4th Annual New Generation Operational Risk

Overview of the day

Intro

• Operational Risk and regulation: Where are we, how did we get here and where are we going
  Basel 2
  SMA
  Outlook for modelling
  Sound practices
• The Operational Risk tool kit: Tools and techniques
  Utilising the IOR’s Sound Practice Guidance (SPG) series

Lunch break

• Organising the operational risk function to build accountability in the firm
  Challenges around organising the function
  3LODs
  SMCR
• A Day in the Life of an Operational Risk Manager: The value of operational risk management
  A practical exploration of what operational risk managers can/should be involved in within the firm
• Current and Emerging Challenges and how to overcome them
  Regulation
  Geopolitics
  Cyber
  AI and robotics
  Increased pressure on costs and budgets

Close

What you will learn

You will hear about the latest regulatory developments impacting operational risk and learn about emerging challenges and how to cope with them. You will also hear from experts how to deploy the tools of operational risk management to add real value to your organisation, drawing on best practice tools Building accountability is a key focus for regulators, and you will hear how the design of the operational risk function can help embed a culture of accountability. Finally, you will learn from experienced Operational Risk managers about the practicalities of doing the job and the challenges, including of scoping the role.

Day One | March 13 | London

08:00 Morning Registration & Coffee

08:50 Chair’s Opening Remarks

KEYNOTE ADDRESS – FINANCIAL CONDUCT AUTHORITY
09:00 An FCA perspective on operational risk

• Overview of the FCA approach to operational risk
• How operational risk fits within the FCAs enterprise wide risk management framework
• Challenges and opportunities for the next 12 months and beyond

Paul Dyer, Head of Operational Risk, Compliance & Risk Review, Financial Conduct Authority

PANEL DISCUSSION
09:40 The future of risk management: Embedding operational risk management as part of decision making process

• Making operational risk management part of day to day decision making
• Operational becomes BAU
• Effective first line management of operational risk
• Limiting risk assessments
• Implementing a front-line cost centre to quantify new products and accountability
• Evolution trend of increased complexity

Paul Berry, Chief Risk Officer, Mizuho International
Simon Cartlidge, Head of Operational Risk Governance, Legal & General
Laura David, Head of Operational Risk Controlling, Raiffeisen Bank SA Romania
John Joyce, Head of Enterprise Risk, Allianz Insurance

10:30 Morning Refreshment Break & Networking

11:00 Can the Operational Risk ‘umbrella function’ provide more value to Financial Services?

• Where do we see the greatest systemic threat to the financial system and does this align to today’s risk management agenda?
• How does risk management evolve to meet the broad scope of non-financial risks?
• What drives a sound risk management culture?

Mark Cooke, Global Head of Operational Risk, HSBC

11:40 Aligning departments and functions for a holistic view of operational risk

• Aligning departments: Operational risk, compliance, financial crime etc.
• Making functions more efficient and streamlined
• Using common tools to align departments
• Demonstrating value
• Aligning terminology and systems
• Capturing similar risks on different systems and interpretations

John Joyce, Head of Enterprise Risk, Allianz Insurance

12:20 Lunch Break & Luncheon Roundtable Discussions

DATA
13:35 Using operational risk data to support informed business decision making

• Accessing and using information in operational risk in an efficient way
• Using data analytics to flag up key issues, risks and exposures
• Leveraging data mining techniques for operational risk
• Big data and what it means for operational risk

Campbell Davidson, Head of Operational Risk Framework, Royal Bank of Scotland

GDPR
14:15 GDPR implementation: Managing system and process changes for timely and effective compliance

• Ensuring compliance: Consequences of potential fines
• Adapting to local interpretations of rules
• Identifying how data is: Stored, secured, monitored, accessed, catalogued, governed and deleted
• Changes to underlying processes and procedures
• Building robust interim solution to capture requirements and migrating to a more robust platform overtime
• Effective co-existence of GDPR risk assessments and operational risk assessments
• Resource opportunity cost of GDPR
• Ability to manage GDPR post-implementation

