

Why should you attend?
Over the years, the understanding of operational risk – of people, processes, and systems – has altered and adapted to the changing times and climate. A more contemporary view is for professionals to view this as non-financial and operational risks, which better outlines the aspects that are not specifically financial risk.
The ever-changing role and responsibility of the risk professional, especially during the challenging and unprecedented times, requires new thinking, stringent processes, and greater understanding of the diversity of systems. CeFPro’s Non-Financial and Operational Risk Congress provides a clear path on the current challenges, and future path and opportunities.
By registering for this Congress, you will also gain access to our Climate Risk USA Congress which will be held at the same venue.
Key highlights
- REGULATION:
Managing regulatory requirements to manage disparities in an everchanging landscape
- LINES OF DEFENCE:
Coordinating risk silos across the three lines of defences whilst increasing collaboration for full risk oversight
- CYBERSECURITY:
Managing evolution of cybersecurity and developing defence strategies to mitigate risk
- THIRD PARTY RISK:
Controlling and managing third party risk to manage risk exposure
- RCSA:
Developing tangible outcomes by leveraging benefits of RCSA beyond a tick box exercise
- RESILIENCE:
The implementation of an overarching resilience framework to capture all risks
- FINANCIAL CRIME:
Exploring the ever-changing landscape and adapting new techniques to avoid fraud and financial crime.
- CONVERGENCE:
Covering the integration of compliance, operational risk, and enterprise risk under one framework

An engaging and interactive agenda spread across 2-days
Participate in a comprehensive exploration of the topics at hand via presentations, panel discussions, and live Q&As to facilitate learning and engagement.

Subject matter experts share their knowledge and experiences
30+ senior risk professionals presenting on the critical challenges, providing insight and case studies, and offering fresh perspectives to new and long-standing challenges.

7+ hours of available networking opportunities
Continue conversations from inside the auditorium over coffee, lunch, and at our complimentary drinks reception. Make meaningful career-long industry connections to use to your professional advantage.
Key speakers

Michael Steinhoefel
Director, Operational Risk Management
Barclays

Madiha Fatima
Executive Director, Operational & Outsourcing Risk
J.P.Morgan

Dominique Benz
Managing Director, Americas Head of Business Controls
Mizuho

Sabeena Liconte
Chief of Compliance
ICBC

Daniel E Worrel
Head of Non-Financial Risk Department
Federal Reserve Bank of New York

Zhi Chung
Director, Non-Financial Risk Management
Credit Suisse

Sonia Jarvis
Director, Quantitative Modelling
Fannie Mae

Gustavo Ortega
Head of Technology, Innovation and Operations Risk Management
Voya Financial

Patricia Catharino
US Head of Internal Controls and Risk Management
Banco Itau International

