23 Chief Risk & Compliance Officers From Major Financial Services Tackle Your Toughest Risk & Compliance Challenges In 1 Practitioner-Led Day!
Robust, Future-Proofed & Business-Critical Strategies During Times Of Unprecedented Change & Disruption For
Risk & Compliance In Financial Services: Implement A Robust Operational Resilience Model, Scrutinise Lessons Learned In The Aftermath Of Brexit & Covid, Capitalise On New Tech & Digital, Mitigate Cyber Security Threats & Financial Crime, Prepare For Regulatory Updates, Protect Vulnerable Customers & Promote A Healthy Culture For A Strategic Advantage.
A One-Day, Industry-Led Conference & Networking Event, 28th April 2021, Virtually!
08.30 Registration, Morning Coffee & Objective Setting
09.00 GIC Welcome & Morning Co-Chairs’ Opening Remarks
Sholthana Begum, Head of RegTech, Bank of England
Sarah Bennett-Nash, M.D, Head of Compliance Europe, Standard Chartered Bank
OPERATIONAL RESILIENCE
09.15 Design & Implement A Robust Business Continuity Plan & Framework Which Adapts To Disruption, Delivers Critical Services & Protects Against Future Crises
- Covid lessons learned! How have R&C teams in financial services adapted to change, responded quickly and remained agile throughout the global pandemic
- Bulletproof business continuity! Explore the governance around contingency plans and how organisations have managed to keep the board and senior managers up to date for continued buy-in
- What additional measures are critical to employ during a crisis, and what implementation timescales and budgets can you expect?
- Deliver demonstrable evidence of due diligence to the regulators with measured approached and processes which meet their ever-changing requirements
Andrew Morris, Operational Resilience Strategist, Corporate & Investment Bank, J.P. Morgan Chase & Co
COVID IMPACT: WORKING FROM HOME | PANEL DISCUSSION & Q&A
09.35 Determine The Impact Of Home Working & Establish Effective, Robust Strategies Which Maintain High Productivity, Connect Employees & Mitigate Additional Risk
- Data protection: examine the risks and vulnerabilities that have emerged with moving onsite activity to the home and how to mitigate any data breaches
- What barriers did firms face when implementing critical changes to enable home working, and what solutions did they create to mitigate the impact on employees and customers?
- Thriving not just surviving! Keep colleague conduct and wellbeing alive and strong, despite the lack of face-to-face interaction with next-level engagement strategies for risk and compliance teams
- Future forecasting! Covid highlighted vulnerabilities in the offshoring model, are we heading back towards onshoring operations?
Izy Jude, Senior Policy Officer, Information Commissioner's Office
Rob Mayne, Group Head of Operational Risk, Vitality
Neelima Fernandes, Chief Risk Office, Deutsche Bank
Sucharita Banerjee Lodha, Head of GI International Operational Risk, AIG
Ciarán McCafferty, Director of Central Compliance, M&G plc
Joanna Woods, Chief Risk Officer, Credit Suisse (Deutschland) AG
DIGITAL, TECH & AI
10.05 Capitalise On Impactful, Cutting-Edge Technologies, Digitalisation & AI To Deliver Real Results For A Strategic Advantage
- Embrace the power of digital! Establish which platforms best suit your organisation and integrate new tech, AI and ML to measure bottom-line benefits and improve efficiencies
- What are the opportunities new tech, digital and AI offer risk and compliance teams, and which are going to deliver real, tangible results?
- Onboarding and KYC: employ automated solutions for efficiency, scalability and reduced workload in times of limited face-to-face interaction
- AI ethics: seamlessly adapt strategies and integrate new tech and AI whilst ensuring full compliance across the board
- How will digitalisation continue to disrupt risk and compliance teams in the future?
Enrico Massignani, CRO, Generali Group Investment Asset & Wealth Management
10.25 Morning Refreshment Break With Informal Networking
BREXIT IMPACT
10.55 Proactive Advice On How To Future-Proof Your Risk & Compliance Teams As We Face An Uncertain Regulatory Landscape Post-Brexit
- What is the real impact of Brexit? Discover lessons learned so far and critical, practical insights as we move forward into this new world to mitigate potential effects on the financial services industry
- Trade and data transfer: what practical considerations do you need to consider as we split apart from the biggest trading bloc we have?
- Uncover key insight into new challenges as UK and EU regulations and reporting expectations diverge
Neelima Fernandes, Chief Risk Office, Deutsche Bank
11.15 Bonus Session; Reserved For Exclusive Conference Partner. For more information on how to get involved, please call +44 (0)20 3479 2299 or email partner@thefinancialservicesconference.com
NEW REGULATIONS: INTERPRETATION & OPERATING MODELS | PANEL DISCUSSION & Q&A
11.45 Equip Yourself With A Robust Business Model Which Can Quickly Interpret New Regulations & Guidelines & Is Guaranteed To Meet & Exceed Regulators’ Increasing Requirements
- Determine what measures need to be in place to guarantee a robust framework to suit forthcoming regulatory challenge
- What are the expectations on firms in such a fast-moving regulatory environment, and where are firms falling short across the industry?