Dave Evans, Data Protection Officer, UK & EMEA, Swiss Re

PANEL DISCUSSION – CYBER
14:55 Reviewing the cyber risk landscape and effective management of internal and external risks to ensure a secure environment

• Managing speed and increasing sophistication of attacks
• Preventing access breaches, mitigation and damage limitation
• Adapting infrastructure and systems to new technology
• Measurement and quantification of cyber risk: Obtaining useful data
• Use of scenario analysis to quantify severe events
• Identifying unusual patterns of behaviour through AI, machine learning and big data
• Prioritisation of areas that pose biggest threat

Gilles Mawas, Global Head of Operational Risk and Permenant Control, BNP Paribas Securities Services
Irina Lazar Visu, Head of Operational Risk Department of IBFS, Societe Generale

15:45 Afternoon Refreshment Break & Networking

TECHNOLOGY: ARTIFICAL INTELLIGENCE AND ROBOTICS
16:15 Utilising Artificial intelligence and robotics to increase efficiency in operational risk measurement and management

• Replacing people, process and systems with a more automated robot: Operational risk implications and management
• Level of assessment required if management becomes automated
• AI and robotics learning behaviours and expectations
• AI increasing recognition to manage conduct
• Responsibility if something goes wrong
• Governance and oversight of robotics and AI at board level

PANEL DISCUSSION – CHALLENGER BANKS
16:55 Comparison of established banks vs. start-ups and leveraging lessons learnt

• Techniques to manage operational risk
• RCSA on a monthly basis as opposed to annual exercise?
• A blank canvas: How challenger banks have done things differently
• Building out an operational risk programme

Laura David, Head of Operational Risk Controlling, Raiffeisen Bank SA Romania
Campbell Davidson, Head of Operational Risk Framework, Royal Bank of Scotland

17:45 Chairs Closing Remarks

17:55 End of Day One & Evening Cocktail Drinks Reception

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Day Two | March 14 | London

08:15 Morning Registration & Coffee

08:50 Chair’s Opening Remarks

PANEL DISCUSSION – REGULATORY CHANGE
09:00 Managing the volume of upcoming regulatory requirements and ensuring compliance whilst demonstrating the value of operational risk management

Managing volume of regulatory changes across the business and different jurisdictions
Changes to systems and processes: Costs and diversion of management time and resource
Application of BCBS 239 to operational risk
Geopolitical risk and Brexit
Managing regulatory expectations and increasing regulatory involvement
Demonstrating value beyond compliance

Marike Dokter, Director Internal Audit, Barclays
Naz Shabir, AM EMEA Head of Regulatory Developments and Product Advisory Compliance, UBS Asset Management

GLOBAL SURVEY RESULTS
09:50 Release of the results from the International Operational Risk survey undertaken by Center for Financial Professionals in partnership with the Institute of Operational Risk

Overview of process and results of survey
Interactive session with comparison of audience polls and survey results
Key findings and highlights

10:30 Morning Refreshment Break & Networking

The Op Risk Summit will break into the two simultaneous streams below. Sessions start and end at the same time, and attendees are free to move between the rooms without pre-registering for the streams.

Stream 1
Risk Management

RISK APPETITE
11:00 Developing an effective and measurable operational risk appetite that aligns with business strategy

• Defining, structuring, categorising, measuring and managing operational risk appetite
• Meaningful and measurable risk appetite statements
• Monitoring and tracking risk appetite
• Group wide appetite for operational risk
• Implications if appetite is breached: Setting up remediation activities
• Setting and quantifying risk appetite for emerging areas

Pam McDonagh, Global Head of Operational Risk Framework, UBS

Stream 2
Risk Measurement

OPERATIONAL RISK CAPITAL
11:00 Fixing op risk capital

• What is it about op risk that makes it difficult to model?
• How did the different modelling approaches perform in the aftermath of the crisis
• What are the alternative solutions?

