Operational & Enterprise Risk Management 2017

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Assessing the remit of operational and enterprise risk management to increase efficiency between departments

Operational & Enterprise Risk Management 

New York Marriott Downtown, 85 West St, New York, NY 10006, USA

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Key Highlights of 2017

NEW GENERATION OPERATIONAL RISK MANAGEMENT STREAM

Setting risk appetite
Operational risk parameters
Modeling operational risk
RCSA
Operational risk validation
Fraud
Cyber security
Reputational risk
Regulatory expectations
Business continuity
Scenario generation

ENTERPRISE RISK MANAGEMENT STREAM

Interpretation of ERM
Driving business
ERM guidance
Lines of defense
GRC
Model risk
Stress testing
Technology in ERM
Non market risks
Accountability
The future of ERM

Hear From Over 30 Senior Operational and Enterprise Risk Professionals, including:

Keynote addresses from the OCC and Federal Bank of New York

Ryan Zanin

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CEO, Strategic Ventures & Restructuring Group
GE Capital

Scott Gyllensten

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Chief Operational Risk Officer
Peoples United Bank

Deborah Hrvatin

Deborah Hrvatin

Managing Director, Americas Head of Non-Financial Risk Management
Deutsche Bank

Russel Kempf

Russell Kempf

Director, Group Risk Manager
MUFG

Theresa Reynolds

Theresa Reynolds

Director, Operational Risk Management Validation
Capital One

Joel Forbes

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MD, Head of Operational Risk Management
NatWest Markets

Supercharging your ERM Program

Taking place October 18, 2017

Hear from and network with Craig Spielmann, Global Head of Enterprise Risk Management Strategy, First Data who will be leading the masterclass.

A walkthrough of ERM processes leading up to and during the financial crisis and how the function has evolved, hear practical examples, case studies and experiences from the course leader alongside interactive group activities to provide an in depth understanding of the objectives, processes and requirements for an effective ERM framework. 

  • ERM & The Financial Crisis 
  • ERM Advanced Framework 
  • ERM Value Proposition 
  • ERM Maturity Model 
  • ERM Connection to Driving Business results 

CraigAbout the Leader:

Craig has over 30 years of governance, enterprise risk management, business development, technology and audit experience gained from working with the world’s top institutions (First Data, RBS, Citigroup, J.P. Morgan, Dean Witter, & Merrill Lynch). Currently, Craig is Head of Enterprise Risk Management Strategy at First Data and is also the CEO & Founder of RiskTao, LLC which specializes in Enterprise Risk Management training.

Prior to these roles, Craig was RBS’s Global Head of Operational Risk Systems & Analytics and was responsible for providing strategic direction and oversight. In addition, Craig was Head of Operational Risk Management for RBS – Americas where he was responsible for driving the buildout of Americas ORM practice, Compensation Initiative, 2nd line challenge and managing regulatory relationships. In addition, Craig co-chaired the Americas Compliance and Operational Risk Committee and represented ORM on several domestic and international senior risk committees.

Launch Special Super Early Bird Early Bird Standard Rate
Supercharging Your ERM Program Masterclass
October 18, 2017
$799
Register by July 21
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$899
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$999
Register by September 29
(save $100)
$1,099
Registrations after September 29
Masterclass + Congress
October 18-20, 2017
Save an extra $100 when registering for both!
$1,798
Register by July 21
$2,098
Register by August 25
$2,498
Register by September 29
$2,998
Registrations after September 29

Day One | October 19, 2017

08:10 Registration

08:50 Chair’s opening remarks

KEYNOTE ADDRESS
09:00 The importance of managing company conduct and culture and incentivizing behaviour accordingly to limit reputational risk

Dodd Frank requirement to manage risk culture
Blurred lines with good business and product
Enterprise wide values, controls and ethics
Wells Fargo and United Airlines case study
Senior management approach
Role of ERM in identifying issues

Senior Executive, OCC

KEYNOTE PANEL DISCUSSION
09:40 Reviewing the role of the lines of defence in ERM and operational risk to better identify and mitigate risk

Aggregating into first line and reporting metrics to risk committee
Reporting metrics to risk committee
Establishing communication with 1st and 2nd lines
Forward looking view of most recent activities
Accountability: self-identifying risks in the first line
Identifying, monitoring and measuring risk
Using RCSA as a tool
Identifying controls specific to risk

Deborah Hrvatin, Managing Director, Americas Head of Non-Financial Risk Management, Deutsche Bank
Christopher Nestore, Head of US Operational Risk Management, TD Bank
Russell Kempf, Director Group Risk Manager, MUFG

10:30 Morning refreshment break and networking

STREAM 1
New Generation Operational Risk

STREAM 2
Enterprise Risk Management

11:00 Setting risk appetite for operational risk and aligning with enterprise risk statement

  • Quantifying risk appetite for people, processes and technology
  • Heat maps and processes to make informed decisions
  • Probability and impact
  • Improving communication of operational risk

