Operational & Enterprise Risk Management 2017

Assessing the remit of operational and enterprise risk management to increase efficiency between departments
**Only 2 seats remaining for the ERM Masterclass: Supercharging your ERM program**

Bring the team: 3rd Colleague half price
When two colleagues register

Contact us:
+1 888 677 7007 / info@cefpro.com

3rd Annual Operational & Enterprise Risk Management 

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

Download the brochure here

EARN UP TO 15 CPE CREDITS

Key Highlights of 2017

KEYNOTE DISCUSSIONS

Conduct & Culture
Managing company culture and conduct and incentivizing behaviour aligned to this

Lines of Defense
Reviewing the lines of defence in ERM and operational risk to identify and mitigate

Regulatory Risk and Future Changes
Understanding regulatory risk and the impact of future changes and how institutions can look to prepare

ERM and Operational Risk
The blurred lines between ERM and operational risk and the importance of operational risk within ERM

OPERATIONAL RISK

Operational Risk Management
– Setting risk appetite for operational risk
– Reviewing the new scope of operational risk
– Increasing use of quantitative methods

Lines of Defense
– Oversight and responsibilities of lines of defense
– Verification and validation of risk and practices

Fraud and Cyber Security
– A review of Internal and external fraud weaknesses
– Understanding cyber security threat and mitigation practices
– The impact of reputational risk to institution

Regulation
– Developing RCSA techniques
– Scenario generation for operational risk
– Increasing the Interrelationship with compliance teams

ENTERPRISE RISK MANAGEMENT

Driving Business
– Using ERM to drive business effectiveness
– Implementing plans for business continuity
– Automating the process to increase efficiency

Stress Testing
– Model risk management and validation
– Utilizing stress testing for better risk identification

Technology
– Managing enterprise IT incidents
– Reviewing the future of ERM
– Technology changes impacting ERM

ERM Structure
– Aligning team to increase efficiency
– Governance structure under ERM
– Establishing a clear line of accountability from the top down

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

Keynote addresses from the OCC and Federal Reserve Bank of New York

Scott Gyllensten

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Chief Operational Risk Officer
Peoples United Bank

Deborah Hrvatin

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

Russell Kempf

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Director, Group Risk Manager
MUFG

Theresa Reynolds

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Director, Operational Risk Management Validation
Capital One

Joel Forbes

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MD, Head of Operational Risk Management
NatWest Markets

Dominique Benz

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

Fenton Aylmer

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ORM Head of Business Practices and Conduct
Citigroup

Lyndsay Byun

Head of Operational Risk Assurance
Former Santander

Ken Jones

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

Christopher Nestore

Head of Operational Risk Management
TD Bank

Azlina Wetmore

Head of Regulatory Risk Management, Governance & Strategic Transformation, Global Markets and Americas
Credit Suisse

Daniel Ward

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

In addition to the Main Congress, extend your knowledge and attend the Pre-Event Masterclass…

Supercharging Your ERM Program

Taking place October 18, 2017

Hear from and network with Craig Spielmann, former 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. 

Earn Up To 7 CPE Credits

Registration will open at 8:30am, the Masterclass will commence at 9am, aiming to conclude by 5pm. There will be refreshment breaks and lunch served during the course of the day.

Objectives

  • Build an ERM function that will effectively compete for funding.
  • Create a point of view on of major processes that drive successful firms and business.
  • Learn to evaluate your ERM function as a business.
  • Gain an understanding of the financial crisis to guide businesses through normal and stressed conditions.
  • Identify the products and services that are value added to the businesses.
  • Build your conceptual view of an ideal ERM team.
  • Develop your sense of linking business goals through a strategic business perspective.
  • Create a view of the best skills and expertise to staff a successful ERM function.
  • Working with others, develop your own game plan for “Super Charging” your ERM function.

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). Craig is the former 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.