Melissa Mellen
Director, Third Party Risk Management
Federal Reserve Bank of New York
I found [Operational Risk Management USA] to be exceptional, the topics, the experience of the speakers, the interaction with the audience, I have a lot of great examples to bring back to my own firm that can hopefully help us manage risk better.
I’ve been to this conference several times and what I’ve always liked is the size of the conference… It’s smaller in size and as a result, my communication and interaction with my peers are more which is something that I like… There’s a lot of interaction within the sessions, a lot of takeaways.
I came away from [Operational Risk Management USA] with some new and different ways to think about operational resiliency and how to properly account for and manage non-financial risks in an ever changing monitoring and control environment.
It was a great series of discussions. I was very happy that I had the opportunity to participate.
Great conference with a variety of operational risk topics. Learned a lot and exchanged some valuable ideas.
I’ve attended 6 of the 7 Operational Risk USA conferences over the years and always find engaging dialogue and breakout sessions on a variety of emerging risks.
Fun and engaging conversation [at Operational Risk USA]. Thanks CeFPro and all the participants for a great show.
Session previews and related insights
Get an insight of what to expect from the Congress with our past and present speaker session previews.
Regulations around AI and machine learning
Regulations around AI and machine learning Sandeep Maira, former Head of Strategic Systems, The OCC Below is an insight into what can be expected from Sandeep's session at Non-Financial & Operational Risk USA 2023. {{ vc_btn: title=Find+out+more+about+Non-Financial+%26amp%3B+Operational+Risk+USA&style=outline-custom&outline_custom_color=%23d51224&outline_custom_hover_background=%23d51224&outline_custom_hover_text=%23ffffff&link=url%3Ahttps%253A%252F%252Fwww.cefpro.com%252Fforthcoming-events%252Fnon-financial-and-operational-risk-usa%252F }} The views and opinions expressed in this article are those of the thought leader as an individual, and are
Managing disruptive cyber attacks and defence strategies
Managing disruptive cyber attacks and defence strategies Phil Masquelette, Chief Risk Officer, Ulster Savings Bank Below is an insight into what can be expected from Phil's session at Non-Financial & Operational Risk USA 2023. {{ vc_btn: title=Find+out+more+about+Non-Financial+%26amp%3B+Operational+Risk+USA&style=outline-custom&outline_custom_color=%23d51224&outline_custom_hover_background=%23d51224&outline_custom_hover_text=%23ffffff&link=url%3Ahttps%253A%252F%252Fwww.cefpro.com%252Fforthcoming-events%252Fnon-financial-and-operational-risk-usa%252F }} The views and opinions expressed in this article are those of the thought leader as an individual, and are not
Aligning customer experience objectives with operational resilience requirements
Aligning customer experience objectives with operational resilience requirements Ron Lay, Director, Investia Below is an insight into what can be expected from Ron's participation at CeFPro's Customer Experience Summit. The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular organization. Where
Leveraging accurate data for a deeper insight on merchants, consumers and customers
Leveraging accurate data for a deeper insight on merchants, consumers and customers Alethea Avatara, SVP, Product Management Director, Wells Fargo Below is an insight into what can be expected from Alethea's session at Digital Banking 2023. {{ vc_btn: title=Find+out+more+about+Digital+Banking+USA&style=outline-custom&outline_custom_color=%23d51224&outline_custom_hover_background=%23d51224&outline_custom_hover_text=%23ffffff&link=url%3Ahttps%253A%252F%252Fwww.cefpro.com%252Fforthcoming-events%252Fdigital-banking%252F%7Ctarget%3A_blank }} The views and opinions expressed in this article are those of the thought leader as an
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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, please contact sales@cefpro.com or call us on +1 888 677 7007 for more information.
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Agenda
8:00 – 8:50
Registration and breakfast
8:50 – 9:00
Chair’s opening remarks
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Day one moderator: Kerry Chambers, CEO, Acuity Risk Management |
9:00 – 9:35
REGULATION
Managing regulatory requirements as a multi-jurisdictional organization and managing disparities
View Session Details
- Cross border regulatory requirements
- Managing increase in compliance challenges and penalties
- Reviewing disclosure requirements
- Balancing priorities with influx of regulatory change
- Minimizing duplication of work across teams
- Increased focus on cross boundary requirements
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Sabeena Liconte, Chief Compliance Officer, ICBC Standard Bank |
9:35 – 10:10
CYBER THREAT LANDSCAPE
The Cyber Threat Landscape: Public-Private Collaborations
View Session Details
- The current cyber threat landscape, challenges, and its impact on businesses and critical infrastructure.
- Key indicators of cyber-attacks and best practices for reporting incidents.
- Strategies for improving cybersecurity posture and safeguarding against threats.
- HSI’s approach to investigating and combatting cybercrime – Case study.
- Public-private partnerships: collaborative initiatives, information-sharing platforms, and how organizations can actively participate in building a stronger cybersecurity community.
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Michael Tzitzikalakis, Assistant Special Agent in Charge of the El Dorado Task Force – Cyber, Homeland Security Investigations – New York |
10:10 – 10:40
Morning refreshment break and networking
10:40 – 11:25
CYBER SECURITY – PANEL DISCUSSION
Managing continued evolution of highly disruptive cyber-attacks and defence strategies
View Session Details
- Managing infinite risk and potential damage
- Complexity of ecosystem to manage threat vectors
- Ongoing race between attacker and defender
- Enhanced risk with geopolitical tensions
- Impact of geopolitical risk and macroeconomics on cyber security
- Potential for attacks on US infrastructure
- Weaponization of cyber warfare with state actors
- Costs to rebuild or recover infrastructure
- Ensuring prioritization of CISO projects: Network security development and penetration testing
- Stress testing cyber systems
- Incentivizing security teams
- Balancing incentive model with criminals working round the clock
- Identifying the next big cybersecurity threat
- Enhancing, strengthening and identifying existing gaps
- Remediating gaps
Click here to read Phil’s pre-event interview.
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Yogesh Mudgal, Head of Risk, Runtime Compute, JP Morgan & Chase |
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Philip Masquelette, Chief Risk Officer, Ulster Savings Bank |
11:25 – 12:00
Phyton Data session to be confirmed
View Session Details
- More information coming soon
12:00 – 12:35
ESG
Future direction of ESG regulation and driving best practice strategies
View Session Details
- Monitoring ESG across supply chains
- Impact of suppliers ESG strategies on reputation
- Managing vague nature of regulations
- Future regulation to mandate ESG governance
- Monitoring risks across the supply chain
- Inclusion of ESG as a filtering criterion for assessment
- Managing data limitations as expectations evolve
- Data requirements: Quality and controls for decisioning
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Varun Agarwal, Director, Enterprise Risk Management, Western Alliance Bank |
12:35 – 1:35
Lunch break and networking
1:35 – 2:20
LINES OF DEFENCE – PANEL DISCUSSION
Coordinating risk silos across the three lines and increasing collaboration for full risk oversight
View Session Details
- Engaging first line in risk management
- Managing disclosure requirements
- Demonstrating value of risk management to senior management
- Scalability within smaller organizations
- Identifying segregation of duties between lines
- Readjusting target operating models
- Increasing transparency around accountability of roles and responsibilities
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Madiha Fatima, Executive Director, Operational & Outsourcing Risk, J.P.Morgan |
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Dominique Benz, Managing Director, Head of Business Controls, Mizuho |
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Gustavo Ortega, Head of Technology, Innovation and Operations Risk Management, Voya Financial |
2:20 – 2:55
QUANTIFYING OPERATIONAL RISK – PANEL DISCUSSION
Evolution of quantification techniques within operational risk management
View Session Details
- Identifying exposure and rating controls separately
- Quantifying exposure in stress events
- Identifying impact to the business
- Changing methodologies to stay ahead of changing practices
- Evolution of material risk identification practices
- Key drivers
- Emerging themes in scenario analysis
- Uses as a monitoring tool in identifying risk exposure of portfolios
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Arindam Majumdar, Deputy Chief Risk Officer, Bank OZK |
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Saba Zahid, Head of Operational Risk for Wealth Management, Morgan Stanley |