Ann Caruso, SVP and Head of Operational Risk, Investors Bank

11:00 Reviewing interpretations of ERM and the role of the function in different institutions

  • Differences between ERM and CRO
    • Do functions report to ERM or CRO?
  • ERM function creating a unified standard
  • Conceptual standard across industry
  • Calculations: Modelling and finance calculations
  • Correlations between risk categories

PANEL DISCUSSION
11:40 Setting parameters for operational risk as areas evolve beyond the traditional scope

  • Vendor, cyber etc.
  • Aggregating results and activities
  • Reporting to senior management

Theresa Reynolds, Director of Operational Risk Management Validation, Capital One
Clarice Carotti, Head of Market, Liquidity and Operational Risk Management, Intesa Sanpaolo
Joel Forbes, MD, Head of Operational Risk Management, NatWest Markets

PANEL DISCUSSION
11:40 Using ERM to drive business effectiveness and increasing value

  • Seeing ERM as a strategy asset and defining to lines of business
  • Communicating to the Board
  • Identifying, monitoring and assessing risk
  • Risk appetite of Board and senior management

Gus Ortega, Head of Corporate Operational Risk Management, AIG
Scott Gyllensten, Chief Operational Risk Officer, People’s United Bank
Ryan Zanin, CEO Strategic Ventures & Restructuring Group, GE Capital

 

12:30 Lunch break and luncheon roundtable discussions

Gustavo roundtable
Scott roundtable
Theresa masterclass

… more tables to be released soon!

1:30 Modeling operational risk: Quantitative methods for a qualitative disciple

  • Collecting and accessing data
  • Alternatives when data is not available
  • Unknown unknowns
  • Internal loss modelling

1:30 An overview of ERM guidance to develop best practice and fluidity of the function

  • Increasing fluidity of reporting and decision making
  • Institutional differences impact on approach
  • Increased mandate to risk management and internal controls
  • Adjusting internal controls procedures and disclosures
  • Ability to mitigate risk based on controls
  • Implementing as part of an ERM framework

Craig Spielmann, Former Head of Enterprise Risk Strategy, First Data

2:10 2nd line oversight responsibilities

  • Role of the second line for effective challenge
  • 2nd line challenge across the lifecycle of products and execution
  • Becoming a trusted advisor while maintaining independence
  • Control testing and validation with examples of solid business practices

Theresa Reynolds, Director of Operational Risk Management Validation, Capital One

2:10 Reviewing business continuity management and internal procedures to bring the right teams together

  • Idiosyncratic events
  • Business continuity management group as first line
  • Bringing in relevant teams
  • No common standard response
  • Preparation for known and unknown events

2:50 Operational risk management: Verification & validation

  • Regulatory Drivers
  • Independence
  • Essential Elements of a Sound V&V Program
  • Five Steps for Reviewing an Operational Risk Management Framework
  • Governance & Oversight

Keri Gormley, Global Head of Operational Risk Assurance, BNY Mellon

2:50 Automating the process to improve data and reporting practices

  • Modernizing GRC platforms
  • First line data
  • KPI’s
  • Transforming data into quality reporting
    • Management use to make decisions
  • Modernizing systems vs. shared data models
  • Providing data for first line decisions

Mihir Trivedi, VP, Operational Risk Management, Nuveen

3:30 Afternoon refreshment break and networking

4:00 Reviewing internal and external fraud weaknesses and identifying prevention tools available

  • Sophistication of social engineering techniques
  • KYC: Educating staff to identify customers at risk and understanding behaviours
  • Implementation of biometrics and secondary authentication
  • Reputational risk
  • Internal procedures to handle electronic information
  • Using data to detect internal fraud

4:00 Model risk management and validation best practices

  • Regulatory expectation
  • London whale example
  • Change log and inventory of model
  • Defining a model

PANEL DISCUSSION
4:30 Exploring the increasing threat of cyber security and practices to mitigate the risk and protect sensitive information

  • Intensifying effort to get into systems
  • Move to cloud operations and the implications of cloud computing
  • Improving automation
  • Data privacy and security
  • Direct and net impact
  • Customer data breaches
  • Future of technology and payments
  • Scoping the size of the topic
  • Materiality thresholds exceeded with increased risk

Ken Jones, Head of Fraud Risk Management and Financial Intelligence Unit, UBS

PANEL DISCUSSION
4:30 Bringing teams together for efficient stress test reporting and reviewing alternate approaches across the industry

  • Milestones and timelines for institutions
  • Signs of failure
  • First hurdle for FBO’s
  • The future of CCAR and stress testing
  • Scenario analysis and developing idiosyncratic scenarios
  • Bringing in the first line
  • Advanced modelling approaches
  • Approaches in large Vs. smaller financial institutions

Greg Maslov, CRO Change, Credit Suisse
Sachin Sharma, Director, Operational Risk Management, Bank of Montreal
Lyndsay Byun, Head of Operational Risk Assurance, Santander

5:20 Chair’s closing remarks

5:30 End of day one and drinks reception

Day Two | October 20, 2017

08:10 Registration

08:50 Chair’s opening remarks

KEYNOTE ADDRESS
09:00 Regulatory review: Understanding regulatory risk and future changes

Impact of change to capital
Business resiliency to regulatory change
Reporting standards and changes
AML: enhanced diligence
– Requesting up to date ID
– Changes to account origination system
Regulatory push surpassing level of risk?