Michael Grimwade, Head of Operational Risk Management, International, MUFG Securities

PANEL DISCUSSION – KEY RISK INDICATORS
11:40 Key indicators: Finding forward looking indicators to better understand and mitigate against threats

• Tying key risk indicators into risk appetite
• Ownership and accountabilities
• Sourcing predictive data
• Obtaining information out of systems
• Turning backward looking indicators into forward looking indicators

Mark Jesurasa, Head of Operational Risk APAC and ME and Global Enterprise Risk, Columbia Threadneedle Investments
Marike Dokter, Director Internal Audit, Barclays
Sean Titley, Head of Operational Risk, Europe & Asia Pacific, Toronto Dominion Bank

PANEL DISCUSSION
11:40 The operational risk capital regime: Ensuring adaptability of current models to plan for future changes

• If AMA dies what replaces it and is SMA still relevant?
• Treating wind down subsidiaries
• Dealing with models in interim until SMA goes live
• Utilising AMA model for stress testing and capital allocation
• Balancing compliance

Lav Bernfest, Head of Group Operational Risk, Erste Group
Michael Grimwade, Head of Operational Risk Management, International, MUFG Securities
Dimitris Bartzilas, Global Head of Operational Risk Capital & Modelling, Credit Suisse

12:30 Lunch Break & Networking

THREE LINES OF DEFENCE
13:30 Defining roles and responsibilities to increase effectiveness and accountability

• Is a three lines of defence operating model still relevant and effective?
• Optimising the three lines of defence to add maximum value
• A focus on the relationship between the first and second line

Simon Cartlidge, Head of Operational Risk Governance, Legal & General

STRESS TESTING
13:30 Using stress testing as a tool to identify and manage operational risk losses

• Understanding drivers of risk and losses
• What to include in the stress tests and tying losses to the economy
• CCAR as a replacement capital measure
• Jurisdictional differences in stress testing approach
• Translation of stressed scenarios in macroeconomic situation into framework
• Stress testing under pillar 2b and links with scenario analysis

Philip Umande, Head of Operational Risk Capital and Analytics, Lloyds Banking Group

CONTROL, MONITORING & TESTING
14:10 Establishing effective control, monitoring and testing frameworks to increase process efficiency

• Demonstrating effective controls
• Definition of a key control
• Identifying a key control and the level of risk
• Obtaining value for money
• Utilising technology
• Ensuring more efficient and streamlined process
• The balance between monitoring and testing

Will Martyn, Head of Operational Risk Policy and Framework, HSBC

SCENARIO ANALYSIS
14:10 Scenario analysis: Constructing meaningful operational risk scenarios to understand risks and make informed decisions

• Running scenarios to understand tail events
• Challenge the business on scenarios post-crisis
• Producing numbers and inputs to understand risks
• Making scenarios realistic yet extreme
• Gaining value from stress scenarios
• Driving decision making whilst ensuring compliance
• Integrating into framework and assessment process

Anit Deb, Deputy Head of OR Capital, Deutsche Bank

SELF ASSESSMENTS
14:50 Linking risk and control assessments back to process for an enterprise view of operational risk

• Responsibility: Driven by operational risk or business?
• Regulatory requirements around self assessments
• Management of self assessment process
• Embedding self assessment process in the business
• Granularity and excess of information in assessments and processes
• The cluttering of risk systems
• Stripping current practices back to understand material risks and key controls

Irina Lazar Visu, Head of Operational Risk Department of IBFS, Societe Generale

REPUTATIONAL RISK
14:50 Approaches for measuring reputational risk and management within an operational risk function

• Does reputational risk sit within an operational risk framework?
• Measuring impact on customers
• Increased media and social media attention
• Managing the risk and linking with other functions
• Developing reasonable and proportionate thresholds
• Putting metrics to behaviour driven risk
• Consiering in relation to other risk areas

15:30 Afternoon Refreshment Break & Networking

CONDUCT RISK
16:00 Understanding where conduct risk sits and educating staff to mitigate the risk

