Managing the increasingly complex operational risk environment and evolving best practices

OPERATIONAL RISK MANAGEMENT USA

7th Annual | October 12-13, 2022 | New York City

RESILIENCE
Reviewing requirements for operational resilience and developing agile programs in a changing environment

THIRD PARTY RISK
Enhancing control environment across supply chains and managing exposure to vendor and third party risks

DATA PRIVACY
Managing evolution of data privacy requirements and alignment of expectations across jurisdictions

SOCIAL
Understanding what social represents in an ESG context and driving agendas across business lines

QUANTIFICATION
Leveraging scenario analysis and quantification methods to better identify impact of disruption

RCSA
Conducting impactful RCSAs to identify material risks

BUSINESS CONTINUITY
Enhancing business continuity planning in a volatile global environment

MODEL RISK
Managing continuous evolution of model risk with increased digitalization

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Sabeena Liconte
Chief of Compliance
ICBC

Gregory Vinton

Gregory Vinton
Director, US Controls, Operational Risk Management
Scotiabank

Aielleen Fajardo

Aielleen Fajardo
Managing Director, Head of Internal Investigations
TIAA

Stephen_Woitsky

Stephen Woitsky
VP, Operational Risk Officer
Wells Fargo

Michael-Reidy

Michael Reidy
Head of Risk Appetite and Reporting
Societe Generale

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Nick Diieso
Director Global Head of Operational Risk – ICG Ops, Markets and Securities Services
Citi

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Chris Smigielski
Director of Model Risk Management
Arvest Bank

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Paul Clarke
Segment Director, Operational Risk Management
TD Bank

CAN YOUR ORGANIZATION CONTRIBUTE?

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. For more information on what we can offer, please contact chris.simou@cefpro.com or call us on +1 888 677 7007 ext. 207 where a member of the team will be happy to tailor the right package for you.

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8:15 Registration and breakfast

8:50 Chair’s opening remarks

RESILIENCE – PANEL DISCUSSION

9:00 Reviewing requirements for operational resilience and developing agile programs in a changing environment

Session details 

  • Identifying overlap between risk and IT processes
  • Evolution of resilience program post pandemic
  • Inclusion of political disruption within resiliency
  • Testing plans and recovery to limit disruption
  • Requirements for mapping processes and controls
  • Evaluating criticality in resilience requirements
  • Identifying resilience challenges across supply chain

Sabeena Liconte, Chief of Compliance, ICBC

Gus Ortega, Head of Operational Risk Management, Voya Financial

Jack Sprague, SVP, Operational and Resilience Risk, HSBC USA

THIRD PARTY RISK

9:45 Integrating third party risk with operational resiliency

Session details 

  • Session to come

Gregory Vinton, Director, US Internal Controls, Third Party Risk, Scotiabank 

Preety Tulsain, Head of Third-Party Risk US/ Enterprise Risk, Scotiabank

10:20 Morning refreshment break and networking

THIRD PARTY RISK – PANEL DISCUSSION

10:50 Enhancing control environment across supply chains and managing exposure to vendor and third-party risks

Session details 

  • Enforcing proper processes for delivery
    • Mitigating introduction of additional risks
  • Monitoring access to data across organization boundaries
  • Developing adequate control mechanisms
    • Controls to address incidents firms are experiencing
  • Managing compliance of contracts
  • Communicating incidences in a timely manner
  • Managing instances that expose the firm to reputation risk
  • Corrective action and remediation steps in real time

Aielleen Fajardo, Managing Director, Head of Internal Investigations, TIAA

Jeremy Resler, SVP, Director Third Party Risk Management Governance, US Bank

Sri Intan, Head of Vendor Risk Management, Commerzbank

CYBER

11:35 Monitoring exposure to cyber threats across the organization to enhance response

Session details 

  • Cyber incident notifications
    • Impact to banks and third-party service providers
  • Alignment of privacy regulations
  • Managing third party cyber risks
  • Heightened risk of state sponsored attacks with Russia conflict
  • Managing vulnerabilities in a WFH/Hybrid environment
    • Increased reliance on vendors
  • Anti-phishing campaigns to educate employees
  • Increased use of ransomware attacks

DATA MANAGEMENT

12:10 Leveraging data as a tool to enhance operational risk controls and tailor customer experience