Overview of the day

  • Introduction
    Icebreaker
  • ERM Defined
    Opportunities and Challenges
    Evaluating your ERM function as a business
    Developing a perspective on product and services and value they bring
  • ERM’s Lesson Learned in the Financial Crisis
    Major Causes
    Culture &  Behavior
    Role of Compensation
  • Frameworks & Tools  – Quick Review
    RCSA, Scenario Analysis, Internal & External Loss Data, Issue Management, Risk Appetite, Culture , Philosophy
  • Evaluating your ERM function as a business
    Developing a perspective on ERM’s product and services and value they bring to the business
  • Define  ERM’s Place in the organization and master the below Major Processes such as:
    Business Strategy Management
    Compensation Management
    Client Relationship Management
    Regulatory Management
    Technology Management
  • Staffing –  Capabilities , Required Skills and Career Path
**Only 2 seats remaining**
Early Bird Standard Rate
Supercharging Your ERM Program Masterclass
October 18, 2017
$899
Register by September 29
(save $100)
$999
Registrations after September 29
Masterclass + Congress
October 18-20, 2017
Save an extra $100 when registering for both!
$2,398
Register by September 29
(save $500)
$2,898
Registrations after September 29
Good learning and great discussions. We were able to think about risk function as a business

Manulife Financial

This was a very enlightening course with a broad view and provided useful skills for risk management. The instructor was very knowledgable and helpful in providing more information, if needed.

Allianz Global Investors

The presenter, Craig, was very good at facilitating discussion

First Technology Federal Credit Union

Day One | October 19, 2017

08:10 Registration

08:50 Chair’s opening remarks

Candice Nonas, Managing Consultant, RGP

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

Laz Barreiro, Director of Governance and Operational Risk Policy, 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
Vivek Tyagi, MD, Head of Risk Management, Global Transaction Services, Former Bank of America Merrill Lynch

10:30 Morning refreshment break and networking

STREAM 1
New Generation Operational Risk

Chair: Candice Nonas, Managing Consultant, RGP

STREAM 2
Enterprise Risk Management

Chair: Mark Deluca, SVP, Opus

RISK APPETITE
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, Head of Operational Risk and ERM, SVP, Investors Bank

GOVERNANCE
11:00 Governance of your Enterprise Risk Management: How to stay in control of your ERM programme and prove it

  • Communicating your obligations (internal & external) to stakeholders
  • Understanding the status of your ERM Programme
  • Proving your compliance to Internal and External Stakeholders

Richard Pike, CEO, Governor Software
Conall McGonagle, COO/ CFO, KBC USA

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 New York Branch
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

Stephen Woitsky, SVP, Operational Risk, Bank of the West
Scott Gyllensten, Chief Operational Risk Officer, People’s United Bank
Pamela Feldstein, Capital Planning and Enterprise Risk Leader, GE Capital

12:30 Lunch break and luncheon roundtable discussions

  • Value add beyond regulatory expectations – Hafsteinn Gislason, Head of Enterprise Risk Technology, CIT Bank
  • Leveraging RCSA – Craig Spielmann, Former Global Head, Enterprise Risk Analytics, First Data
  • The role of operational risk in setting corporate strategy – Scott Gyllensten, Chief Operational Risk Officer, People United Bank
  • Preparation for cyber security events – Theresa Reynolds, Director, Operational Risk Management Validation, Capital One
  • Outsourcing/Off-shoring: With cost the primary driver in the decision to outsource, what are the potential implications of this material change? Joel Forbes, Managing Director – Head of Operational Risk Management, NatWest Markets U.S.
  • Operational Risk: Success Transfer from Banking to Insurance – Vivek Tyagi, Former Bank of America
  • Third party risk management – Glenn Hursh, MD, KPMG
  • Importance of incorporating stochastic modelling approaches in risk assessment – Anya Kutsina, Co-Founder, Executive Director, Global Business Development, URS
  • The imperative and opportunity to align between IT Risk, Operational (Business Process & Compliance Risk) and Strategic Risk – Abby Hakim, Senior Manager, Data-Driven GRC, ACL
  • ERM oversight challenges – Richard Pike, CEO, Governor Software
  • CCAR – ORM focus and challenges – Lyndsay Byun, Former Head of Operational Risk Assurance, Santander

…more Roundtables to be released!