• Regulatory implications
• Identifying key vulnerabilities and reacting to conduct issues
• Managing fall out from previous incidents
• Differences in UK regulatory approach to conduct vs. rest of world
• Risk appetite for conduct
• Assigning metrics to conduct
• Working towards aligning conduct, finance and risk

Katrina May-Kwan, Head of EMEA International Risk Oversight, Wells Fargo

VENDOR AND THIRD PARTY RISK
16:00 Demonstrating effective measurement of third party risk management controls and frameworks to increase defence and security

• Controls in place
• Demonstrating and evidencing regular assessment of critical partnerships
• Doing on-site visits, risk assessments and performance management
• Financial stability of critical vendors
• SYSC 8 guidance
• Potential reputational damage

Abhishek Khare, Director, Operational Risk for Outsourced Services, Societe Generale

16:40 Assessing lessons learnt from key operational risk events over last 12 months

• Significant operational risk loss events
• Causality behind events
• Wells Fargo fictitious account scandal, WannaCry ransomeware, hacking of Sony content
• Reviewing patterns before events
• Impact on industry and individual institutions

EMERGING RISKS
16:40 Implementing effective frameworks to better foresee, measure and mitigate emerging risks: Prudential’s approach

• Aims and objectives
• How our approach has evolved over time
• Where emerging risk fits into the risk management framework
• Risk measurement: The choice of qualitative versus quantitative approaches
• Worked examples of emerging risks
• Reflections on the future of emerging risk management as a discipline and function

Gary Killick, Group Head of Emerging Risk, Prudential
Anthony Brown, Director, Group Risk, Prudential

17:20 Chairs Closing Remarks and End of New Generation Operational Risk: Europe 2018

The Masterclass will explore how to:

• Best communicate the risk Appetite Framework in a language that is commonly understood at Board Level
• Identify the key stakeholders to be involved in defining and approving the risk appetite statement, measures and metrics
• Identify the best ownership model, for example First Line of Defence versus Second Line of Defence ownership
• Embed flexibility to accommodate different businesses while keeping a consistent minimum standard and format
• Establish appropriate governance structures for the oversight of the risk appetite framework
• Define quantitative and qualitative statements, which include a forward looking view of risk
• Incorporate Conduct Risk measures in the Risk Appetite measures and metrics
• Ensure breaches in risk appetite are promptly actioned

Nick Mayer
Director, Compliance and Operational Risk Control
UBS

Pam McDonagh
Global Head of Operational Risk Framework
UBS

Campbell Davidson
Head of Operational Risk Framework
RBS

Laura David
Head of Operational Risk Controlling
Raiffeisen Bank SA Romania

Dimitris Bartzilas, Global Head of Operational Risk Capital & Modelling, Credit Suisse

Dimitris has been with Credit Suisse since 2010, focusing on Operational Risk quantification. He heads the Operational Risk Capital & Modelling department which is responsible for regulatory capital (AMA), stress testing (LPA, CCAR, ICAAP) and internal economic capital models across multiple jurisdictions. He is also responsible for Innovation and introduction of advanced analytics techniques across the Enterprise & Operational Risk department. He previously held multiple roles within Group Risk Analytics at Lloyds Bank. Dimitris has an MSc in Risk & Financial Mathematics from Brunel University and a Mathematics degree from University of Patras, Greece.

Lav Bernfest, Head of Group Operational Risk , Erste Group

8+ years of experience in dealing with Op Risk topics; starting in a leasing subsidiary of Hypo Group, before moving to the bank, the main focus was implementing various OpRisk management tools into the business and conducting extensive investigations. Afterwards, I joined a consultancy, where I supported an AMA implementation in an Austrian banking group; my focus was on development and implementation of the OpRisk tools and methods across the Group. Other projects were in the Non-Financial Risk area (Setting up governance, fraud assessments ICS, etc.). Since 2017 I am back working within a bank, Erste Group, where I am responsible for the Group OpRisk, with a primary focus on the capital model, stress testing, budgeting, risk appetite, loss data and conduct risk.