Session details 

  • Developing a data governance process
  • Impact of privacy on data programs
  • Data security practices across vendors
  • Managing data in an increasingly digital world
  • Operationalizing risk data
  • Developing for advanced and predictive analytics
  • Challenges with client reference data
    • Implications of having bad reference data at the source on consumers of data

Michael Ivie, MD, Head of FS Consulting, Phyton Consulting 

12:45 Lunch break and networking

CLOUD

1:45 Maintaining control and oversight over in a cloud environment

Session details 

  • Leveraging cloud providers
  • Meeting demands faced by large financial institutions
  • Reliance on cloud providers to mitigate operational risk
    • Technology support
  • Understanding the distinction between public and private cloud
  • Level of rigor relating to data privacy
  • Intrinsic risks from controls over public vs. private cloud

DATA PRIVACY

2:15 Managing evolution of data privacy requirements and alignment of expectations across jurisdictions

Session details 

  • Protection safeguards for employee data and customers
  • Mitigating risk of unintentional data transmission to unauthorized persons
  • Reviewing local and global regulations
  • Staying abreast of changes in legislation
  • Understanding impacts and developing best practice

ESG

2:50 Reviewing global regulatory requirements and expectations towards ESG and synchronization across regimes

Session details 

  • Vetting decisions on investments
  • Managing constantly changing global expectations
  • Building out new functions to manage ESG
  • Developing sustainability frameworks
  • Impact on operational risk practices
  • Increased business continuity processes
  • Monitoring products for green bonds
  • Profile/portfolio monitoring and transitioning

3:25 Afternoon refreshment break and networking

SOCIAL

4:30 Understanding what social represents in an ESG context and driving agendas across business lines

Session details 

  • Managing social challenges
  • Changing definitions of social across business lines
  • Drawing commonalities of themes
  • Keeping up with changing regulatory initiatives and expectations
  • Best practice to manage expectations with stakeholders
  • Responsibility to understand impact

Ameet Barve, Managing Director & Management Board Member, Former Lloyds

REPUTATION

5:05 Protecting reputation in a politically charged environment and managing evolution of customer expectations

Session details 

  • Monitoring for reputation risk
  • Vetting scenarios before taking public stance
  • Identifying key risks
  • Monitoring media, social media and news outlets
  • Aligning investment values with customer values
  • Identifying leading indicators for reputational risk

5:40 Chair’s closing remarks 

5:50 End of day one and networking drinks reception

8:15 Registration and breakfast

8:50 Chair’s opening remarks

GEOPOLITICAL RISK

9:00 Managing uncertainty in a volatile geopolitical environment

Session details 

  • Managing risks with evolving volatility
  • Financial services in international conflict
    • Impact of swift system limitations
  • Best practice to anticipate political risk
  • Scenario analysis of impact to firms

QUANTIFICATION – PANEL DISCUSSION

9:35 Leveraging scenario analysis and quantification methods to better identify impact of disruption

Session details 

  • Leveraging historical data to quantify damage
  • Quantifying reputation risk
  • Measuring business interruption
  • Capabilities to run additional scenario
  • Developing quantifiable stress scenarios
  • Developing scenarios applicable to business units
  • Regulatory expectations on scenarios
  • Identifying large scale impact scenarios

Jason Conn, Head of Electronic Trading Risk Governance, Citi

Craig Spielmann, Risk Intelligence Leader, CNM LLP

10:15 Morning refreshment break and networking

RISK APPETITE

10:45 Setting risk appetites within the organization and setting firmwide expectations and monitoring metrics

Session details 

  • Making decisions based off of appetite
  • Leveraging systems data and people structure
  • Continuous monitoring of risks
  • Developing readily available data programs
  • Reliable and quantifiable data
  • Developing metrics for cyber risk

Stephen Woitsky, VP, Operational Risk Officer, Wells Fargo

RCSA

11:20 Session to come

Session details 

  • Session to come

David Box, Vice President, Single Family Operational Risk, Fannie Mae

RCSA – PANEL DISCUSSION

11:40 Conducting impactful RCSAs to identify material risks

Session details 

  • Adopting a risk-based approach
  • Prioritizing critical processes to identify inherent risk
  • Identifying effectiveness of key controls to mitigate risk
  • Reviewing regulatory expectations