LINES OF DEFENSE
1:30 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
Glenn Hursh, Managing Director,  KPMG

RCSA
1:30 Devloping a successful Business Driven RCSA

  • Business adoption approach
  • Business Risk Framework
  •  Execution approach
  • Transformation and skill development

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

LINES OF DEFENSE
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
Glenn Hursh, Managing Director,  KPMG

DOUBLE SESSION
2:10 GRC implementation and best practices

  • Evaluation Methodology
  • Importance of Data Management
  • Identification of Executive Sponsors
  • Establishing Governance Structures

Mihir Trivedi, Director for Operational Risk, Nuveen
Abby Hakim, Senior Manager, Data-Driven GRC ACL

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

SESSION CONTINUED
2:50 GRC implementation and best practices

  • Evaluation Methodology
  • Importance of Data Management
  • Identification of Executive Sponsors
  • Establishing Governance Structures

Mihir Trivedi, Director for Operational Risk, Nuveen
Abby Hakim, Senior Manager, Data-Driven GRC ACL

3:30 Afternoon refreshment break and networking

FRAUD & CYBER SECURITY
4:00 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

TECHNOLOGY
4:00 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

Sandeep Maira, Head, Enterprise Risk Technology, BNY Mellon

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
Sandeep Maira, Head of Enterprise Risk Technology, BNY Mellon

Stephen Woitsky, SVP, Operational Risk, Bank of the West

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 lie
  • Advanced modelling approaches
  • Approaches in large Vs. smaller financial institutions

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

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

Chair: Glenn Hursh, Managing Director, KPMG

KEYNOTE ADDRESS
09:00 The future of operational risk

Significance of SMA proposal
Op Risk management aside from capital
What Op Risk management has accomplished so far
Behavioural thinking and analytics
Keeping ahead of changes
Challenges and opportunities on the horizon

Richard Cech, Senior Bank Examiner, Operational Risk Governance, 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

Chair: Glenn Hursh, Managing Director, KPMG


11:00 Operational risk management: Emerging challenges and changing landscape

  • Non vendor third party risk
  • Bank-as-a-service and financial technology drivers
  • Governance and oversite for overseas and offshore risk
  • Basel’s focus on conduct risk and regulatory technology
  • New Regulatory Initiatives

Candice Nonas, Managing Consultant, RGP

STREAM 2
Enterprise Risk Management

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


11:00 Aligning 3rd party risk management with your ERM strategy through controls-driven assessments

  • Resource constraints – The importance of balancing your SME resources on high risk third parties while continuously monitoring tier 2 or more
  • Spread sheets are not the answer – Leveraging technology to enable risk-appropriate due diligence and creating a centralized program with a 360 degree view of your third party risk
  • Developing third party risk reporting that aligns with your overall ERM strategy

Dov Goldman, VP of Innovation and Alliances,  Opus

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

Jean-rodolphe Guis, Director, Risk Management Combined US Operations, BNP Paribas
Elaine Hutchinson, Director, Enterprise & Operational Risk Management, MUFG Securities

12:30 Lunch break and networking

RCSA
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

IT RESPONSE
1:20 Understanding Enterprise IT Incidents, downstream impacts, and how it relates to ERM

  • Capturing business impact across the different lines of business and aggregating impact at an enterprise level
  • Mapping incidents to metrics, controls, and risks in order to effectively challenge
  • Determining downstream and/or indirect impacts from an IT incident
  • Using trending analysis of IT Incidents as a prioritization tool and aid in determining criticality
  • Facilitate communication between IT and the business to drive effective remediation

Ian Lassonde, ERM Program Manager for Production Services, TIAA

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

Hafsteinn Gislason, VP, Risk Management, CIT
David Lamar,
Managing Director, Scenario Design, BNY Mellon
Dominique Benz, Director, Mizuho

PANEL DISCUSSION
2:10 Advances in Quantitative ERM: Stochastic methods in credit risk modelling and evaluation of capital needs

Led by, URS with Guest Speakers

3:00 Afternoon refreshment break and networking

COMPLIANCE
3:00 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


3:00 Creating and implementing Key Indicators at an Enterprise, Business and Process level

  • Differences between KRIs and Key Performance Indicators
  • Root causes as they relate to KRIs
  • Framework for developing KRIs
  • Challenges in developing KRIs
  • Identify characteristics of successful KRIs
  • Identify sources of information
  • Assess KRI monitoring, communication and value