2:55 – 3:25
Afternoon refreshment break and networking
3:25 – 4:00
THIRD PARTY RISK
Controlling the third party risk management process end to end to understand and manage risk exposure
View Session Details
- Supply chain risk management with increased third-party outsourcing
- Interpretation of regulatory guidance and application to TPRM end to end processes
- TPRM Program exclusions
- Resilience and business continuity plan applicability
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Melissa Mellen, Director, Third Party Risk Management, Federal Reserve Bank of New York |
4:00 – 4:35
Managing third party risks in a changing ecosystem with increased interaction with fintech and bigtech companies
View Session Details
- New ecosystems with smaller players and fintechs
- Limitations with limited data and process documentation
- Partnering with fintech’s
- Due diligence capabilities in comparison to large vendors
- Evaluating risk of fintech or smaller third parties
- Impact of M&A activity on working with third parties
- Benchmarking risk events and near misses
- Defining an effective disaster recovery process
- Concentration risk considerations for tier one vendors
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Michael Steinhoefel, Director, Operational Risk Management, Barclays |
4:35 – 5:10
RCSA
Leveraging the benefits of RCSA beyond a tick box exercise and developing tangible outcomes
View Session Details
- Leveraging as part of risk decision strategy
- Documentation of risks and controls
- Developing communication across business lines
- Driving efficiency in risk assessments to limit duplications
- Risk assessment criteria for operational risk subsets
- Regulatory expectation for robustness of RCSA
Click here to read Patricia’s pre-event interview.
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Patricia Catharino, Head of Risk Management & Internal Controls, U.S. and Caribbean, SVP, Banco Itau International |
5:10 – 5:20
Chair’s closing remarks
5:20
End of day 1 and drinks reception
8:15 – 8:50
Registration and breakfast
8:50 – 9:00
Chair’s opening remarks
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Day two moderator: Andrew Moyad, Chief Executive Officer, Shared Assessments |
9:00 – 9:45
RESILIENCE – PANEL DISCUSSION
Implementing a standardized overarching resilience framework to capture all risks
View Session Details
- Difficulties mapping data and sources
- Identifying systems and vendors across geographies
- Defining level of importance and criticality
- Managing disparities across regulatory jurisdictions
- Mapping across requirements and identifying minimum standard
- Enhancing collaboration across enterprise architecture
- Aligning the five core pillars of operational resilience
- Ensuring plans are fluid to keep up with changing environment
- Identifying critical business services
- Ensuring continuity of critical business services
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Chris Brozenick, VP Product Marketing, Dataminr |
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Patricia Catharino, Head of Risk Management & Internal Controls, U.S. and Caribbean, SVP, Banco Itau International |
9:45- 10:20
STRATEGIC PLANNING
Aligning operational risk with strategic planning and business objectives
View Session Details
- Aligning risk appetite with business strategy
- Understanding strategy and direction
- Implications on risk
- Setting a risk strategy aligned with business strategy
- Periodic valuation/assessment of the businesses strategic plans
- Demonstrating value of operational risk
- Developing a strategy aligned with market events
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Arindam Majumdar, Deputy Chief Risk Officer, Bank OZK |
10:20 – 10:50
Morning refreshment break and networking
10:50 – 11:25
FINANCIAL CRIME
Reviewing the changing landscape of techniques and tactics within fraud and financial crime
View Session Details
- Monitoring social engineering techniques and scams
- Increased physical theft techniques and check fraud
- Speed to investigate, resolve and remediate
- Forward looking reporting metrics to monitor emerging risk
- Reviewing FinCEN Anti-Money Laundering Act requirements
- Application to financial institutions
- Managing expectation of change
- Requirements for beneficial ownership
- Managing and reporting discrepancies
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Thomas Mangine, former Director, AML & MLRO, BMO |
11:25 – 12:10
SANCTIONS – PANEL DISCUSSION
Managing the global geopolitical environment and techniques to stay ahead of fast-moving sanctions regimes
View Session Details
- Working with clients exposed to Russia sanctions
- Managing sanctions requirements in jurisdictions
- Challenges with fluid nature of borders
- Managing the risk of secondary sanctions
- Developing consolidated escalation protocols
- Managing continued uncertainty around sanctions expectations
- Identifying exposure to sanctioned individuals and entities
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Brandon Smith, FFC Americas Head of Economic Sanctions, Credit Suisse |
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Alice Rojas, Director, Americas Head of Sanctions Compliance, Societe Generale |
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Sara Donovan, Head Sanctions Compliance, Executive Director, Morgan Stanley tbc |
12:10 – 1:10
Lunch break and networking
1:10 – 11:45
DEI
Incorporating diversity, equity and inclusion strategy to diversify NFR views.
View Session Details
- Leading multi-dimensional non-financial risk teams while embracing DE&I as part of your strategy.
- Gaining holistic understanding of an organization’s vulnerabilities while creating an environment that builds trust, and challenges assumptions.
- Being nimble in a dynamic risk environment and leveraging collective understanding in execution
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Daniel E Worrel, Head of Non-Financial Risk Department, Federal Reserve Bank of New York |
1:45 – 2:20
New developments in third-party technology risk and model governance
View Session Details
- Managing third-party risk across multiple dimensions
- The role of model risk governance in an integrated third-party risk management framework
- Regulatory guidance and industry best practices in technology-related risk management
- Examples and case studies
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Sonia Jarvis, Director, Quantitative Modelling, Fannie Mae |
2:20 – 2:55
TECHNOLOGY
Reviewing changing regulations around AI and machine learning and increased uses across silos
View Session Details
- Unstructured, semi-structured, and structured data sets
- Dataset validation for machine learning
- Leveraging tools to run machine learning models for risk
- Monitoring reliability and stability of AI tools
- Aligning technology and risk partners language
- Explainability and interpretability of ML models for regulatory and internal requirements
- Information risk with accuracy of information shared
Click here to read Sandeep’s pre-event interview.
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Sandeep Maira, former Head of Strategic Systems, The OCC |
2:55 – 3:25
Afternoon refreshment break and networking
3:25 – 4:10
DATA MANAGEMENT
Investing in systems and technology to drive non-financial risk analytics transformation
View Session Details
- Managing the constantly evolving regulatory environment
- Challenges quantifying and managing non-financial risks
- Collating information across data infrastructure silos
- Developing analytics across non-financial risk framework components
- Developing standardized and holistic views across the non-financial risk landscape
- Integrating NFR econ-system and building straight-through processes
- Enabling standardized and controlled reporting across multiple levels of the organization
- Embedding analytics tools in risk assessment workflows to facilitate dynamic RCSA
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Zhi Chung, Director, Head of Non-Financial Risk Analytics, Credit Suisse AG, A UBS Company |
4:00- 4:45
CONVERGENCE – PANEL DISCUSSION
Convergence and integration of compliance, operational risk and enterprise risk under one framework
View Session Details
- The roles of enterprise vs. operational risk
- Alignment of non-financial risks
- Compliance and technology
- Providing a holistic view
- Convergence between Operational risk, enterprise risk and compliance
- Inclusion of compliance under operational risk
- Aligning risk assessments to include compliance and operational risk
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Hafsteinn Gislason, SVP- Operational Risk Director, M&T Bank |
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Antonio Gonzalez, former Head of Operational Risk, Bank of China |
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Nick Diiseo, Managing Director, Global Head of Operational Risk, ICG OPS, Markets and Securities Services, Citi |
4:45 – 4:55
Chair’s closing remarks
4:55
End of Congress
Would your organization like to partner with us on this event?
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, please contact sales@cefpro.com or call us on +1 888 677 7007 ext. 207 for more information.
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Knowledge partner
Co-sponsor
Associate sponsors
Content and media partners
Speakers
Hear from subject matter experts and industry thought leaders