Senior Executive, Federal Reserve Bank of New York

KEYNOTE PANEL DISCUSSION
09:40 The blurred lines between ERM and operational risk: Identifying operational risk as an essential part of ERM

Using operational risk practices under ERM heading
Roles of each
Reporting, monitoring and controls

Brian Goldman, Head of Enterprise Risk Management, Goldman Sachs
Dominique Benz, Director, Mizuho
Viktor Grinberg, Head of Compliance and Regulatory Technology US, Deutsche Bank
Joel Forbes, MD, Head of Operational Risk Management, NatWest Markets

10:30 Morning refreshment break and networking

STREAM 1
New Generation Operational Risk

11:00 Reputational risk: The impact of increased social media scrutiny and limiting reputational fallout

  • How news is disseminated
  • Managing risk to protect reputation
  • Impact on bottom line, stocks and shares
  • Social media impact
  • Risk beyond operational: reporting, compliance, market, credit etc.

Fenton Aylmer, Managing Director, Head of Operational Risk, Citi

STREAM 2
Enterprise Risk Management

11:00 Reviewing technology in ERM and emerging risks associated with Fintech and technology emergence

  • Fintech initiatives transforming industry
  • Reengineering and analytics
  • AI and decision making logic
  • Unsupervised machine learning
  • Implementing best practices for ERM technology
  • Validation and verification of user access

PANEL DISCUSSION
11:40 Understanding regulatory expectations for ongoing monitoring and management of third parties for increased security

  • Protecting customer data
  • Vendor financial health and implications of closure
  • Adequate diligence on back end on a regular basis
  • Vendor systems and safeness to same level as internal
  • Access to customer data and systems
  • Design, implementation and ownership of program

Dominique Benz, Director, Mizuho
Viktor Grinberg, Head of Compliance and Regulatory Technology US, Deutsche Bank

PANEL DISCUSSION
11:40 Utilizing stress testing and ERM as a function for increased risk identification across the enterprise

  • Identification of risk
  • Quantifying risk
  • How the likelihood of risk is assessed
  • Utilising stress tests

Daniel Ward, Head of Risk Independent Review and Control (US CIB), BNP Paribas

 

12:30 Lunch break and networking

1:30 Developing RCSA techniques and aligning teams for a granular review of risk

  • Department communication and collaboration
  • Participation and resources across business lines
  • Building and utilizing time with business
  • Emergence of risk lines: Sharing RCSA
  • Creating one risk map to manage without losing focus

Sachin Sharma, Director, Operational Risk Management, Bank of Montreal

1:30 Evaluating, measuring and mitigating against non-market risks

  • Accounting for political risks, natural disasters and terrorism
  • How much to attribute to potential losses
  • Lack of data
  • Recognition of risks and determining key indicators
  • Taking action when indicators meet trigger point
  • Procedures to action trigger point

PANEL DISCUSSION
2:10 Reviewing scenarios for operational risk and improving quantitative aspects

  • Capital scenarios
  • Loss projections under CCAR
  • Systemizing and putting in processes to stress operational risk
  • Running structured workshops

Christos Tsamadias, Operational Risk Control and CAG Compliance Head, UBS
Hafsteinn Gislason, VP Operational Risk, ERM, CIT Bank NA
David Lamar,
Managing Director, Scenario Design, BNY Mellon

PANEL DISCUSSION
2:10 Measuring risk across the enterprise and accounting for fluid and dynamic nature

  • Limited to probability and impact in current practice
  • Quantifying and communicating risks
  • Broadening scope to make informed decisions
  • What does an effective risk management program look like?

3:00 Afternoon refreshment break and networking

3:30 Operational risk and compliance: Reviewing the increasing interrelation and aligning departments to ensure risk mitigation

  • Internal alignment
  • How risk and compliance work together
  • Managing risk across the enterprise

Scott Gyllensten, Chief Operational Risk Officer, People’s United Bank

3:30 Establishing a clear line of accountability from the top down

  • Board, senior management and regulatory accountability
  • Cultural implementation across the enterprise
  • Governance processes and procedures
  • Accountability of risk on the CEO
  • Attestation

Azlina Wetmore, Head of Regulatory Risk Management, Credit Suisse

4:10 Fraud and cyber-fraud risk management

  • Establishing a cross-functional fraud risk management program (key functions and members)
  • Convergence of cyber, fraud and AML intelligence and analytics
  • Cyber-fraud crisis incident response

Ken Jones, Head of Fraud Risk Management and Financial Intelligence Unit, UBS

4:10 The future of ERM: Reviewing uncertainty surrounding regulatory and technological updates

4:50 Chair’s closing remarks

5:00 End of day two

FENTON Aylmer

Fenton Aylmer, Head of Business Practices and Conduct, Operational Risk Management, Citigroup

Fenton earned a BA in Literature and Philosophy from the University of Concordia in Montreal, Canada and an MBA from Trinity College Dublin, Ireland.