Stephen Woitsky, SVP, Operational Risk, Bank of the West

4:50 Chair’s closing remarks

5:00 End of day two

Laz Barreiro

Laz Barreiro, Director of Governance and Operational Risk Policy, OCC

Lazaro Barreiro is the Director for Governance and Operational Risk Policy within the Operational Risk Policy Division at the Office of the Comptroller of the Currency’s (OCC).
In this role, Mr. Barreiro manages a team responsible for establishing governance and operational risk policy and guidance for the agency. He assumed these duties in 2016.
Prior to his current role, Mr. Barreiro served as an Assistant Deputy Comptroller for the OCC’s Pittsburgh Field Office. He has more than 31 years of financial services examination experience with the OCC, the former Office of Thrift Supervision, and the Securities and Exchange Commission.
Mr. Barreiro holds a bachelor’s degree in finance from Florida State University and an MBA in information technology from Barry University.

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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, Former Santander

Lyndsay is a highly valued Financial Services professional with over twelve years of relevant experience within Financial Service industry. She has been successful in addressing large scale regulatory concerns and carrying out financial statement audits, compliance assessments and internal control risk assessments at various global business operation sites. Prior to Santander, Lyndsay worked at several global consulting firms including EY, Protiviti and PwC focusing on external and internal audit, risk management and regulatory and compliance consulting space. Lyndsay is a Certified Public Accountant, Certified Anti-Money Laundering Specialist and Certified Risk Management Assurance professional. Lyndsay has a Master of Science in MIS from Boston University.

Clarice-Carotti

Clarice Carotti, Head of Market, Liquidity and Operational Management, Intesa Sanpaolo New York Branch

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, Head of Operational Risk and ERM, SVP, Investors Bank

Ann has over 20 years of experience in financial services in various roles within accounting and risk management. Ann is currently the Head of Operational Risk and ERM at Investors Bank. She is responsible for building out an operational risk framework for the bank. Additionally, Ann oversees both Fraud and Third Party risk management for the bank. Prior to joining Investors Bank, Ann spent 19 years at Nomura Holding Americas in various role risk management roles. Ann has a BSA in Accountancy from the Villanova College of Business.

Richard Cech

Richard Cech, Senior Bank Examiner, Operational Risk Governance, Federal Reserve Bank of New York

Rick is a Senior Bank Examiner. He joined the Operational Risk Governance unit at the New York Fed in December, 2011 in the Supervisory Group.
Rick’s career began as a municipal finance attorney and investment banker at J.P. Morgan & Co. In the late 1990s, he joined J.P. Morgan’s original operational risk development team, responsible for framework development and internal loss data. Later, Rick joined RiskBusiness International as an risk framework consultant.
Rick has been a writer, speaker and business school instructor on operational risk topics. He received a B.A. (Economics) and M.A. (Organizational Behavior) from Yale University, and a J.D. from University of Connecticut School of Law (Law Review, lead articles editor).

Mark Deluca

Mark Deluca, SVP, Opus

Mark has spent over two decades in the enterprise software market. At Opus, Mark is responsible for driving revenue growth and building a world-class sales organization. Prior to Hiperos, Mark built and ran the Eastern Region sales team at Aravo, a supplier information management software company. At Aravo, Mark’s team increased the company-wide subscription revenue by over 75%. Prior to Aravo, Mark was a senior manager in Accenture’s business process outsourcing sales organization. Before joining Accenture, Mark spent seven years at Ariba, where he was consistently one of the top-producing account executives. Prior to Ariba, Mark was at PeopleSoft. Mark’s sales career started at ADP where, during his 12-year tenure, he made President’s Club every quota-carrying year.