Varun Agarwal
Director, Enterprise Risk Management
Western Alliance Bank

Varun Agarwal
Varun has worked in the Enterprise Risk, ESG, and Strategic Risk Management space in the financial services industry for over 20 years. He brings experience both as a practitioner and a provider of consulting services to global banking organizations. He is currently a leader in the Enterprise Risk Management function at Western Alliance Bank, an innovative and fast-paced growing bank based in Phoenix, AZ. He has previously worked for HSBC, JP Morgan Chase, and Deloitte in the US, Canada, and Europe.
Varun is a published author on varied topics in finance and risk management across the US and Europe. He has a Ph.D. in Economics, an MS in Financial Economics, and BS in Engineering, and a CFA Charter.

Dominique Benz
Managing Director, Head of Business Controls
Mizuho

Dominique Benz
Dominique has over 25 years of financial services experience and deep expertise in Business Controls, Risk Management, Technology, and Process Transformation. He is a Managing Director at Mizuho Americas providing first line enterprise control services to the Americas region. His responsibilities include Business Continuity Planning, Third Party Risk Management, Data Management Operations, Strategic Sourcing, and Business Risk & Control Services, and a number of other important risk disciplines. Dominique has worked in similar capacities for some of the world’s leading global financial institutions including Goldman Sachs, Morgan Stanley, Citibroup and Deutsche Bank. Dominique holds an MBA and a BS in Industrial Engineering from Rutgers University.
Leading a team of first line of defense risk and control professionals performing essential enterprise control functions across the company including Third Party Services, Business Continuity Planning, Data Management Operations, Data Loss Prevention, Strategic Souring and Business Risk and Control Services. The functions performed span all lines of business and corporate functions across the Americas region. The department is also accountable for spearheading the company’s efforts to understand and manage data privacy, fraud, conduct, reputational, and strategic risk.
Influential decision-maker with the gravitas and experience to develop robust risk management frameworks, lead enterprise-wide control functions, and drive business process transformation initiatives resulting in reduced risk exposure, improved internal controls, substantial cost savings, and accelerated time to market. Creates a winning culture by building extraordinary teams who work seamlessly together.

Chris Brozenick
VP Product Marketing
Dataminr

Chris Brozenick
Chris Brozenick is Vice President of Product Marketing at Dataminr, where he leads go-to-market efforts for Dataminr Pulse and Dataminr for News. Prior to Dataminr, Chris was the vice president of product strategy for WorldAware and vice president of product for WeatherBug / Earth Networks. He holds a B.S. in electrical engineering from Purdue University, and an MBA from Johns Hopkins University.

Patricia Catharino
Head of Risk Management & Internal Controls, U.S. and Caribbean, SVP
Banco Itau International

Patricia Catharino
Patricia has over 25 years of Corporate Level experience in the Legal, Auditing, Risk and Compliance departments. Patricia began her career working as a Lawyer and Auditor for Serv Cadastro e Cobranca Ltda responsible for legal coordination and implementing internal auditing in its departments in Brazil. She joined Itaύ Unibanco in 2000 starting in Audit and moving to areas such as Compliance and Internal Controls. Patricia has led teams and implemented new methodologies to mitigate risk and increase innovation and efficiency. In 2014, Patricia began her International experience with Itaύ working with Itaύ Caribbean and Miami responsible for the Internal Controls department. In 2017, Patricia became the Head of Risk and Internal Controls for Itaύ U.S overseeing Financial & Operational Risk and Internal Controls, working with several jurisdictions as USA, Bahamas, Cayman Islands, Chile and Mexico. In 2021, Fiduciary Risk in Asset Management was included in her activities, as well as oversight of Client Risk. In 2023, she was nominated Chief Compliance Officer for Nassau Branch.
Following her graduation with a Law Degree from the Universidade Estadual de Londrina, Patricia obtained a Corporate and Economic Law Post graduation Degree from Fundacao Getulio Vargas in SP. In addition, Patricia attained an LLM in Financial and Capital Markets Law from IBMEC/Insper, and an LLM in Corporate Law. Patricia is also a Certified Internal Auditor (CIA) and a Certified Control Self Assessment (CCSA).

Kerry Chambers
CEO
Acuity Risk Management

Kerry Chambers
Kerry Chambers has 25 years’ experience with business-to-business technology working for IT vendors and large blue chip global organisations in the capacity of senior leadership and sales leader roles. As newly appointed CEO of Acuity Risk Management, Kerry brings with her extensive experience in growing Software as a Service (SaaS) businesses. Her commitment to driving innovation, delivering exceptional results, and fostering strong client relationships has been instrumental in Acuity’s recent growth. In her previous roles as COO and Commercial Director at Acuity, Kerry built and managed high performing sales teams in both UK and international markets, accelerating revenue growth through the development of strategic plans and driving operational efficiency. Since Kerry joined Acuity, the company has shown significant growth and received recognition from prestigious industry schemes (such as the National Technology Awards 2021 ‘Cyber Security Solution of the Year’ award for which our software STREAM was shortlisted), as well as from peers and customers (Acuity has a rating of 4.8 out of 5 on Gartner Peer Insights, and has recently received Best Support, Easiest To Do Business With, Leader and High Performer badges on G2).

Zhi Chung
Director, Head of Non-Financial Risk Analytics
Credit Suisse AG, A UBS Company

Zhi Chung
Zhi Chung is the head of Non-Financial Risk Analytics for Credit Suisse AG, a company of UBS. Zhi joined Credit Suisse in early 2000 and held various positions in Global Markets Business Management and Client Strategy, Finance, Compliance, and Non-Financial Risk Management. Zhi has led the development of multiple high-impact data solutions that help the bank achieve complex regulatory initiatives. Recently she led a team, which designed and developed an industry-leading Non-Financial Risk analytics platform that received the “Innovative Risk Management Award” from Risk.Net in 2021. Prior to Credit Suisse, Zhi worked in Citigroup and Deutsche Bank. Zhi holds an MBA in Finance from CUNY Baruch College and a BS in Material Science from Xi’an Jiaotong University.

Nick Diiseo
Managing Director, Global Head of Operational Risk, ICG OPS, Markets and Securities Services
Citi

Nick Diiseo
Nick Diieso is a Director at Citigroup where he heads global Operational Risk business coverage for Markets and Securities Services and serves as the Head of Operational Risk for Citi Global Markets, Inc (the US broker-dealer). Prior to Citi, Nick was globally responsible for Operational Risk for the infrastructure functions at Deutsche Bank, served as a first line risk director and business CAO for the Specialty Commercial arm of Santander Bank, and served in corporate finance and audit capacities at GE Capital, MathWorks, and TJX.