Paul Berry, Chief Risk Officer, Mizuho International

Paul Berry is the Chief Risk Officer of Mizuho International Plc, having joined Mizuho in 2013.  In a career that spans over 30 years, Paul has held front office roles in relationship banking however the majority of his career has been spent in Risk Management, predominantly focused on credit risk management of trading room products and trading room counterparties.  Prior to joining Mizuho Paul has held senior Risk Management positions with: CIBC, ABN AMRO Bank and RBS.  Paul holds an MBA from CASS Business School.

Anthony Brown, Director, Goup Risk, Prudential

Anthony is the Director of Group Risk at Prudential’s head office. He is responsible for operational risk, emerging risk, risk reporting, and group risk policies. Anthony has been at Prudential since 2016, and was previously at the PRA where he held a number of senior roles across supervision and policymaking. He is a qualified actuary, and enterprise risk analyst.

Simon Cartlidge, Head of Operational Risk Governance, Legal & General

Simon is L&G Group’s Head of Operational Risk Governance. He has spent 18 years with the organisation, previously holding a variety of senior risk management roles in the retail investments and banking business units. Simon worked on L&G’s Solvency II programme, focusing on the Pillar 2 workstream and leading the phase 1 IMAP Submission. Immediately prior to his current role, he was responsible for governance arrangements over the Group’s Internal Model. Prior to L&G, Simon worked for Bradford & Bingley Building Society, as Credit Risk Manager in their retail mortgage business.

Mark Cooke, Global Head of Operational Risk, HSBC

Responsible for the leadership of the global function that provides oversight and direction to the management of non-financial risk. Previous appointments: Chief Risk Officer for Barclays Wealth (2009-2013). Various Managing Director roles in Risk, Strategy and Operations for UBS Investment Bank. Prior to joining UBS in 1997, he worked at a number of European Financial institutions. His career began at Coopers & Lybrand in 1989 where he qualified as a Chartered Accountant. Mark holds a joint BSc degree in Physics and Business from Warwick University.

Laura David, Head of Operational Risk Controlling, Raiffeisen Bank SA Romania

My Background in operational risk started 10 years ago when I decided to take an important step in my professional path and do risk management. During these 10 years I succeed to gain valuable experience in dealing with operational risk from implementing the base of operational risk in Raiffeisen Bank Romania, obtain local regulatory approval for using STA and then moving to AMA. In this period my first objective was to be a partner for my colleagues from business and process management and together add value to the organization. This would not be possible without being involved and understand in depth the bank activity from project to product and then process management. Now the new focus is on IT risk management and digitalization as new challengers for the operational risk environment.

Campbell Davidson, Head of Operational Risk Framework, RBS

Campbell Davidson is the Head of Operational Risk Management Framework at Royal Bank of Scotland. He has extensive experience working across the 1st, 2nd and 3rd line of defence where he has developed, embedded and provided assurance on firm-wide risk and control frameworks. In addition to his time at RBS, he has previously worked within Lloyds banking Group and Standard Life plc.

Anit Deb, Deputy Head OR Capital, Deutsche Bank

Anit Deb is Head of External Industry Coverage within the Non-Financial Risk Management department of Deutsche Bank. In his current role, he focuses on gathering external industry intelligence. Prior to his current role, he was the Deputy Head of Operational Risk Capital. He is with Deutsche Bank for three years and prior to this, he has spent seven years in management consulting.

Marike Dokter, Director Internal Audit, Barclays

Marike Dokter started working for ING Group Operational Risk Management in 2003. She had joined ING in 1999 as an IT information analyst. Marike has been involved in a wide variety of processes such as OpRisk systems, MI design, Board Reporting, OpRisk policies, and conformance reviews. She was Head Operational Risk for ING Insurance Central & Eastern Europe, prior to leaving for a career in the UK in 2010. She worked at Credit Suisse in London as head OpRisk Loss Collation. She moved to Compliance for the FATCA project and went back to OpRisk to manage the capital scenario workshops. In 2013 she changed jobs for a role in the third line at Barclays Internal Audit. In 2016 Marike became head of the Internal Audit Operational Risk team and is responsible for the audit coverage of the OpRisk framework in Barclays.