Fenton is the senior operational risk officer in charge of Business Practices and Conduct. In this capacity, he partners with regional and business ORM colleagues, other control functions, and Citi business counterparts, to identify, assess, and mitigate risk exposures that drive 90% of the industry’s operational losses. Fenton also directs the development of the reputation risk appetite framework for Citi. Additionally, he leads cross functional initiatives aimed at addressing root causes of internal fraud in the both payments and the trading processes and infrastructure.

Prior to this role, Fenton held various senior risk management roles at Citigroup. Including: Operational Risk Head for Citibank N.A., Citigroup’s largest legal vehicle; Head of Enterprise Risk Management, North America; and Head of Citi’s Regulatory Capital Risk Group. In this latter role, Fenton’s team oversaw the calculation and control processes of Risk Weighted Assets (RWA) and reported on associated RWA impact of data quality, GAAP movement, and risk exposures. At this time, he was also a key advisor to the firm’s business strategies and capital optimization efforts under the Basel II, IIa, and III regulatory capital regimes.

Prior to joining Citigroup, Fenton worked for four years as a consultant with Ernst & Young LLP. He managed projects for large US banks focusing on Basel II implementation and Credit Risk Management related issues. Before consulting, he worked for eleven years at the Bank of Montreal (BMO). He began his career with the Bank as a retail and then wholesale credit officer. He spent his last three years at BMO managing the Treasury Credit Department.

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Dominique Benz, Director, Mizuho Americas Operational Risk Management Key Risk Officer, Mizuho Americas LLC

Dominique has over 20 years of financial services industry experience and deep expertise in Operational Risk, Technology, and Process Transformation. Dominique is a Director at Mizuho Bank in the Americas Risk Department providing 2nd line of defense services to all business lines across Mizuho’s U.S. operations. He is responsible for building out and overseeing the Operational Risk Management framework for a number of key risk domains including Third Party, Business Continuity, and Data Management. Dominique has worked in similar capacities for some of the world’s leading global banks including Goldman Sachs, Morgan Stanley, Deutsche Bank and Citigroup. Dominique holds an MBA and a BS in Industrial Engineering from Rutgers University in New Jersey.

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Lyndsay Byun, Head of operational risk assurance, Santander

Lyndsay Byun will be presenting at operational & enterprise risk management 2017

Clarice Carotti

Clarice Carotti, Head of Market, Liquidity and operational management, Intesa Sanpaolo

Responsible for overall supervision and management of the Market, Liquidity and Operational Risk management function. Clarice’s expertise is also on Valuations of securities (for Liquidity purposes as well) and complex derivatives mainly due to her quantitative mathematical background.  Senior level Risk Management Manager, with over 18 years of experience in the Banking industry designing and improving Risk Management frameworks. Prior to moving to the Intesa Sanpaolo New York Branch, she was in charge of the Financial Valuation and Risk management of the Structured Credit Portfolio for Intesa Sanpaolo Group in Head Office (Milan).

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Ann Caruso, SVP & Head of operational risk, Investors Bank

Ann Caruso will be presenting at operational & enterprise risk management 2017

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Joel Forbes, MD, Head of Operational Risk Management, NatWest Markets

Joel Forbes will be presenting at operational & enterprise risk management 2017

Tom Caragher

Tom Caragher, Sr. Product Manager, Fiserv

Tom Caragher is the Product Manager for the risk products within the Financial & Risk Management Solutions (FRMS) division at Fiserv, Inc. (NASDAQ: FISV). He is responsible for the overall direction and strategy for the company’s asset liability and funds transfer pricing products.

He joined Fiserv in 2005 after spending 5 years as an interest rate risk consultant. Prior to that Tom spent several years at the Chicago Board of Trade in back office operations as well as a credit analyst for GreenTree Financial.

Hafsteinn Gislason

Hafsteinn Gislason, VP Operational Risk, ERMCIT Bank NA

Hafsteinn (Haffi) is an Operational Risk professional that started his career in risk in the turmoil surrounding the fallen banks in Iceland in 2008. He then moved to New York in 2013 continuing his profession at CIT as VP in Operational Risk.

A self-described romantic when it comes to Operational Risk and its potential in the world of finance and a firm believer that Operational Risk can be instrumental in bridging qualitative risk functions to improve overall risk management. He has decade of experience in both implementing and managing Operational Risk framework elements and capital calculations.

He has obtained a Bachelor degree in Industrial Engineering from Reykjavik University and a Master’s degree in International Economics and Finance from the Newcastle University Business School in England. Certified GARP FRM and is a licensed securities broker in Iceland.