Pamela Feldstein

Pamela Feldstein, Capital Planning and Enterprise Risk Leader, GE Capital

Pam joined GE Capital in August 2013 and currently leads GE Capital’s Capital Planning and Enterprise Risk team. In this role, she leads a team responsible for Capital Planning, Enterprise Risk, Operational Risk, Internal Controls and Data Management Programs as well as Risk Operations. Previously, Pam served as GE Capital’s Capital Management COO. In this role, she led a team responsible for the strategy, development and delivery of GE Capital’s annual capital plan and the governance mechanisms and communication of capital planning capabilities to the senior leadership team and board.
Prior to joining GE Capital, Pam spent 20 years on Wall Street, most recently as Managing Director, Enterprise Capital Adequacy at Bank of America. Prior to BAC, Pam was Head of Capital Management for the Americas at Barclays. Prior to Barclays Pam held a variety of roles across Merrill Lynch focused on capital management and risk management. Pam earned her Bachelors of Arts degree from Barnard College in European Studies.

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

Joel Forbes joined NatWest Markets (RBS) in 2008 and is currently the Head of Operational Risk for NatWest Markets in the U.S. He has 30 plus years of Financial Service Industry related experience having worked in a variety global and regional roles across Risk, Finance and Operations.

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Hafsteinn Gislason, Head of Enterprise Risk Technology, CIT 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.

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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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Dov Goldman, VP of Innovation and Alliances, Opus

Dov Goldman is VP, Innovation & Alliances for Opus, the leading provider of innovative compliance and risk management solutions. He is an expert in regulatory compliance and information security, and is responsible for the company’s Third Party Management (3PM) Information Security and CyberRisk strategy, focused on the Hiperos 3PM product line. He advocates a strategic, controls-based approach to infosec risk, based on his ongoing work with Chief Information Security Officers and IT vendor risk professionals, and speaks regularly on how organizations can free themselves from infosec risk.
Prior to joining Opus, Dov played a key role in the creation and marketing of a solution for anti-bribery and corruption-focused third party management.  He has a background in software development and deep experience implementing multiple generations of technology solutions.

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

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

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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.

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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.

Jean Rodolphe Guis

Jean-rodolphe Guis, Director, Risk Management Combined US Operations, BNP Paribas

Jean-Rodolphe Guis – Risk Director at BNP Paribas USA. Jean-Rodolphe has a master degree of science in engineering from one of the top tier engineering school in France. After a PhD preparation, he started to work in consulting for PwC in the banking regulatory space. He spent a few years at Oliver Wyman as strategic finance and risk senior manager. And he joined in 2009 BNP Paribas in Paris to contribute to the Group Risk Function expansion. Four years ago, he joined the New York office to take care of the Dodd-Frank Act risk component including capital stress testing and risk identification who he is still leading for the Americas.

Abby Hakim

Abby Hakim, Senior Manager, Data-Driven GRC, ACL

Abby is part of ACL’s enablement team based in Vancouver, Canada. He leads larger-scale implementation and adoption projects for ACL’s data-driven GRC platform. Prior to joining ACL, Abby spent over 20 years at KPMG providing risk consulting services to customers in the UK and Canada for predominantly financial services clients. His experience included leading project assurance services for large banking system implementations, leading service organization controls (SOC) audit engagements and leading IT Internal Audit co-sourcing engagements. Abby leverages his extensive domain, customer and project management experience to help ACL customer define, articulate and achieve their long-term objectives.

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Elaine Hutchinson, Director, Enterprise & Operational Risk Management, MUFG Securities

Elaine will be presenting at the Operational & Enterprise Risk Management Congress.

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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.

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Glenn H. Hursh, Managing Director, KPMG LLP

Glenn is a Managing Director in KPMG LLP’s Financial Services Risk Consulting practice in the Pittsburgh office. Glenn has over 25 years of experience in the financial services industry, including 12 years in industry serving in various management and senior management positions in internal audit and regulatory compliance. Glenn also has over 15 years of experience providing enterprise and operational risk management implementation and assessment services, as well as internal audit other risk consulting services to several regional and super-regional financial institutions.

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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.

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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.

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

Dave Lamar is the manager of the Scenario Design group within the Risk Management and Compliance Department of BNY Mellon Corporation. Dave has responsibility for the scenario development aspects of the enterprise-wide stress testing program, including the Comprehensive Capital Analysis and Review (CCAR) process.