Sara Donovan
Head of Sanctions Compliance, Executive Director
Morgan Stanley tbc

Sara Donovan
Sara will be speaking at our Non-Financial & Operational Risk Congress this October.

Madiha Fatima
Executive Director, Operational & Outsourcing Risk
J.P.Morgan

Madiha Fatima
Madiha Fatima is an Executive Director – Operational and Outsourcing Risk Management at JP Morgan, where she leads the second line of defense function for operational and outsourcing risk overseeing Third Party Risk Management, Sourcing, Procurement and Inter-Affiliate Management. Previously, Madiha was the Head of Third Party Risk Management Department at Angelo Gordon where she was responsible for development of Third Party Risk Management Framework while enabling businesses to achieve their strategic objectives from utilizing vendors. Prior to joining Angelo Gordon, Madiha Fatima served as the Third Party Risk Governance & Oversight Lead at DTCC. Madiha is a Certified Third Party Risk Professional (CTPRP). Madiha earned a Bachelors of Science degree in Financial and Capital Markets from Rutgers Business School.

Antonio Gonzalez
former Head of Operational Risk
Bank of China

Antonio Gonzalez
Antonio will be speaking at CeFPro’s Non-Financial and Operational Risk Management USA Congress.

Hafsteinn Gislason
SVP- Operational Risk Director
M&T Bank

Hafsteinn Gislason
Hafsteinn Gislason goes by Haffi
Haffi leads a team of risk advisors at M&T Bank’s second-line operational risk that provide oversight for the core bank. He has 15+ years of experience in non-financial risk management in financial institutions, focusing on the development, implementation, oversight ,and execution of Operational Risk and Enterprise Risk programs.
Haffi, led several workstream in a enterprise risk convergence project in a mid-sized us bank and the topic of shared taxonomies, elements and methodologies is something he believes can be rewarding for risk management as a whole.
Gislason has had several speaking engagements at non-financial risk conferences focusing on shared taxonomies, frameworks, and increased utility of the Operational and Enterprise Risk programs. He has also had the opportunity to lecture in the ERM program at Columbia University and is a member of the Non-Financial Risk Advisory Board at CeFPro.
Gislason is a GARP-certified Financial Risk Manager (FRM).
Education:
M.S. Internaltional Economics and Finance, Newcastle University, UK
B.S. Industrial Engineering, Technical University of Iceland

Sonia Jarvis
Director, Quantitative Modelling
Fannie Mae

Sonia Jarvis
Sonia Jarvis leads model validation of third-party products at Fannie Mae. Previously, Sonia led model validation teams for commercial risk scoring and PPNR at Bank of America. She also represented the Board of Governors of the Federal Reserve System at the Basel Working Group on Operational Risk and assessed bank performance as an examiner for the Office of the Comptroller of the Currency. Sonia has diverse consulting and model development experience in commercial and non-profit applications, including fraud detection, law enforcement, market research, human resources, and natural resource management. Sonia holds a Ph.D. in Natural Resource Economics from the University of Maryland.

Sabeena Liconte
Chief Compliance Officer
ICBC Standard Bank

Sabeena Liconte
Sabeena Ahmed Liconte serves as Chief Compliance Officer, Americas to ICBC Standard Bank Group (“ICBC Standard”), including its SEC-registered broker-dealer, ICBC Standard Securities Inc., and its CFTC-registered introducing broker, ICBC Standard Resources (America) Inc.
Prior to joining ICBC Standard, Sabeena’s previous professional experience included serving as Deputy Chief Operating Officer and Chief Legal Officer to the US investment banking division of Bank of China International. She also served as Futures & Derivatives Counsel to E*TRADE Financial Corp., including E*TRADE Clearing Corp. and E*TRADE Securities Corp.; and worked for the Office of General Counsel at Merrill Lynch Pierce Fenner & Smith Incorporated, the Division of Enforcement at the Financial Industry Regulatory Authority, the Bank of New York Mellon’s Legal Division and the Securities Fraud Prosecution division of the Attorney General’s Office for the State of New Jersey.
Sabeena is a licensed attorney with a Juris Doctor from the St. John’s University School of Law. She also completed a visiting year at Fordham University School of Law. In addition to her law degree, she holds a Master of Arts in International Relations from Columbia University and, paying homage to her Canadian roots, a Bachelor of Arts in Criminology and Political Science from the University of Toronto.
She also serves as a member of the Executive Committee to the Futures Industry Association’s Law and Compliance Division; advisory board member of the Center for Financial Professionals FinTech Advisory Group; Diversity Chair of the American Bar Association’s Business Law Committee – Futures and Derivatives Law Subcommittee; and member of the New York City Bar Association’s Foreign and Comparative Law Committee, and Derivatives and Futures Committees.

Sandeep Maira
former Head of Strategic Systems
The OCC

Sandeep Maira
Sandeep Maira is a leader in the practical application of technology innovation, product development and in driving business transformation. With extensive experience in financial services, he has a deep background in high performance computing, large scale systems, data, and analytics, along with cloud technologies and machine learning.
He is founder and CTO of SunflowerLabs AI, an artificial intelligence venture that seeks to revolutionize and optimize financial risk management through the use of machine learning.
Prior to this, Mr. Maira served as Managing Director of Strategic Systems at Options Clearing
Corporation from 2019 – 2023.. He designed a framework replacing all processing with a new highly scalable, flexible, and resilient cloud native technology stack. Previously he was Head of Risk and Compliance technology for BNY Mellon, leading a successful transformation effort. Earlier he was Head of Risk Technology from 2007-2015 for various businesses in JP Morgan, including Asset Management and within Capital Markets. Earlier in his career he worked at Citigroup and Lehman Brothers.
Mr. Maira helped develop the first banking crypto asset initiative while at Citigroup. In addition, he designed and executed the first and only USD digital currency pilot with the U.S. Treasury Department and performed the world’s first multimillion dollar cryptocurrency transaction. He is a noted expert on technology innovation and is a frequent industry speaker on risk, data, and machine learning.
Mr. Maira holds a Master of Engineering from Cornell University and a Bachelor of Science in Computer Science from Cornell University. He is certified in machine learning from Stanford University.