Paul Dyer, Head of Operational Risk, Compliance & Risk Review, Financial Conduct Authority

Paul has expertise in developing regulatory, risk and innovation practices for organisations, having lead transformations for Regulators, Insurers, Banks, Pensions, FX and Investment firms.

Paul has leadership experience from performing Risk & Compliance, Operational and Commercial roles for large and small organisations, as well as also establishing his own successful consultancy, which was shortlisted for Consultancy of the year by the Institute of Risk Management.

Paul joined the Financial Conduct Authority at the end of August 2017 to lead the Operational Risk, Compliance and Risk Review teams. Prior to this, as well as running his own business, Paul led the Association of Professional Compliance Consultant (APCC). Paul remains an Expert Advisor in Regulatory Risk for the Bar Standards Board, who regulate Barristers in the UK.

Paul is a certified member of the Institute of Risk Management, has two business degrees (including one from the Ecole Superieure de Commerce in Bordeaux, France) and a Masters degree with distinction in Innovation, Creativity and Leadership from CASS University.

Dave Evans, Data Protection Officer, UK & EMEA, Swiss Re

Dave Evans joined Swiss Re in August 2013 and is their Data Protection Officer for the UK and EMEA. Prior to that he worked at the Information Commissioner’s Office, the UK’s regulator for data protection and freedom of information. During ten years at the ICO his roles included policy development and promotion, guidance production, complaints handling and Course Director for the ISEB Certificate in Data Protection. He also spent six months on secondment as acting DPO for Eurojust and represented the ICO at working groups and conferences at both national, European and global level.

Michael Grimwade, Head of Operational Risk Management, International, MUFG Securities

Michael has worked in Op Risk Management for over 20 years. He is currently Head of Op Risk for MUFG Securities, and was previously Op Risk Director for Lloyds TSB’s Wholesale & International Division and also Head of Op Risk Stress Testing at RBS. Prior to this he worked for a decade as a management consultant.

Michael received an award in 2014, from the Institute of Op Risk, for his ‘Contribution to the Discipline of Op Risk’, primarily for his work on Scenario Analysis. In 2016 RiskBooks published his book entitled “Managing Operational Risk: New Insights & Lessons Learnt”.

Mark Jesurasa, Head of Operational Risk APAC and ME and Global Enterprise Risk, Columbia Threadneedle Investments

Mark Jesurasa joined Columbia Threadneedle Investments in July 2014 as Head of Operational and Enterprise Risk APAC and ME and Global Enterprise Risk. Mark is responsible for embedding the operational risk framework in the business, ensuring that operational risks are identified and managed appropriately, and communicating risk issues to Columbia Threadneedle’s global insurance clients.

Before joining the company, Mark spent 5 years in risk management roles at Aviva Investors. Prior to that, he spent 2 years at Henderson Global Investors in both 1st and 2nd line of defence risk management roles.

Mark holds the Investment Operations Certificate from the Chartered Institute for Securities & Investment and the Investment Management Certificate. He has an economics degree from London Metropolitan University and a masters from University of Surrey.

John Joyce, Head of Enterrpise Risk Management, Allianz Insurance

John Joyce will be presenting at the 4th Annual New Generation Operational Risk Europe Summit.

Abhishek Khare, Director, Operational Risk for Outsourced Services, Societe Generale

Abhishek Khare is responsible for managing outsourcing risks for Societe Generale EMEA. He joined SGCIB in 2011 where he held various senior management roles in CIB Operations at Bangalore and Hong Kong before coming to London team in October 2016. His previous employers include Nomura, Lehman Brothers, Wipro, Franklin Templeton and Deloitte consulting. With several years of experience in managing operations in capital markets, mutual funds, vendors & audit firms, his key competence is a combination of operational risk, off-shoring and outsourcing oversight.