Dave has over 35 years of banking experience including stints as a business line CFO, as manager of investor relations, and in corporate strategy. He has been in Risk & Compliance since 2004 and has managed the Bank’s risk-based capital adequacy assessments, coordinated its enterprise-wide stress testing program including the CCAR submissions, and its implementation of the Basel capital accords. In addition he has served as Chief Administrative Officer for Enterprise Risk, including responsibility for the enterprise-wide Model Risk Management program.

Ian Lassonde, ERM Program Manager for Production Services, TIAA.

Ian Lassonde is a Senior Associate at TIAA in Enterprise Risk Management focused on IT Risk Management. He works closely with IT, Risk, and the TIAA Lines of Business in order to identify and analyze the business impact of various IT incidents and provide useful information back to the larger risk team. Prior to his role at TIAA, Ian was the founder of Fifth Law LLC, a cyber-security company. Ian was also an officer in the United States Marine Corps and a graduate of the United States of Naval Academy, with a degree in computer science.

Sandeep Maira, Head of Enterprise Risk Technology, BNY Mellon.

Sandeep is responsible for managing Enterprise Risk, Compliance and Financial Regulatory Reporting Technology at BNY Mellon. In this capacity he is responsible for defining and implementing the technology strategy and architecture for these areas. The functions aggregate and report risk, financial and compliance information across the lines of businesses within the firm. He implemented data sourcing, calculation and aggregation platforms across all major risk domains including credit risk, operational risk, market risk and liquidity risk. He also helped define the data architecture for risk and regulatory reporting, with the goal of ensuring that it could be used at the enterprise level.

Sandeep also oversees other risk related platforms including for operational risk monitoring, credit ratings, economic capital and reserves. In addition, he is responsible for the CCAR strategic technology effort.

Prior to BNY Mellon, he was head of risk technology at JP Morgan Asset Management. In earlier roles he worked at Citigroup and Lehman Brothers in derivatives, FX and margining related areas. While at Citigroup, he also worked on an electronic cash initiative that was an early predecessor to Bitcoin. He has Bachelor’s and Master’s degrees in Computer Science from Cornell University.

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Greg Maslov, CRO Change, Credit Suisse

Greg Maslov is currently responsible for the target technology and business process delivery related to Data Quality and Data Enrichment/Transformation required to run CRO Risk Measures. Greg is also an active participant in the CS evolution of Data Ownership and Usage; and the control framework under dual FRTB v V@R regimes. Before this role, Greg was the US CRO Program Head responsible for the formation of the CRO Office under the IHC and CCAR Stress Testing covering IMS, GMS and the 9Q Loss and RWA projections. Greg delivered the Strategic CRO Business and Technology transformation at Barclays before joining CS.

Conall McGonall
Conall McGonagle, COO/ CFO, KBC USA

Having begun his career with KPMG as Financial Services Audit Manager this provided a good rounding for Conall’s career with KBC which has allowed him to work in Ireland, Belgium, and New York. During this time with KBC Conall has held such roles as Chief Audit Executive and CRO prior to becoming the COO/CFO for KBC USA.  Conall is also the NYC Chapter head of the Association of Chartered Accountants in the United States (“ACAUS”).

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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.

Candice Nonas

Candice Nonas, Managing Consultant, RGP

Candice Workman Nonas is a Managing Consultant at RGP and veteran in the financial services industry. She has worked on many operational risk management challenges posed by various Dodd Frank initiatives including Comprehensive Capital Analysis and Review; and Resolution and Recovery Planning; and the Volcker Rule. Prior to RGP she was at the Federal Deposit Insurance Corporation in their Office of Complex Financial Institutions where she reviewed the resolution plans of Global Systemically Important Financial Institutions.

Ms. Nonas is a graduate of Columbia University in the City of New York and resides in Norwalk Connecticut.

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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.