- Understanding the impact! Review and reflect on recent regulations in order to prepare for future updates
Chris Beevor, Head of Compliance - Regulatory & Development Group, GAM Investments
Stéphane Janin, Head of Global Regulatory Development, AXA Investment Managers
Jaspreet Gill, Global Head Risk ORC ICT - Group Data Management, BNP Paribas
CYBER SECURITY FOR R&C TEAMS
12.15 Best Prepare For The Unexpected With Robust Cyber Risk Strategies Which Allow You To Act Fast To Identify Risk & Maximise New Tech To Best Protect The Organisation
- Uncover how companies have alleviated the risks associated with transferring data offsite to provide sufficient home working capabilities whilst also protecting against potential customer data breach
- With increasingly sophisticated cyber-attacks on the rise, educate your employees to accurately identify cyber risk, and invest in the right tech to protect the firm from threat
- 3rd party risk management: are your vendors compliant to the same standards as you, or are they your biggest source of vulnerability?
Ameet Jugnauth, Head of IT Risk & Governance, Lloyds Banking Group
PEER-TO-PEER INFORMAL BREAKOUT DISCUSSIONS
13.10 Informal Breakout Discussions
A) Credit Risk
Enrico Massignani, CRO, Generali Group Investment Asset & Wealth Management
B) Reporting
C) Data Protection
13.35 Afternoon Co-Chairs’ Opening Remark
Simon Cory, Director of Risk Strategy, Nationwide Building Society
Louise Johnston, Chief Compliance Officer, American Express UK & Nordics
GENERAL CONDUCT & CULTURE
13.45 Deter Misconduct & Encourage A Strong Culture Of Responsibility With Appropriate Systems & Controls To Tackle The Regulators’ Drive To Improve Culture, Governance & Accountability
- Ensure your senior managers are adequately managing their control functions by going above and beyond obligations in staff training and reporting misconduct
- Industry benchmarking: how have companies designed and developed a successful and compliant system which improves accountability and awareness of conduct issues?
- Guarantee governance arrangements that align with your organisational structure to protect firm reputation and avoid personal or firm liability
Hasintha Gunawickrema, Global Head of Conduct, Transformation & Third Party Risk, HSBC
VULNERABLE CUSTOMERS
14.05 Ensure The Fair Treatment Of Customers At All Touchpoints & Identify Potential Vulnerability To Protect Your Most Vulnerable Customers
- When a flexible approach is paramount, how do you monitor automated systems to ensure compliance and high levels of customer care?
- How do you define vulnerability, and how can you balance paying satisfactory attention to particular customers’ circumstances with the abundance of other incoming requests?
- Develop top-quality products, services and propositions that meet customer need, align with good product governance and shield customers from fraudulent and inappropriate products
- With a recession looming, what forbearance measures are necessary for each individual customer in a post-Covid world?
Kate Maréchal, Risk Director – Customer Strategy & Innovation, Metro Bank UK
RISK FRAMEWORKS | CASE STUDY
14.25 Uncover High-Impact, Business-Critical Emerging Risk Identification Strategies That Ensure You Are Best Prepared For The Unexpected
- Covid, Brexit, Climate Change: what’s next on the risk horizon? Identify and quantify emerging risks in order to invest in the right areas now
- Harness key indicators and data analysis tools and techniques for next-level risk frameworks
- Future forecasting: what controls and preparations do you need in place to mitigate against risk?
Rob Mayne, Group Head of Operational Risk, Vitality
14.45 Bonus Session; Reserved For Exclusive Conference Partner. For more information on how to get involved, please call +44 (0)20 3479 2299 or email partner@thefinancialservicesconference.com
15.15 Afternoon Refreshment Break With Informal Networking
CASE STUDY
15.45 ESG: Climate Change & Sustainable Finance
Speaker to be announced. Please check the website for updates.
FINANCIAL CRIME
16.05 Mitigate The Risk Of Financial Crime & AML Within Your Organisation With Processes & Technologies In Place Which Combat Threats & Protect Customers
- Business-critical insight into combatting new types of financial crime and mitigating risk initiated by Covid
- Onboarding and KYC: seize the opportunity to digitalise processes securely in an age where physical ID verification is impossible
- Develop robust anti-fraud and anti-money laundering models and practices to enhance operational resilience and protect customers and the organisation’s reputation
John Mahony, Head of Compliance, MetLife Investment Management
THE FUTURE OF RISK & COMPLIANCE | PANEL DISCUSSION & Q&A
16.25 Prepare For The Unexpected, Adapt To Change & Future Proof Your Risk & Compliance Teams In A Rapidly Changing Environment Where Transformation Is Inevitable
- Discover actionable insight into how agile institutions are embracing digitisation and structuring their compliance and risk teams for a strategic advantage
- Respond to increasingly limited budgets and resources by making efficient and effective cuts which won’t negatively impact regulation or increase risk
- A look to the future! Unlock key, strategic insights into future regulations and risk forecasting to ensure you are keeping up with industry and regulatory change
Niamh Higgins, Group Conduct Risk & Compliance Director, Legal & General
Aurore Lecanon, Chief Risk & Compliance Officer, Prudential International Assurance
Elizabeth Martine, Head of Risk, Close Brothers Asset Management
Chris Hanlon, Senior Manager - Risk Governance & Change, Monzo Bank
Ameet Jugnauth, Head of IT Risk & Governance, Lloyds Banking Group
Hasintha Gunawickrema, Global Head of Conduct, Transformation & Third Party Risk, HSBC
Dr Chandni Bhan, Head Of Risk, Morgan Stanley Investment Management, UK
16.55 Co-Chairs’ Closing Remarks
17.10 Official Close Of Conference