Brian Goldman

Brian Goldman, Head of Enterprise Risk Management, Goldman Sachs

Brian is head of Enterprise Risk Management. He serves as a member of the Firmwide Operational Risk Committee and Sovereign Risk Committee.
Previously, Brian was chief risk officer of Operations, and prior to that, he was head of Goldman Sachs Bank Operations. Earlier in his career, he managed Securities Operations and Foreign Exchange Operations for Japan and Korea and held roles in Derivatives Operations in New York. Brian joined Goldman Sachs in 1997 as an analyst and was named managing director in 2009.

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Keri Gormley, Global head of opertational risk assurance, BNY Mellon

Keri Gormley will be presenting at operational & enterprise risk management 2017

Viktor Grinberg

Viktor Grinberg, Head of compliance and regulatory technology US, Deutsche Bank

Senior Compliance and Regulatory Technology subject matter expert with global capital market experience. In addition to education overseas, completed BBA in Finance and Investments and MBA in Computer Information Systems at Zicklin School of Business (CUNY, Baruch College). Worked for several sell side, banking, and consultancy firms as a developer, application development manager, and product owner.
Started to work with Compliance and Regulatory Technology in 1998, participating in pilot implementation of OATS by one of 30 pilot US broker dealers. Designed and build various trading and regulatory reporting systems, performed regulatory reviews and assessments. Recognized industry expert in front office regulatory reporting. Currently run US Compliance and Regulatory Technology for Equities, Derivatives, and Global Prime and Finance at Deutsche Bank.

Scott

Scott Gyllensten, Chief Operational Risk Officer, Peoples United Bank

Scott is the Chief Operational Risk Officer at People’s United Bank N.A.; a northeast based regional financial services company with over $40 billion in assets, offering commercial, retail, insurance, and wealth management services.

Scott is a licensed attorney, who holds a Bachelor’s Degree, Graduate Certificate in Tax, and Juris Doctorate from the University of Connecticut.

In his role, Scott is responsible for Operational Risk, Privacy, and Model Validation at People’s United Bank.

Scott has over fifteen years’ experience in Risk Management and has developed and implemented Operational and Enterprise Risk programs for domestic and international investment banking, capital markets, commercial banking, retail banking, and alternative assets organizations.

Deborah Hrvatin

Deborah Hrvatin, Managing Director, Americas Head of Non-Financial Risk Management, Deutsche Bank

Deborah Hrvatin is a Managing Director and Head of Operational Risk Management (ORM) for the Americas, reporting to the Chief Risk Officer. Ms. Hrvatin is responsible for improving risk management, strengthening controls, and enabling profitable growth within the Americas regional risk appetite. Ms. Hrvatin also holds global second line ORM responsibilities for various business and control functions. Prior to this, she was Chief Operating Officer (COO) of Group Technology & Operations Americas. In this capacity, she was responsible for partnering with the Americas Leadership Team to ensure that business and strategic objectives were achieved and the operating model optimized. With over 26 years of industry experience, Deborah has held numerous other roles in Deutsche Bank= including working in Corporate & Banking Securities (CB&S), where she was Director and Head of Operational Risk Management. She was responsible for developing and implementing the division’s operational risk management, supervision and information security framework. Deborah also held other leadership roles within the business management organization, including the Chief Operating Officer for Deutsche Bank’s Global Securitization Group, as well as various other roles focusing on new business development and operational excellence. Prior to joining Deutsche Bank in 1999, Deborah was an Equities Controller with Bankers Trust Company and also served as a Commissioned Bank Examiner with the Federal Reserve Bank of New York. Deborah is the Co-Chair of Deutsche Bank’s “Women on Wall Street” Employee Resource Group and is a member of The Women’s Bond Club and the Global Association of Risk Professionals (GARP). Deborah received her BBA and MBA in International Finance from Hofstra University.

Ken Jones

Ken Jones, Head of Fraud Risk Management and Financial Intelligence Unit, UBS Americas Region, UBS

Ken Jones joined UBS in 2014, he is currently the Head of Fraud Risk Management and the Financial Intelligence Unit for the UBS Americas Region. Ken is leading efforts to improve fraud deterrence, detection and UBS Americas response to a variety of potential cyber and financial crime incidents. He leads the cross-functional Fraud Risk Management Committee and manages a variety of funded projects pertaining to intelligence, analytics and system improvements.

From 2008 – 2014, Ken was a Director in KPMG’s Forensic practice, where he conducted sensitive investigations for both government agencies and corporations. He also conducted fraud risk assessments at financial services and a variety of other industries.

Prior to working at KPMG, Ken retired as the Deputy Chief of the US Postal Inspection Service. In this position he was responsible for the overall leadership of the 18 field divisions and all headquarter operations. Program oversight and career experiences included financial crimes, narcotics, child sexual exploitation, bombs, prohibited mailings (anthrax), corporate security and employee investigations.

