Programme |

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, Virtually!

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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

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

Murat Kayalarli, Head, Business Risk Management - Private Banking UK, Standard Chartered Bank

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 Session Reserved For Our Exclusive Conference Partner

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

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

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