Arindam Majumdar
Deputy Chief Risk Officer
Bank OZK

Arindam Majumdar
Enterprise Risk Management professional with expertise in risk appetite, risk indicators, risk identification, enterprise risk profile quantification, operational risk quantification, RCSA, enterprise risk measurement, monitoring and reporting. Subject Matter Expert on aggregation of risk information and identification, creation, monitoring and reporting on key risk indicators for a bank holding company. Calculating risk appetite and risk tolerance levels. Creating appropriate thresholds for effective risk escalation.

Thomas Mangine
former Director, AML & MLRO
BMO

Thomas Mangine
Tom Mangine is a Director at DAG where he specializes in Due Diligence, Cybersecurity and Risk Assessment. An experienced Military leader and former Diplomat, Tom is also an instructor both with the Joint Special Operations University (JSOU), part of the US Government’s National Defense University system, as well as the Association of Certified Financial Crime Specialists (ACFCS), where he teaches classes on terrorist-financing, financial crime, the investigative process and cybersecurity. He previously worked at the Bank of Montreal where he held positions as Vice President, Capital Markets AML (Global Risk & Special Investigations), the Money-Laundering Reporting Officer (MLRO) for the US and Director for Cyber Resilience. Tom entered the private sector after serving 20 years as an Army officer.

Philip Masquelette
Chief Risk Officer
Ulster Savings Bank

Philip Masquelette
As Senior Vice President and Chief Risk Officer for Ulster Savings Bank, located in Kingston, NY, I am responsible for oversight of all Bank risk management functions, including the Bank’s Legal and Compliance departments; I also serve as the Chief Information Security Officer. I previously served as Vice President and Risk Manager at Bankwell in Bridgeport, CT, as First Vice President and Audit/Compliance Officer at Naugatuck Valley Savings and Loan in Naugatuck, CT, and as Senior Attorney with the FDIC. I hold a Master of Business Administration degree from the University of Rhode Island, a Juris Doctorate from the University of Houston, and a Bachelor of Arts degree from Tulane University.

Andrew Moyad
Chief Executive Officer
Shared Assessments

Andrew Moyad
Andrew Moyad is the Chief Executive Officer of Shared Assessments.
Andrew is an accomplished leader and trailblazer in third party risk management. As a practitioner and a senior risk management executive, he has driven a culture of accountability and diligence in safeguarding information. Andrew has more than 25 years in risk management and information security. He has contributed greatly to the transformation and advancement of risk management as a strategic function that intersects with and helps guide all aspects of organizations.
Most recently, Andrew served as Senior Vice President, Vendor Risk Management at Blackstone, where he led a team of risk professionals responsible for overseeing all phases of the vendor lifecycle at the firm, including risk assessments, control diligence, contract reviews, financial checks, performance monitoring, issue tracking, and management reporting. Prior to Blackstone, he served as a director and global head of vendor risk management and BlackRock and Senior Vice President for Citigroup, where he was a Business Information Security Officer in Global Fixed Income and led third party risk assessments for several years.
Andrew holds a Bachelor of Arts Degree in Natural Sciences from Harvard University and a Master of Science Degree in Information Systems from the Stevens Institute of Technology.

Yogesh Mudgal
Head of Risk, Runtime Compute
JP Morgan Chase

Yogesh Mudgal
Yogesh will be speaking at CeFPro’s Non-Financial and Operational Risk Management USA Congress.

Melissa Mellen
Director, Third Party Risk Management
Federal Reserve Bank of New York

Melissa Mellen
Melissa Mellen is the Director of Third-Party Risk Management within the Federal Reserve Bank of New York. In this capacity, Melissa manages Bank wide strategic priorities, such as the Third-Party Risk Management Risk and Control Unit, Policy, Governance, and Compliance across TPRM & Procurement, and Supplier Diversity.
Prior to joining the Federal Reserve Bank of New York, Ms. Mellen spent fifteen years in the private sector, specializing in Third Party Risk Management program design, development implementation, and oversight for firms such as: MUFG Union Bank, JP Morgan Chase, Oppenheimer Funds, and Mizuho Bank, Ltd. Ms. Mellen received her bachelor’s degree in philosophy from SUNY Albany, and holds a MBA with a concentration in Risk Management from Saint Peter’s University. She is a Certified Third-Party Risk Professional (CTPRP) and holds a Professional Certificate in Diversity, Equity & Inclusion from Cornell University.
Melissa lives in Northern New Jersey with her husband Kevin, and Pitbull Viggo. She is a certified yoga instructor affiliated with both the Dharma Yoga Center of New York City, as well as Yoga Alliance.

Gustavo Ortega
Head of Technology, Innovation and Operations Risk Management
Voya Financial

Gustavo Ortega
Accomplished risk management executive for multi-national global financial institutions with broad knowledge across Enterprise Risk Management, in particular Operational Risk, including Third-Party & Outsourcing Risk, Business Resilience & IT Risk, Business Controls Management, and Risk Strategy. Experienced in risk management program design, implementation and execution. Specialist in risk assessments (RCSA, Fraud Risk Assessments (FRA), Third-Party Risk Assessments, ORSA, etc.), Internal and External Operational Risk Loss Data / Event Reporting and Investigations, Key Risk Indicators, Issue Management, Controls Testing, Risk Treatment, Data Management, and Operational Risk Technology (GRC tools) solutions. Experienced with leading strategic and change initiatives in Risk Governance & Oversight, and Operational Controls, including Business Accountability models, Conduct and Risk Culture programs. Regulatory focused with foreign bank supervision and systemically important financial institution (SIFI) compliance knowledge. Work experience includes international risk and control projects across foreign markets including Latin America, Europe, Japan and Australia.

Alice Rojas
Director, Americas Head of Sanctions Compliance
Societe Generale

Alice Rojas
Alice Rojas is the Head of Sanctions Compliance for the Americas at Société Générale (New York, NY) where she is responsible for managing a team working on sanctions compliance issues. Ms. Rojas also previously worked at Standard Chartered Bank and the Bank of Tokyo-Mitsubishi UFJ where she led teams working on sanctions related matters. In addition, Ms. Rojas served as an Assistant Prosecuting Attorney in Michigan and worked for 10 years in the federal government on sanctions and export control related issues at the Office of Foreign Assets Control (OFAC), the U.S. Department of State, and Homeland Security Investigations (HSI). Ms. Rojas holds a BA in Comparative Literature from the University of Michigan, an MA in International Affairs from George Washington University, and a JD from the Georgetown University Law Center.

