Metro Bank (UK)
12:00 Meeting Changing Regulatory Requirements with Adaptive Compliance
Today, it is clear that most businesses in the financial services sector are taking time to rethink their technology strategies. The goal is to enable compliant adoption of new communications channels, whilst unlocking the agility, collaboration, efficiency, and speed that these tools promise.
Join Chad Billings (NICE Senior Solutions Consultant) as he unveils the key areas that businesses should focus upon as they navigate through ever-evolving regulatory requirements.
Chad Billing, Senior Solution Consultant, NICE
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
12:15 Perspective 1
Emma Hagan, Chief Risk & Compliance Officer, ClearBank
12:35 Perspective 2
Prab Bajwa, Senior Digital Asset Risk Officer, State Street
12:55 Topic Generation Form
We’d love to hear your thoughts on potential topics or ideas of one-day brand-led conferences – please do submit any ideas via the QR code. Many thanks!
13:00 Lunch & Informal Networking For Speakers, Delegates & Partners
14:00 Afternoon Co-Chairs’ Opening Remarks
Raluca Ruscanu, Directory, Regulatory Affairs and Testing, American Express
Risk Culture & Governance: Deter Misconduct, Raise Standards Of Governance & Encourage A Culture Of Responsibility
Panel & Q&A
14.10 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
Susan Wright, Director – Safeguarding Assets & Reporting Governance, Citi
Frama Aboh, Senior Vice President, Legal Entity Risk & Controls, The Bank of New York Mellon
Cyber Crime, Security & Resilience - Delegate Discussion
14.40 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
15.00 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
15.20 Evaluation Form & Feedback
We would love to hear your thoughts from the conference today, please do submit your feedback via the QR code on the screen. Many thanks in advance!
15.25 Afternoon Refreshment Break & Informal Networking
15.55 Innovation and Resilience in Action: How to successfully navigate the complexity of multiple events
- Companies are complex and face multiple threats simultaneously
- The cross functional, anti-siloed response required to address these
threats - How a single page of glass; “360 view” can facilitate response
- The co-ordination and collaboration required to deliver resilience
Owen Miles, Field CTO, CEM Business Solutions, Everbridge
Watertight Mobile Communications Compliance - Delegate Discussion
15.55 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
16.10 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
ESG & Climate Risk
16:30 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?
16:50 Afternoon Co-Chairs’ Closing Remarks & Close Of Conference
Raluca Ruscanu, Directory, Regulatory Affairs and Testing, American Express