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Richard Pike, CEO, Governor Software

Richard has extensive experience of working with financial institutions throughout the world, assisting companies in managing enterprise risk more efficiently while addressing local regulatory guidelines and standards.  He is currently an Independent Non Executive Director at PermanentTSB Bank plc. and has previously worked in various senior banking, insurance, credit and market risk roles at Wolters Kluwer Financial Services, ABN AMRO, Bain, COMIT Gruppe and Quay Financial Software.  He has analysed, designed and managed the development of core treasury and enterprise risk management systems for large financial institutions, including UBS, Citibank, Schroders and Unicredito. In 2009, Richard was recognised as a “Top 50” Face of Operational Risk by Op Risk & Compliance magazine and was a contributing author to two books on risk management.  He is also a board member of the Governance, Risk and Compliance Technology Centre which focuses on research in the area of financial services governance, risk and compliance. Richard has also received the designation of ‘Certified Bank Director’ by the Institute of Banking.

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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.

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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.

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Craig Speilmann, Former Global Head of Enterprise Risk Management Strategy at 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). Craig is the former 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

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Mihir Trivedi, Director for Operational Risk, Nuveen

Mihir Trivedi has 15+ years in roles spanning technology and risk management. Currently, he is responsible for Nuveen’s risk appetite statement and reputation risk framework. Along with that, Mihir is accountable for the implementation of the operational risk framework for Nuveen’s real estate business in the Americas. His experience has led him to gain experience in the management and implementation of various GRC solutions. Prior to joining Nuveen, Mihir spear-headed the efforts in the replacement of JPMorgan’s enterprise operational risk platform and managed the RCSA process for their Asset Management business.

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Vivek Tyagi, MD, Head of Risk Management, Global Transaction Services, Former Bank of America Merrill Lynch

Vivek Tyagi is Managing Director, Head of Risk Management for Bank of America Merrill Lynch’s Transaction Services group – a Fortune 350 equivalent business division. In this capacity Vivek is responsible for all business risks globally, including Credit, Operational, Regulatory Compliance, AML, Market and Strategic risks. Previously, Vivek served as Chief Risk Officer and division risk executive at JP Morgan, Genworth Financial and Citigroup

Daniel Ward

Daniel Ward, Head of CIB US Model Risk Management, 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 rms, including as a trader at Goldenberg, Hehmeyer and Co. focusing on xed 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.

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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

stephen woitsky

Stephen Woitsky, SVP, Operational Risk, Bank of the West

Hands-on and results-driven Risk Management Executive with 20+ years of leadership expertise in internal audits, regulatory compliance, controls, and overall strategic audit planning/execution for companies such as CLS Bank, Credit Suisse and UBS.

Active volunteer with Bridges Outreach since 2015 focusing on the Newark Run, providing input into the strategic planning process and doing fundraisers with local businesses and schools.

Fordham Graduate Business School – MBA In Accounting, MBA in Corporate Finance.

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

5th October 2017

The three lines of defense, roles and responsibilities

By Glenn Hursh, Managing Director at KPMG LLP.
4th October 2017

Operational risk management: Emerging challenges and changing landscape

By Candice Nonas, Managing Consultant at RGP.
18th September 2017

Supercharging your ERM/risk program

31st August 2017

Governance of your Enterprise Risk Management: How to stay in control of your ERM programme and prove it

23rd August 2017

Managing risk in the digital age

23rd August 2017

Scenarios for Operational Risk: Improving quantitative aspects

29th June 2017

Operational Risk Management – how can its activities add value along the way?

27th June 2017

Utilizing stress testing and ERM as a function

26th June 2017

2nd line oversight responsibilities

26th June 2017

Enterprise Risk Management: Incorporating into strategy

26th June 2017

Leveraging RCSAs to promote a strong first line risk culture

13th June 2017

Data protection and security through improved risk assessments and monitoring approaches

12th April 2017

Using operational & enterprise risk management as value added exercises beyond regulatory compliance

16th March 2017

Supercharging your ERM Program

15th March 2017

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

Co-Sponsors


ACL


ACL is a global software company with innovative solutions to help risk professionals keep their processes in check and protect their organization’s reputation. Through a unique combination of extreme ease-of-use, cloud delivery and the integration of industry standard risk analytics, ACL’s platform helps organizations manage risks and assure effective governance. Learn more at our booth and www.acl.com.