James Serinese, Head of Front Office Risk and Control and Operational Risk, Scotiabank

David Box, Vice President, Single Family Operational Risk, Fannie Mae

Javier Adolfo Ortiz, Chief, Financial Control & Operational Risk Management Unit, Inter-American Development Bank

Hafsteinn Gislason, Director, Operational Risk, Silvergate Bank

12:35 Lunch break and networking

BUSINESS CONTINUITY

1:35 Enhancing business continuity planning in a volatile global environment

Session details 

  • Lessons learnt from Covid-19
  • Uses of disaster recovery sites post pandemic
    • Move to WFH as DR site
  • Providing evidence of business continuity testing
  • Aligning with controls
  • Ongoing changes across the industry
  • Updating policies to reflect changes in working practices

Javier Adolfo Ortiz, Chief, Financial Control & Operational Risk Management Unit, Inter-American Development Bank

REAL TIME MONITORING

2:10 Enhancing capabilities of operational risk through real time monitoring capabilities

Session details 

  • Designing processing systems to generate real time information
  • Developing tighter oversight
  • Leveraging as a tool to develop operational health
  • Real time risk identification
  • Identifying key metrics
  • Generating data streams more easily

Michael Reidy, Head of Risk Appetite and Reporting, Societe Generale

2:45 Afternoon refreshment break and networking

CRYPTOCURRENCY

3:15 Reviewing industry approaches to cryptocurrency uses and future opportunities

Session details 

  • Understanding central bank digital currencies
  • Developing a lexicon to define crypto assets
  • Managing disruptions from the crypto space
  • The role of financial institutions in cryptocurrency
  • Impact of stablecoins falling below $1
  • Diversifying portfolios to move into crypto
  • Developing frameworks to manage moving parts

Nick Diieso, Director Global Head of Operational Risk – ICG Ops, Markets and Securities Services, Citi

MODEL RISK

3:50 Managing the continuous evolution of model risk with increased digitalization

Session details 

  • Building blocks to digitalization
  • Innovation driving increased model complexity and use
  • AI/ML approaches generating operational risk consequences
  • Latest regulatory expectations regarding model risk across the risk appetite
  • Collaboration and integration with third party risk, change management & RCSA’s
  • Evolving operational risk programs

Chris Smigielski, Director of Model Risk Management, Arvest Bank 

TECHNOLOGY – PANEL DISCUSSION

4:25 Enhancing technology capabilities to enhance efficiency and develop agility in a competitive market

Session details 

  • Disruption to existing products and processes
  • Developing algorithms to enhance efficiency
  • Leveraging technology capabilities as a tool to view risk holistically
  • Managing data requirements and ensuring accuracy of data sets
  • Managing end of life of a technology
    • Communicating to impacted businesses
  • Quantum computing
    • Changes to data encryption on the horizon

Robert O’Connell, Director, Operational Risk Management, Citi

Paul Clarke, SVP US Operational Risk Management, TD Bank 

Gus Ortega, Head of Operational Risk Management, Voya Financial

5:10 Chair’s closing remarks

5:20 End of Congress

More thought leaders to be added. Click here to stay up to do date.
Ameet Barve

Ameet Barve
Managing Director, Risk Management
Lloyds Banking Group

Biography

Managing Director with progressive leadership roles across first, second, and third lines of defense spanning Asia, Middle East, Europe, and United States. Most recently company director and management board member with oversight of end-to-end risk, finance, information security, and leadership of European investment firm in Germany. Repeated success in re-engineering front to back processes to improve risk management and operational efficiency. Thrive in ambiguity and undefined functions, navigating through complexity and barriers to achieve strategic organizational goals.

David Box

David Box
Vice President, Single Family Operational Risk
Fannie Mae

Biography

Business transformative leader and trusted advisor with proven record of success driving engagement and positive performance. Direct development and implementation of strategies that establish a foundation for transparent, cost effective, and risk managed operations. Oversee initiatives from concept to full execution, working across internal boundaries, driving for the timely adoption of new ideas. Receive ongoing recognition as proactive leader and team mentor, creating environments that embrace positive change and drive accountability for results. Reputation for value creation while bringing passion and collective energy to create a team culture of shared purpose. Consistently recognized for strategic leadership, management system effectiveness, and ability to get the job done with an unwavering proactive drive for results. Lead teams to identify and solve problems.