Russell Kempf

Russell Kempf, Director, Group Risk Manager, MUFG

Russell Kempf is a seasoned Financial Services Executive with over 20 years of experience primarily in managing Operational Risk within the first line of defense. He currently works at MUFG as a Group Risk Manager responsible for executing embedded risk management responsibilities for the Risk, Legal, and Chief of Staff divisions. Prior to working at MUFG he spent time a DTCC focused on building a Third Party Risk Management program. The majority of his career was spent with UBS Financial Services where he held multiple roles primarily focused on Risk Management and Internal Control.

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David Lamar, Managing Director, Scenario Design, BNY Mellon.

David Lamar will be presenting at operational & enterprise risk management 2017

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Greg Maslov, CRO Change, Credit Suisse

Greg Maslov will be presenting at operational & enterprise risk management 2017

Christopher Nestore

Christopher Nestore, Head of Operational Risk Management, TD Bank

Nineteen years of banking experience with an emphasis on risk and controls. Mr. Nestore was recently appointed as the Head of US Operational Risk. He has been with TD for five years and has held a variety of roles in Risk and Finance including previous work leading the Segment Risk team in Operational Risk. Most recently, he was providing strategic oversight and assisting in the execution of the CCAR strategy. Mr. Nestore initially joined Operational Risk Management in November 2013 as SVP- Segment Risk Director responsible for leading the Segment Risk Lead team that provides second line challenge to the major revenue producing US business lines. Business lines include: Retail Products and Distribution, Regional Commercial, Corporate & Specialty Banking, Wealth, Epoch and TDAF. He joined TD in April 2011 as the Head of Finance Governance and Shared Services where he led teams responsible for: Governance, Controls & Risk, Project Management Office, FDIC Liaison Team, Reconciliation Control Unit, General Accounting and Fixed Assets/ Accounts Payable. Prior to TD, Mr. Nestore spent 10 years at Deutsche Bank as a Director in the Group Audit function where he covered a variety of areas within the Corporate and Investment Bank. He also held positions at JP Morgan, KPMG Consulting and Neuberger & Berman.

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Gus Ortega, Head of Corporate Operational Risk Management, AIG

Gus is a risk practitioner in the financial services industry with over 15 years of experience. Currently, he is responsible for Operational Risk policy, governance, programs and framework, data management and reporting at AIG. Gus’s primary responsibility is maintaining an integrated operational risk function that supports the company’s three lines of defense accountability model and ensures regulatory requirements are met with respect to the design and implementation along with continuous refinement of the Operational Risk program across AIG. Prior to AIG, Gus held various senior positions at UBS Investment Bank, Dresdner Bank and Morgan Stanley.

Theresa Reynolds

Theresa Reynolds, Director of Operational Risk Management Validation, Capital One

Theresa Reynolds has over 18 years of Financial Services industry experience with time spent in both the First and Second Lines. Today she is responsible for the Operational Risk Management validation program at Capital One. In this role, she has established the methodology used by the many operational risk functions throughout the Company to assess adherence to programmatic requirements as well as overall effectiveness of operational controls. Additionally, her team is responsible for execution of the testing and validation strategy for Business Continuity, Third Party Management and the broader set of Operational Controls across Capital One.

Sachin Sharma

Sachin Sharma, Director, Methodology and Stress Testing, Operational Risk, Bank of Montreal (BMO) Financial

Sachin Sharma is Director, Methodology and Stress Testing, US Operational Risk Mgmt. In this role, he manages the development of US operational risk framework and methodology, including Scenario Analysis, Key Risk Indicators, Risk Assessment, Stress Testing and Risk Appetite. He also leads the execution of BMO’s CCAR/DFAST process for operational risk, including model development and analytics. He also oversees strategy and change initiatives within operational risk.

Sachin joined BMO Financial Group in 2013. Prior to joining BMO, he held positions of increasing responsibility in Operational Re-engineering, Operations Management and Operational Risk and Governance in Capital One, Barclays PLC, Citibank and ICICI Bank. His banking experience extends to multiple geographies including Asia, UK and US.

Sachin has an MBA in Finance from Indian Institute of Management (IIM), Ahmedabad and a Bachelor’s degree in Engineering from Indian Institute of Technology (IIT), New Delhi.

Craig Speilman

Craig Speilmann, Global Head of Enterprise Risk Management Strategy, First Data

Craig has over 30 years of governance, enterprise risk management, business development, technology and audit experience gained from working with the world’s top institutions (First Data, RBS, Citigroup, J.P. Morgan, Dean Witter, & Merrill Lynch). Currently, Craig is Head of Enterprise Risk Management Strategy at First Data and is also the CEO & Founder of RiskTao, LLC which specializes in Enterprise Risk Management training.

Prior to these roles, Craig was RBS’s Global Head of Operational Risk Systems & Analytics and was responsible for providing strategic direction and oversight. In addition, Craig was Head of Operational Risk Management for RBS – Americas where he was responsible for driving the buildout of Americas ORM practice, Compensation Initiative, 2nd line challenge and managing regulatory relationships. In addition ,Craig co-chaired the Americas Compliance and Operational Risk Committee and represented ORM on several domestic and international senior risk committees

Mihir Trivedi

Mihir Trivedi, VP, Operational Risk Management, Nuveen

Mihir Trivedi will be presenting at operational & enterprise risk management 2017

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Christos Tsamadias, Operational Risk Control and CAG compliance Head, UBS

Christos Tsamadias is Executive Director and Operational Risk Control and CAG Compliance Head for UBS Wealth Management Americas.

