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21 Compliance & Risk Directors From Financial Services In 1 Day Reveal Practical & Impactful Compliance & Risk Strategies

Practical & Impactful Compliance & Risk Strategies For Financial Services: Embrace New Technologies & AI, Mitigate Brexit Uncertainty, Prepare For Regulatory Changes, Embed A Failure-Centric Operational Resilience Strategy, Protect Vulnerable Customers, Review GDPR, Promote A Healthy Culture, Deter Financial Misconduct, Revise SM&CR Standards & Drive Digitalisation

A One-Day, Industry-Led Conference & Networking Event, 4th March 2020, Copthorne Tara, Central London

08.30 Registration, Coffee & Informal Networking

09.00 GIC Welcome, Interactive Voting Introduction & Morning Co-Chair’s Opening Remarks

Renata Hoes
Chief Compliance Officer
Generali Investments Luxembourg

James Young
Head of Compliance & Risk / MLRO

Operational Resilience

09.10 Ensure Operational Resilience Is An Integral Part Of Your Business’ Overall Strategy With A Failure-Centric, Measured Approach Designed To Adapt To Disruption & Deliver Critical Services

  • Business-critical business resilience: what actions and procedures should you have in place to tackle disruption?
  • How can you best maintain and manage risks from third-party service providers and IT system failures?
  • Industry benchmarking: how can you implement a successful business continuity plan and framework which aligns with the broader strategic agenda?

Speaker To Be Announced; Please Check The Website For Details

New Tech, AI & ML | Panel Discussion & Q&A

09.30 Embrace & Exploit New Technologies & Cutting-Edge AI To Future-Proof Your Position In The Market With Tangible Outcomes & Demonstrable ROI

  • Capitalise on the opportunities AI, ML and RPA offer the risk and compliance function and ascertain which are going to deliver real results
  • Future-proof your strategies: how will new tech transform risk and compliance operations in the next 5 years and what are the technological trends that you need to be thinking about now and incorporating in the future?
  • Top tips from the experts! What is the right way to approach AI implementation without organisational silos?
  • What are financial institutions really doing with AI and what kind of returns are they seeing?

Andrew Fleming
Global FCR MI Senior Risk Reporting Manager

Madeleine Dick
Senior Manager Conduct Risk
Lloyds Banking Group

Patrick Campbell
Senior P&C Risk Business Partner
Zurich Insurance Company Ltd

Davide Magno
Head of Financial Risk Management
AXA Life Europe

Carlos Martin
Risk Director
RBS Natwest

Brexit Impact | In Conversation With

10.00 Future-Proofing In Uncertain Times: Advice On How Risk & Compliance Teams In Financial Services Can Best Prepare For & Operate In An Era Of Political Instability & Regulatory Uncertainty

  • Be proactive not reactive! Examine the organisational set up you should be working on now in order to mitigate potential effects of the impact of EU withdrawal across the financial services industry
  • Understanding the impact of Brexit: what are the possible implications of Brexit on a national and European level?
  • Practical considerations for global businesses: how can risk and compliance teams best manage in a post-Brexit world?

Aurore Lecanon
Chief Risk & Compliance Officer
Prudential International

10.20 Morning Refreshment Break With Informal Networking

Regulatory Interpretation | Panel & Q&A

10.50 Review & Reflect On The Latest Regulatory Changes With Fresh Perspectives From Key Players In Order To Prepare For Future Updates

  • Ensure you are updating the business model to guarantee a consistent and timely response to regulators’ increasing requirements
  • What is the future of regulation? How can you best prepare for and set up an operating model to suit forthcoming regulatory challenges?
  • Industry benchmarking: how to best interpret new regulations and guidelines

Emma Pape
Head of EMEA Regulatory Reform PWM Compliance
Goldman Sachs International

James Young
Head of Compliance & Risk / MLRO

GDPR: In Review

11.50 GDPR Is Now Business-As-Usual In Financial Services: Reflect Upon The Impact & Anticipate Future Governance, Risk & Compliance Challenges

  • A year and a half of GDPR implementation in review: reflect and recap the challenges faced and overcome
  • Future-proof your risk strategies to ensure the ongoing maintenance of GDPR by keeping it at the forefront of your business strategies
  • How can you ensure you are consistently meeting GDPR standards without losing the human touch?