Governor Software


Communicate your obligations, understand your status and prove your compliance – A key component of good Governance is good oversight. The key challenge to good oversight for medium and large institutions in heavily regulated industries is the communication of the obligations set out by external and internal stakeholders, and the subsequent proving of adherence to those same stakeholders.
We have a simple to use solution that enables financial services companies to enhance their oversight capabilities by 1) effectively communicating their internal and external obligations and 2) minimising the cost/time of collating and presenting proof of compliance.
Governor Software provides clients with the ability to deconstruct regulations, frameworks and policies into visual maps that clearly communicate the obligations that require oversight and then to be able to track the changes as they are made to the obligations. Secondly the solution provides the 1st line of defence with Key Indicators and assessment points, in order to record compliance and areas of concern, which may be interfaced to your internal systems. It enables business updates and comments to flow back to the 2nd line in a seamless manner. Finally, it presents the status of individual and overall compliance in the structure of the original regulation, framework or policy. All of this is completed in a structured and auditable process so that review and audit becomes less fraught. Unlike the current piecemeal approach, using spreadsheets, presentations and email, which makes creating a structured, comprehensive and auditable oversight process, either impossible or extremely inefficient.
For Senior Risk & Compliance Executives who want to minimise the cost and enhance the quality of oversight at their firm.

KPMG


KPMG LLP, the audit, tax and advisory firm, is the U.S. member firm of KPMG International Cooperative (“KPMG International”). KPMG is a global network of professional firms providing Audit, Tax and Advisory services. We operate in 155 countries and have more than 174,000 people working in member firms around the world. Our high-performing people mobilize around our clients, using our experience and insight to deliver informed perspectives and clear methodologies that our clients and stakeholders value. Our client focus, commitment to excellence, global mind- set, and consistent delivery build trusted relationships that are at the core of our business and reputation.

Opus


Opus was founded on a simple premise: that faster, better decisions in compliance and risk management could give businesses an extraordinary advantage in the marketplace.

Today, the world’s most respected, global corporations rely on Opus to free their business from the complexity and uncertainty of managing customer, vendor, and third-party risks.

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

RGP


The world’s leading banks and financial institutions trust RGP with their most pressing initiatives. Partnering with business leaders, we drive internal change across all parts of the global enterprise and help devise comprehensive strategies to mitigate credit, market and operational risk. Through our agile business model RGP offers integrated services across a broad spectrum of disciplines, bringing deep expertise and proven methodologies developed over years of functional and managerial experience.

URS


Ultimate Risk Solutions (URS) is the world’s leading independent provider of risk modelling solutions. Risk ExplorerTM, the company’s flagship product, is the Dynamic Financial Analysis technology used by leading insurers, reinsurers, brokers, and consultants worldwide.

Exhibitor


ProcessUnity


ProcessUnity’s cloud-based solutions help organizations of all sizes automate their risk and compliance programs. Our highly configurable, easy-to-use tools significantly reduce manual administrative tasks, allowing customers to spend more time on strategic risk mitigation. As a software-as-a-service technology, ProcessUnity deploys quickly with minimal effort from customers and their IT resources. The inherent efficiency our technology delivers faster, better results, and the ability to scale governance, risk, and compliance programs over time. Learn more at www.processunity.com.

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:


New York Institute of Finance

Venue

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

Earn up to 15 CPE credits

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See us in action…

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

  Early Bird Standard Rate
Operational & Enterprise Risk Management 2017
October 19-20, 2017
$1,599
Register by September 29
(save $400)
$1,999
Registrations after September 29

I want to register for the ERM Masterclass

Early Bird Standard Rate
Supercharging Your ERM Program Masterclass
October 18, 2017
$899
Register by September 29
(save $100)
$999
Registrations after September 29

I want to register for the Congress and ERM Masterclass

Early Bird Standard Rate
Masterclass + Congress
October 18-20, 2017
Save an extra $100 when registering for both!
$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.


Should you have any questions regarding registering, please contact the Center for Financial Professionals, please contact us on +1 888 677 7007 (US) or +44 (0)20 7164 6582, or email info@cfp-events.com


Accommodation:

We have a preferential rate for our attendees starting from $349++. 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

Keep Updated

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Interested in Operational and Enterprise Risk Management but not ready to register? Click here to keep updated

Co-Sponsors

RGP

Exhibitor

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