Christos has been with the Firm since 2001, and has held various positions in the Compliance Department such as Head of Wealth Management Monitoring and Surveillance, and most recently, as the Head of CAG Compliance and WMA Operational Risk. His team is responsible for Branch Examinations, Pre-Hire reviews, Compliance Policies, the Divisional Compliance Officers (DCOs), as well as, a team of Operational Risk professionals. Christos has received a Bachelor’s degree and an MBA in Finance from Rutgers University, where he also competed as a Division 1 Volleyball player.

Azlina Wetmore

Azlina Wetmore, Head of regulatory risk management, governance & strategic transformation, Global markets and Americas, Credit Suisse

Azlina Wetmore will be presenting at operational & enterprise risk management 2017

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Ryan Zanin, CEO, Strategic Ventures & Restructuring Group, GE Capital

Ryan Zanin will be presenting at operational & enterprise risk management 2017

Daniel Ward

Daniel Ward, Head of Risk Independent Review and Control (US CIB), BNP Paribas

Daniel Ward heads the Risk-IRC (Independent Review and Control) function for BNP Paribas North America CIB/IP. This encompasses both Model Independent Review and Model Governance. His responsibilities include establishment of a robust Model Risk Management framework within the region working with the Global and IHC heads of Risk-IRC to ensure global and transversal alignment. Additionally he is responsible for ensuring all models within scope are independently challenged and validated to appropriate standards, requiring both building out the local Model Independent Review team and ensuring local US needs are met by global validation teams.

Prior to this position Daniel spent ten years in positions across Quantitative Research and Trading and Anti-Fraud based both in the US and UK for BNP Paribas. He has been instrumental in devising and developing a number of products which BNP Paribas continues to actively market to clients.

Prior to joining BNP Paribas, Daniel spent time in technology and trading firms, including as a trader at Goldenberg, Hehmeyer and Co. focusing on fixed income derivatives. Daniel received his Masters in Mathematics from Warwick University. He is a member of the ACFE and in this role is actively working to develop the Anti-Fraud community around Investment Banking in New York.

Find our Operational and Enterprise Risk thought-leadership articles here. These articles feed from our much larger Risk Insights section of our website which provides you with thought-leadership, white papers, articles and more across risk and regulation. Subscribe to Risk Insights’ Financial Risk Management Blog and get the latest articles straight to your inbox.

FEATURED RESOURCES

Operational & ERM as value added exercises

Hafsteinn Gislason, VP Operational Risk, CIT has released documentation on using operational & enterprise risk management as value added exercises beyond regulatory compliance.

Download the PDF here

Systemic operational risk

Linda Jaka, Head of Governance, Operational Risk Integration and ERM at Standard Bank addresses the causes of systemic risk and how they may be tackled.

Download the PDF here

Establishing an effective governance structure

Documentation on establishing an effective governance structure to better account for op risks by Gustavo Ortega, Director, Operational Risk Management at American International Group, Inc.

Download the PDF here

ARTICLES

13th June 2017
Mark

Data protection and security through improved risk assessments and monitoring approaches

16th March 2017
craig spielmann (1)

Supercharging your ERM Program

15th March 2017
Robert phelps

Assessing the increasing cyber threat in a world of continuing technological advances

13th March 2017
Unknown

The Three Lines of Defense

10th March 2017
Unknown

Measuring the impact of fraud events and other challenges

15th February 2017
Unknown

Reviewing risk framework requirements and moving towards operational risk being raised to an equal visibility as credit and market risk

26th January 2017
Cyber Risk

Finance’s role in operational risk management

10th October 2016
Craig Lane

Gaining value from an effective RCSA program and using to make strategic business decisions

8th October 2016
banner-strategies

Case studies: how we can learn from past experiences to better overcome further risks

27th September 2016
jodi richard

Aligning compliance and operational risk departments to better remediate the risks

23rd September 2016
Unknown-1

Operational Risk: Establishing an effective governance structure

22nd September 2016
Hafsteinn

Using operational and enterprise risk management as value added exercises

9th September 2016
Unknown-10

Systemic operational risk: A review of case studies, regulation and requirements

10th August 2016
banner-strategies

What lies ahead for operational risk professionals

10th August 2016
Cyber risk across FIs

Assessing upcoming cyber risk trends in 2016 and beyond

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By combining the most innovative SaaS platforms with unparalleled data solutions, Opus turns information into action so your business thrives.

Can your organisation contribute at our Operational and Enterprise Risk Management Congress?

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. Please contact sales@cefpro.com or call us on +1 888 6777 7007 where a member of the team will be happy to tailor the right package for you.