Gary Brown
Data Protection Officer

Senior Managers Regime

12.10 Get To Grips With SM&CR & Ensure You Have The Appropriate Systems & Controls In Place To Deter Misconduct, Raise Standards Of Governance & Encourage A Culture Of Responsibility

  • How is the SM&CR embedded across the industry? From responsibility maps to statements of responsibility, ensure you have it all under control
  • As regulators drive to improve culture, governance and accountability within the financial services, design and develop a successful and compliant system which improves individual accountability and awareness of conduct issues
  • Cross-industry perspective: what does a good whistleblowing framework look like?

Speaker to be confirmed. Please check the website for details.

Sovereign & Country Risk

12.30 Sovereign & Country Risk In The Age Of Climate Change

Patrick Raleigh
Director, Country & Sovereign Risk
Bank of America Merrill Lynch

Lunch For Delegates, Speakers & Partners

12.45 Lunch For Delegates, Speakers & Partners

13.15 Informal Peer-To-Peer Discussions

A. Reputation
Stefana Brown
Head of Operational Risk
Legal & General Insurance

B. Risk Frameworks
Bennet Ledner
Head Of Operational Risk
AXA PPP Healthcare

C. Conduct Risk
Michael Sparks
Chief Risk Officer
BNY Mellon

D. Cyber Security

13.45 Afternoon Chairs’ Opening Remarks
Simon Cory

Director of Risk Strategy
Nationwide Building Society

Fair Treatment Of Customers | Panel Discussion & Q&A

13.55 Combat Inequality & Protect Customers By Developing & Implementing Flexible & Tailored Policies Which Identify Potential Vulnerability & Support Customers

  • How can policy makers create an environment where financial wellbeing is on everyone’s agenda?
  • How do you define vulnerability? How can you balance the tailored approach with treating people and customers fairly?
  • Front-line action: guarantee customers are being protected at all touchpoints with the right support and training
  • The risk of digitalisation: with digital creating challenges in identifying potential vulnerability, how can you ensure the identification of vulnerable customers across all touchpoints?

Stuart Ross
Head Of Compliance & Conduct Risk
Metro Bank

Jocelyn Tasker
Compliance Director
Monzo Bank

Stefana Brown
Head of Operational Risk
Legal & General

Madeleine Dick
Senior Manager Conduct Risk
Lloyds Banking Group

John Coley
Head of Risk Consulting, EMEA
Norton Rose Fulbright


14.40 Bonus Session Reserved For Exclusive Conference Partner

Scott Bridgen, Offering Manager, OneTrust

Culture & Governance | Double Perspective

14.55 Promote & Embed A Healthy Culture Across The Risk & Compliance Function & Wider Business Which Aligns With Long-Term Business Strategies

  • One size doesn’t fit all! Determine the key drivers of behaviour and develop a culture strategy which fits your organisation
  • Determine the right metrics and measurements to benchmark progress to set an inclusive, effective culture
  • Ensure that governance arrangements align with your organisational structure
  • What are the emerging risks or drivers around cultural issues?

14.55 Renata Hoes
Chief Compliance Officer
Generali Investments Luxembourg

15.15 Milind Dabhole
Head of Risk - Change
Lloyds Banking Group

15.35 Afternoon Refreshment Break With Informal Networking

Digitising Risk & Compliance

16.05 Reap The Operational Benefits Of Digitisation! Evaluate & Ascertain ROI To Win Buy-In From Senior Management To Drive Digitalisation Across The Risk & Compliance Functions

  • With digital continuously changing the shape of the industry, what is the future of risk and compliance in the digital era?
  • Ensure the digital journey is being used in the right way by the right people at the right time – without losing human interaction
  • Future-proof your digital activities: how can you best adapt strategies to anticipate the effect new tech and AI will have and what should you look at adopting now?

Christopher Singh
Head of Regulatory Compliance

HSBC Case Study

16.25 Financial Crime & AML

Maureen Edwards
Regional Head of Business Financial Crime Risk, Continental Europe
HSBC, Commercial Banking

The Future Of Compliance

16.45 Get Up To Speed & Do More With Less! Adapt To Change With An Operating Model Which Delivers Results & Generates A Strategic Advantage

  • What makes an efficient and flexible operating model that can keep up with regulatory change whilst meeting business needs?
  • Business-critical changes to make today! Rethink your strategies and respond to increasingly limited budgets and resources
  • How should the compliance function evolve on strategic and tactical levels to ensure it is consistently keeping up with regulatory changes?

Victoria Stubbs
Chief Risk Officer
The Cambridge Building Society

17.10 Afternoon Chairs’ Closing Remarks

Simon Cory
Director of Risk Strategy
Nationwide Building Society

17.20 Official Close Of Conference