Book A Virtual Pass Today - Group Discounts Available! 24 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, Online.
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 An Effective Operational Resilience Framework Which Adapts To Disruption, Delivers Critical Services & Protects Against Future Crises
- Covid lessons learned: What conclusions should, and shouldn’t, be drawn from how the financial sector responded to COVID?
- Risk management: analyse the structural differences that exist between business continuity management and operational resilience
- From implementation to delivery… what are the major considerations and challenges associated with delivering operational resilience?
- Operational resilience compliance: keep on top of the assessment, oversight and supervision of operational resilience
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
Neelima Fernandes, Chief Risk Office, Deutsche Bank
Ciarán McCafferty, Director of Central Compliance, M&G plc
Joanna Woods, Chief Risk Officer, Euthenia Asset Management Ltd
Murat Kayalarli, Head, Business Risk Management - Private Banking UK, Standard Chartered Bank
Vishal Oberoi, MD and Chief Risk Officer for Compliance, Financial Crime, Legal and Risk Functions, Standard Chartered Bank
Erkin Adylov, Founder & CEO, Behavox
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
PROSPEROWARE PRESENTATION
11.15 The Hackers Are Here! How to Mitigate Data Chaos & Strengthen Governance for Microsoft 365 & Other Collaboration Systems
- Provisioning across systems to create logical places for users to store data
- Applying metadata for classification and context so end users can locate data and risk management teams can apply security and minimization
- Protecting data through access management, data loss prevention, and data protection policies
- Responding to client & regulator requests through secure movement of data across systems, locations, and organizations
- Reducing costs of storing unnecessary data with trigger-based minimization policies
Keith Lipman, CEO & Co-Founder, Prosperoware
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
Jaspreet Gill, Global Head Risk ORC ICT - Group Data Management, BNP Paribas
Wim Nelen, CEO & Founder, Single Rulebook
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
D) Risk Culture
Sucharita Banerjee Lodha, Head of GI International Operational Risk, AIG
13.35 Afternoon Co-Chairs’ Opening Remark
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
APTEAN RESPOND CASE STUDY
14.05 Session Reserved For Aptean Respond
Martin Canwell, Account Executive, Aptean Respond
VULNERABLE CUSTOMERS
14.20 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
ACHIEVING OPERATIONAL RESILIENCE THROUGH INTEGRATED RISK MANAGEMENT
14.45 MetricStream Case Study
Charles Nicholls, Enterprise Governance, Risk and Compliance Solutions Specialist, MetricStream
15.00 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, Atrato
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
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
Carlos Martin, Executive Director - Risk Management, JPMorgan Chase & Co.
16.55 Co-Chairs’ Closing Remarks
17.10 Official Close Of Conference