Gary Killick, Group Head of Emerging Risk, Prudential

Gary Killick heads the emerging risk function within the Group Risk division of Prudential Plc. He is responsible for coordinating and steering the emerging risk identification and management process across the organisation, as well as for the further development of the process within Prudential. He also represents Prudential on the Emerging Risk Initiative (“ERI”) working group of the European CRO Forum.

Gary is a professional risk manager, with around 30 years’ experience of financial risk management gained across a variety of City institutions; the last seven of which have been with Prudential. He holds an MA in Global Political Economy from City, University of London and is an Associate of the Chartered Institute of Bankers.

Irina Lazar Visu, Head of Opertional Risk Department of IBFS, Societe Generale

Irina Lazar-Visu, currently Head of Operational Risk for International Banking and Financial Services in Société Générale, began her carrier in 2006 in SG Group’s Romanian consumer credit entity, BRD Finance.

After 5 years of chemical engineering studies in Polytechnic University, Irina made a shift in her professional orientation and followed international economic studies in “Spiru Haret” University and Romanian Banking Institute from Bucharest – Romania, concluded by a Bachelor’s degree in economics.

Self motivated and eager to learn, after a 3 year experience as a Credit Analyst and HR Business Partner, in 2009 she started working as an Operational Risk Specialist and in 2011 she was named Head of Permanent Control department of BRD Finance, in charge of Operational Risk and Compliance.
Irina joined Société Générale France at the beginning of 2012, where she held at first the position of Operational Risk Coordinator supervising a perimeter of banking and consumer finance entities. Starting 2015 she is Responsible of Operational Risk for International Banking and Financial Services entities from Euro and Russia regions.

Will Martyn, Head of Operational Risk Framework & Policy, HSBC

Will is HSBC’s Head of Operational Risk Framework & Policy. Will joined HSBC in June 2015 after spending the previous four years as a Senior Manager in Deloitte’s Operational Risk practice, primarily supporting clients in designing and implementing Operational Risk Frameworks across the Financial Services industry.

Gilles Mawas, Global Head of Operational Risk and Permanent Control, BNP Paribas Securities Services

Gilles Mawas is a senior expert on Operational risk within the BNP Paribas Group Risk function, specialising on third party and on IT/cyber risks.

He was the global head of Operational Risk and Permanent Control for BNP Paribas Securities Services from 2014 to 2017.

Gilles Mawas joined Paribas in 1998 as Head of Functional Architecture. He then become Chief Information Security Officer (CISO) for BNP Paribas and was responsible for the global information security at the whole BNP Paribas group. He joined BNP Paribas Securities Services in 2008 where he was Head of Transversal operations until 2014.

Prior to joining Paribas, Gilles Mawas worked with DMR Consulting, a Canadian firm, as Senior Consultant. He started his career with Bull Ingénierie (software house) where he was in charge of software development and large IT projects management.

Gilles Mawas holds a master degree from SupAero, an aeronautical engineering school in Toulouse.

Katrina May-Kwan, Head of EMEA International Risk Oversight, Wells Fargo

Katrina is an EMEA International Risk Oversight consultant within Wells Fargo Corporate Risk. Based in London, she is responsible for independent risk oversight and credible challenge to the first-line of defence risk management primarily for operational risk management, regulatory risk management, business processes and governance across all Wells Fargo EMEA businesses.

Katrina has 10 years of experience in financial services, most recently at the Bank of England as an Operational Risk Specialist. This role involved assessing the operational risk frameworks, reporting and governance structures of global investment banks, UK banks and building societies against UK regulatory requirements. Particular focus was spent on the risks arising from operations, electronic trading, legal risk and unauthorized trading.

Prior to this, Katrina was a supervisor at the UK Prudential Regulation Authority conducting business model analysis and assessing operational risk, compliance, financial crime and recovery and resolution at US banks. Katrina also spent a year with the Federal Reserve Bank of New York developing the annual CCAR stress test.