Brandon Smith
Director, FCC Americas Head of Economic Sanctions
Credit Suisse

Brandon Smith
Brandon C. Smith is the Americas Head of Economic Sanctions at Credit Suisse, where he oversees the Americas Sanctions Compliance program. In the three years before this, Brandon was the Deputy Americas Head of Sanctions at UBS AG. Prior to his role with UBS, Brandon was a Vice President with the Financial Crime Department at Barclays Bank Plc and an Assistant District Attorney with the Kings County District Attorney’s Office in Brooklyn, NY. Brandon possesses a Juris Doctorate from Brooklyn Law School and a Bachelor of Science in Accounting from the University of Southern California. Outside of work, Brandon is the Co-Chair of the New York City Bar Association’s Financial Crime Subcommittee within the Compliance Committee. He is admitted in good standing to practice law in New York State.

Michael Steinhoefel
Director, Operational Risk Management
Barclays

Michael Steinhoefel
Michael Steinhoefel is a Director of Operational Risk Management at Barclays responsible for Connecting Risk in the Supply Chain. Prior to this Michael was at BNY Mellon Global Markets and 20 years with Citi, the Swiss Stock Exchange, and Credit Suisse in roles in Internal Audit and in first line Risk & Control and Business Process Reengineering in the US, LATAM and EMEA. Michael worked several years as external auditor. He holds a Master of Political Science from the Johannes Gutenberg University in Germany and an MBA from the Institute of Management Development (IMD)

Michael Tzitzikalakis
Assistant Special Agent in Charge of the El Dorado Task Force – Cyber
Homeland Security Investigations – New York

Michael Tzitzikalakis
Michael G. Tzitzikalakis currently serves as the Assistant Special Agent in Charge of Homeland Security Investigations (HSI) New York – El Dorado Task Force (EDTF) Cyber Division. In this executive level position, Mr. Tzitzikalakis leads an HSI investigative task force comprised of agents, Task Force Officers, and analysts from over eight law enforcement agencies focused on combatting transnational criminal organizations operating in cyberspace. The HSI New York EDTF Cyber Division is comprised of four highly specialized groups: the Cyber Intrusion Investigations Group; the Dark Web/Cryptocurrency Task Force; the Child Exploitation Investigations Team; and Computer Forensics/Technical Operations.
Prior to this assignment, Mr. Tzitzikalakis served as the Supervisory Special Agent of the Cyber Intrusion Investigations Group, where he oversaw several high-profile investigations relating to breaches of computer networks, many of which often received international and congressional attention. Previously, Mr. Tzitzikalakis was the Supervisory Special Agent of the Child Exploitation Investigations Team, managing a team of investigative agents/officers dedicated to identifying and rescuing victims of child sexual exploitation and pursuing those seeking to produce and distribute child sexual exploitative material on the Internet. In 2016, Mr. Tzitzikalakis was a founding member of the HSI New York Cyber Division and assisted in its original conceptualization, resourcing, and staffing
Mr. Tzitzikalakis has served as a Program Manager at HSI Headquarters, where his responsibilities included oversight of the systems and programs that support law enforcement databases and emerging technologies for agents and analysts around the world. In that role Mr. Tzitzikalakis served as a core member of the team responsible for the deployment of HSI’s $800M case management system modernization, where he leveraged both his law enforcement and technical experience to ensure that the needs of the field were met while ensuring development resources were prioritized effectively
Before his assignment to HSI Headquarters, Mr. Tzitzikalakis was assigned to the HSI New York Computer Forensics Unit where he designed, planned, and oversaw the construction of a $5.5M Computer Forensics Laboratory, the first of its kind in agency history to be equipped with the ability to perform chip-off forensic examinations on mobile devices, and a 2,000 Terabyte (TB) digital evidence repository. The project was funded entirely through asset forfeiture funds, and was completed under the estimated budget, all while maintaining operation of the existing forensics laboratory.
Mr. Tzitzikalakis holds a Master’s Degree in Criminal Justice Leadership and a Bachelor’s Degree in Computer Science, both from St. John’s University in Queens, NY.

Daniel E Worrel
Head of Non-Financial Risk Department
Federal Reserve Bank of New York

Daniel E Worrel
Daniel will be speaking at CeFPro’s Non-Financial and Operational Risk Management USA Congress.

Saba Zahid
Head of Operational Risk for Wealth Management
Morgan Stanley

Saba Zahid
Saba is an experienced risk professional, with over 18 years of experience leading successful risk framework design, governance supervision programs, and implementation in financial services. She has extensive experience in working across First and Second Line of Defense roles. She has held multiple roles at Morgan Stanley spanning across the Wealth Management business, Enterprise Risk, Legal & Compliance as well as Information & Cyber Security.
She holds a Master of Science degree in Enterprise Risk Management from New York University and an undergraduate degree in Finance & Economics Baruch College in NY.
She’s also an adjunt Professor at Columbia University.
Sponsors
Knowledge partner
Co-sponsor

Phyton Consulting
Phyton Consulting focuses on the most complex initiatives facing our clients and strives to be the best subject matter-led, execution-focused group on the street. Our services are conceived to address your industry-specific business and data challenges with the right blend of tactical and strategic execution. Phyton excels at enhancing the way organizations approach change across people, culture, processes, and technology. Our cross-industry understanding of Data Management best practices is our core strength. By integrating Phyton’s refined data framework and the core governance pillars that support it with subject-matter expertise, we are driving the harmonization of best practices across industries.
Associate sponsors

Accuity
Acuity Risk Management helps businesses worldwide effectively manage, prioritize and report on their risks to inform strategic decision-making and build long-term resilience. Its powerful STREAM platform provides rapid time-to-value to reassure stakeholders that risks are under control and compliance is maintained with increasingly complex standards and regulations. With STREAM, Acuity eliminates the guesswork around risk to support strategic decision-making, prioritization of resources and justification of expenditure to maximize ROI.
With customers worldwide, Acuity has proven success supporting customers in highly regulated and targeted industries such as finance, IT, telecommunications, healthcare, defence and government.