Media Partners


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Venue

New York Marriott Downtown
85 West St
New York
NY 10006
USA

We have a preferential rate for our attendees starting from $319++. To book your accommodation please click the link below, if you are experiencing any problems please call +1 877 303 0104 and quote ‘the Center for Financial Professionals program’

https://aws.passkey.com/e/49156645

Earn up to 15 CPE credits

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Frequently Asked Questions

Can I present at the Operational & Enterprise Risk Management 2017 Congress?

Yes, the Center for Financial Professionals are happy to discuss speaking opportunities at Operational & Enterprise Risk Management 2017. For further information on this please contact alice.kelly@cefpro.com or call us on +1 888 677 7007.

Are there any rules on the dress code?

Business attire is requested. The Congress is a formal opportunity to network with like-minded professionals and to gain knowledge from the industry’s finest risk management experts.

What is the cost and what is included in the registration fee?

We offer incentives for ‘early bird’ registrants of the Congress, as outlined on our pricing structure.

Registration includes breakfast, refreshment breaks, lunches, the cocktail reception at the end of the day, full access to the Congress sessions and exhibition area. Presentations from sessions are also available, subject to speaker approval.

Where can I find the Congress documentation and speaker presentations?

All registered attendees will receive an email with access to documentation and speaker presentations after the Congress*

We will work with our presenters to include as many presentations as possible on our Risk Insights App during the Congress.

*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?

Yes. As with all of our events the Center for Financial Professionals will be providing brilliant coffee, breakfast, lunch, refreshments, and smaller bites during the networking breaks.

This will be provided on both days of the Congress.

Will there be opportunities to network with other attendees?

There are ample opportunities for networking and interaction throughout the Congress, such as

  • Breakfast, lunch and refreshment breaks
  • Cocktail reception at the end of the day (Subject to confirmation)
  • Q&A, panel discussions and audience participation technology available through the Risk Insights App
I have several colleagues that would like to attend, is there a group discount?

Certainly! We are pleased to offer you a 50% discount on the third registration or provide a fifth registration for free.

If you would like to register more than five colleagues please contact us on +44 (0) 20 7164 6582

Please note:

  • Registrations must be made at the same time
  • Registrations must come from the organisation
  • The lowest registration will be discounted
Are there opportunities to share my thought-leadership at Operational & Enterprise Risk Management 2017?

Yes there are plenty of opportunities for the Center for Financial Professionals to share thought-leadership to the attendees of Operational & Enterprise Risk Management 2017 and our wider risk professionals community.

At the event
We can distribute your material to the attendees, offer you an exhibition booth, and provide speaking opportunities so that you may enjoy a more prominent presence at the Congress. Visit the Sponsor tab for further information or contact sales@cefpro.com / +1 888 677 7007.

Risk Insights
Feature your content on our Risk Insights website and supporting Risk Insights monthly newsletter. For further information please download our media pack here.

Are media partnerships available for Operational & Enterprise Risk Management 2017?

Yes. As part of a media partnership we can offer a variety of options to increase the branding and awareness of your association, company, certificate, publication or media. We are flexible with what we can offer however we usually:

  • Provide a discounted rate to attend
  • Place your logo and profile on the Congress website
  • Place your logo on the Congress brochure
  • Place your logo on promotional content where applicable
  • Distribute your media/marketing at the Congress
  • Promote through social media channels

To discuss this further please contact olympia.nolan@cefpro.com or call +44 (0) 20 7164 6582.

I want to register for the Main Congress only

  Launch Special Super Early Bird Early Bird Standard Rate
Operational & Enterprise Risk Management 2017
October 19-20, 2017
$1,099
Register by July 21
(save $900)
$1,299
Register by August 25
(save $700)
$1,599
Register by September 29
(save $400)
$1,999
Registrations after September 29

I want to register for the ERM Masterclass

Launch Special Super Early Bird Early Bird Standard Rate
Supercharging Your ERM Program Masterclass
October 18, 2017
$699
Register by July 21
(save $300)
$799
Register by August 25
(save $200)
$899
Register by September 29
(save $100)
$999
Registrations after September 29

I want to register for the Congress and ERM Masterclass

Launch Special Super Early Bird Early Bird Standard Rate
Masterclass + Congress
October 18-20, 2017
Save an extra $100 when registering for both!
$1,698
Register by July 21
(save $1,200)
$1,998
Register by August 25
(save $900)
$2,398
Register by September 29
(save $500)
$2,898
Registrations after September 29

Group Bookings:

Group rates are available for 3 or more attendees from the same organisation, when registering at the same time. The current rate allows every third colleague to come along for half price, or a fifth colleague to attend for FREE.

 


Accommodation:

We have a preferential rate for our attendees starting from $319++. To book your accommodation please click the link below, if you are experiencing any problems please give the number a call and quote ‘the Center for Financial Professionals program’

https://aws.passkey.com/e/49156645
Contact numbers: +1 877 303 0104

Other ways to register

1. Save Time – Register by Email

Simply email us with your e-signature – and we will do the rest for you!

2. Contact Us Directly

3. Download the PDF Registration Form

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