Before regulation, Katrina worked at PricewaterhouseCoopers in Banking and Capital Markets Audit and the UK Financial Ombudsman Service, investigating mortgage endowment complaints. Katrina holds a Bachelor in Law from the University of Leicester.

Pam McDonagh, Global Head of Operational Risk Framework, UBS

Pam is a Managing Director with UBS’ Compliance and Operational Risk Control function. She is responsible for the design and operation of the firm-wide Operational Risk Framework which is an integrated framework covering Compliance, Operational, Conduct and Legal risks.

Pam has been with UBS for 18 years and has held various audit, Legal, Compliance and Operational Risk roles including leading the program to integrate the previously separate Compliance and Operational Risk organisations and the design of the UBS firm-wide RCSA and Operational Risk Appetite Framework.

Nick Mayer, Director, Compliance and Operational Risk Control, UBS

Nick is a Director with UBS’ Compliance and Operational Risk Control function. He is responsible for the implementation of the firm-wide Operational Risk Framework and the generation of Global Conduct Risk Management Information for the firm.

Nick has been with UBS for 3 and a half years and has previously held various Investment Banking Operations roles with a focus on OTC Derivative Documentation, transaction processing and adherence to evolving regulatory transaction execution rules.

Nazim Shabir, AM EMEA Head of Regulatory Developments and Product Advisory Compliance, UBS Global AM

Naz Shabir has over 10 years’ experience in Asset Management Compliance across a range of buy side firms. He specialises in Regulatory Developments across a number of asset classes and product types and advises firms with meeting their strategic objectives, while identifying opportunities to capitalise on regulatory change. He is currently the EMEA Head of Regulatory Developments and Product Advisory Compliance within UBS Asset Management.

Sean Titley, Head of Operational Risk, Europe & Asia Pacific, Toronto Dominion Bank

Sean Titley is Head of Operational Risk, Europe and Asia Pacific at Toronto Dominion Bank, overseeing Operational Risk activities in London, Dublin, Amsterdam, Singapore, Hong Kong and Japan with over 25 years’ risk experience. He has put in place a regional Operational Risk Framework, Conduct Risk Committee and Conduct Risk Appetite Statement and runs the Key Indicator program for TD’s wholesale bank and treasury. Sean is an active member of the Operational Risk community in London as Deputy Chair of the Association of Foreign Bankers Operational Risk Committee and a member of the Institute of Operational Risk. He has co-authored papers on various topics related to Operational and Conduct Risk and acted as a speaker and panel member at a number of events.

Philip Umande, Head of Operational Risk Capital & Analytics, Lloyds Banking Group

Philip Umande will be presenting at the 4th Annual New Generation Operational Risk Europe Summit.

2018 Exhibitor

Sponsorship

Can your organisation contribute at our New Generation Operational Risk Summit?

Please contact the Center for Financial Professionals today to discuss how we can deliver your thought-leadership at the event, help you generate leads, and provide you with unique networking and branding opportunities. Below is an outline of what we can offer, but please contact sales@cfp-events.com or call us on +44 (0)20 7164 6582 where a member of the team will be happy to tailor the right package for you.

Media Partners

Overall, I thought the content was good. I appreciate the content provided by professionals

– Fannie Mae

Very well managed – great job!

– CIT Group

Thank you to you and the team for a great event.  I found the event well put together with a good variety of speakers and plenty of opportunity to meet others from the industry. I look forward to attending future events.

– Future Williams & Glyn Team | RBS

I enjoyed the selection of speakers; they are practitioners in the banking industry holding senior positions and with a lot of experience and knowledge to share.

– Standard Bank

Venue

The Tower – A Guoman Hotel
St Katherine’s Way
London

We have a preferential rate for our attendees to stay overnight at the venue for only £159 including VAT.

To book your accommodation please call +44 (0) 800 330 8005 or email reservationsadmin.tower@guoman.co.uk and quote reference CFP140318

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