Dataminr
Dataminr delivers the earliest warnings on high impact events and critical information far in advance of other sources. Recognized as one of the world’s leading AI businesses, Dataminr enables faster response, more effective risk mitigation and stronger crisis management for public and private sector organizations spanning global corporations, first responders, NGOs, and newsrooms. Most recently valued at $4.1B, Dataminr is one of New York’s top private technology companies, with 800+ employees across eight global offices.
Since its founding, Dataminr has created the world’s leading real-time information discovery platform, which detects digital patterns of emerging events and critical information from public data signals. Today, Dataminr’s advanced AI platform performs trillions of daily computations across billions of public data inputs from over 500,000 unique public data sources. The Company has been recognized for its ground-breaking AI platform and rapid revenue growth by Forbes AI 50 and Deloitte Fast 500, and has been named to the Forbes Cloud 100 for six consecutive years.
Alongside Dataminr’s corporate product, Dataminr Pulse, the Company provides its First Alert product for first response to public sector organizations, including the United Nations, which relies on First Alert in over 100 countries. Dataminr for News is used by more than 650 newsrooms and over 30,000 journalists worldwide.
Content and media partners


CeFPro Connect
CeFPro Connect aims to connect industry experts through thought leadership content and timely news, written for the industry, by the industry. Gain unlimited access to CeFPro’s unparalleled library of resources including iNFRont Magazine, market intelligence reports, filmed presentations, insights Q&A’s, and much more.
Sign up for free.


iNFRont Magazine
iNFRont Magazine is a unique publication providing regular insight on the operational and non-financial risk (NFR) sector. Featuring contributions provided by leading industry figures and experts from around the world, iNFRont Magazine touches on the most critical themes and challenges currently affecting financial professionals.
Available to download for free.
Would your organization like to partner with us on this event?
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, please contact sales@cefpro.com or call us on +1 888 677 7007 for more information.
Venue & FAQs
360 Madison Avenue | etc.venues
Madison Avenue
Midtown Manhattan
New York NY 10017
There is no accommodation available at the venue, however there are plenty of hotels available nearby. To view nearby accommodation based on recommendations by etc.venues, click here.
Frequently Asked Questions
Can I share my thought leadership at Non-Financial & Operational Risk USA?
Will there be opportunities to network with other attendees?
- Breakfast, lunch and refreshment breaks
- Drinks reception at the end of day-1
- Q&A, panel discussions and audience participation technology
What is included within the registration fee?
Where can I find the Congress documentation and speaker presentations?
* Please note that our speakers often have to gain permission from their relevant compliance departments to release their presentations. On rare occasions compliance may not allow presentations to be distributed.
Will breakfast, lunch and refreshment be provided?
Are CPE Credits available?
Are there any rules on dress code?
Register
Register for Non-Financial and Operational Risk Management USA today and join 150+ industry professionals and subject matter experts, while engaging in panel discussions, presentations, roundtables, networking, and interactive polls and Q&As.
Register before September 22 and take advantage of our Early bird rate.
By registering for this Congress, you will also gain access to our Climate Risk USA Congress which will be held concurrently at the same venue.
Need assistance with your registration? Get in touch with us via email below, or call us on +1 888 677 7007.
Early bird rate | Expires September 22
E.g. Bank, Insurance company, Asset manager, Regulator
E.g. Consultant, Vendor, Executive search firm, Law firm
Group bookings
By registering to attend Non-Financial & Operational Risk USA, you will also gain complete access to Climate Risk USA which will be held in the same venue! With 2 conferences taking place in 1 and over 40 sessions to listen in to across 3 streams, get your team on board and take advantage of our group booking offers – Buy 4, get the 5th for free!
*To qualify for the preferential rates above, registration must be received by the close of business of the specific end date for each rate. Payment can be made at the time of registering, or up to a week after an invoice has been sent. CeFPro reserves the right to increase rates should payment be delayed significantly. Should a delegate register at a rate that is inaccurate, CeFPro reserves the right to issue an additional invoice for the outstanding amount.
A 2-in-1 conference experience
By registering to attend Non-Financial & Operational Risk USA, you will also gain complete access to Climate Risk Risk USA which will be held in the same venue! Take advantage of this unique opportunity to pick and choose which sessions you want to engage in across two events, all for the price of one.
With 2 conferences taking place in 1 and over 40 sessions to listen in to across 3 streams, get your team on board and take advantage of our group booking offers – Buy 4, get the 5th for free!
Climate Risk USA
Reviewing and understanding the impacts of climate related risk on financial institutions.
More defined from the ESG predecessor, Climate Risk is a critical challenge for financial institutions, affecting credit risk, asset prices and regulatory compliance. Upward pressure with the need to change to environmental concerns, with increase of extreme weather events, and transition risks have placed additional requirements on financial institutions.
CeFPro has assembled an impressive line-up of thought leaders to address the critical challenges faced by financial institutions, with presentations, interactive panel discussions, and audience Q&A’s…

Key highlights
- REGULATION:
Managing the prescriptiveness of regulation and the complexities of global expectations
- CLIMATE SCENARIO ANALYSIS:
Reviewing the Federal Reserve scenario analysis requirements, guidelines and results
- TRANSITION RISK:
Developing a roadmap for successful implementation and execution of transition plans
- PHYSICAL RISK:
Assessing the relationship and impact of physical risk across other areas of an organization
- BIODIVERSITY & NATURE:
Navigating the complex relationship between climate, biodiversity and nature related risk
- CARBON MARKETS:
Leveraging investment opportunities in the current and future carbon markets landscape
- NET ZERO:
Distinguishing the difference between making net zero commitments and developing a robust transition plan
- DECARBONIZATION:
Understanding the challenges and opportunities of decarbonizing your portfolios
Key speakers

Derek Jun
Managing Director, Head of Climate Risk
Nuveen, A TIAA Company Bank

Olga Puntus
Executive Director, Global E&S Risk
JPMorgan Chase & Co

David Carlin
Head of Climate Risk and TCFD
UNEP Finance Initiative

Kevin Clarke
Executive Director, Group Regulatory and Governance
UBS

Marina Severinovsky
Head of Sustainability, North America
Schroders

Christel Saab
Unit Chief, Environmental and Social Risk Management
Inter-American Development Bank

Tobi Petrocelli
Director Environmental and Sustainability Management
MUFG

Imtiaz Hussain
Managing Director and Deputy Chief Auditor
BNY Mellon

David Szmigielski
Director, Sustainable Finance & Advisory
Wells Fargo

Leah Daly
Senior Director, Environmental, Social, Governance, SVP
Santander