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Paul Clarke
Segment Director, Operational Risk Management
TD Bank

Biography

Paul Clarke has been with TD Bank since 1993 in various roles in Risk Management, Technology and TD Wealth.

Paul is currently responsible for the Operational Risk oversight and independent challenge of the TD Bank US Corporate & Shared Services portfolio, including Cyber/Tech, Fraud, Third-party, Corporate, Payments, and Shared Services. As a strategic business partner, Paul also participates and supports their strategy development and implementation efforts with an independent view to ensure these functions operate within Risk Appetite.

Prior to his current appointment, Paul held roles as VP/Head of Operational Risk Management for North American Direct Channels & Payments & Fraud, as Head/VP of ORM for TD Wealth Management, and as Associate Vice President, Technology Risk Management & Information Security supporting TD Wealth, TD Bank US, and TD Securities, successively. Paul has also held technology platform ownership roles and business leadership roles in TD Wealth.

Paul graduated from the University of Toronto with an Honors Bachelor of Arts in Economics & Industrial Relations.

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Jason Conn
Deputy Head of Operational Risk Management, ICG
Citi

Biography

Experienced operational leader within Financial Services, with a history of success in large scale program development and process optimization. Jason takes pride in being a leader of high performing teams and organizations and getting things done.

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Nick Diieso
SVP, OR- Markets and Securities Services / Institutional Clients Group
Citi

Biography

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

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Aielleen Fajardo
Managing Director, Head of Internal Investigations
TIAA
Biography

Aielleen is the Head of Internal Investigations for TIAA. Prior to joining TIAA, she was the Head of Regulatory Compliance for North America and Global Head of Personal Conflicts Management at Fitch Ratings, Inc. Aielleen has served as a managing director and in-house counsel for BNY Mellon, overseeing complex and high-profile regulatory enforcement matters and internal investigations. She was also a litigation attorney at several law firms based in California and New York, including Cadwalader, Wickersham & Taft. She holds a Bachelor of Arts in political science from Yale University and a Juris Doctor degree from UCLA School of Law.

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Hafsteinn Gislason
Director Operational Risk
Silvergate Bank

Biography

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 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. In recent years he has had the opportunity to play a key role in convergence that broadens the scope of the Operational Risk Framework to other Enterprise Risk areas.

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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Andy Golub
SVP, Risk Lead ESG
CIT (a division of First Citizens Bank)

Biography

Andy Golub started his career as an accidental banker, arriving at Wall St during the go-go 1990s after studies at the University of Chicago looking at the intersection of history, anthropology and economics. He spent 15 years up to the Great Recession supporting structured finance solutions across domains: emerging markets, rate, credit, and energy derivatives, alternative assets, banking-insurance convergence, and CDOs. The next 15 years have been spent in pursuit of a more connected understanding of risk, to understand the direct impact of financial exposures, second order impacts on portfolios and capital/liquidity adequacy, and the broader system beyond immediate financial considerations.

Sri Intan

Sri Intan
Head of Vendor Risk Management for North America
Commerzbank

Biography

Sri leads the Vendor Risk Management Program for North America at Commerzbank where she is responsible for establishing and overseeing an appropriate and effective vendor risk management in the region. Her previous experiences include managing global change management efforts for Citigroup’s Third Party Management Program and leading various business intelligence & analytics solution efforts.

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Michael J. Ivie
MD, Head of FS Consulting
Phyton Consulting

Biography

Michael Ivie, Managing Partner, Head of Financial Services Consulting, Phyton Consulting
Michael is a Managing Partner at Phyton Consulting, a specialized professional services firm that empowers data intensive businesses with subject-matter leadership and execution-focused delivery capabilities. Michael has over a decade of experience in Finance, Risk, Data Management, and Technology in both public and private sectors. His diverse background working across the enterprise and in numerous change management roles for many of the world’s leading financial institutions has helped him develop a unique perspective on how these organizations function and how to navigate a changing business, technical, and regulatory landscape.
Michael received an MS in Finance and an MBA in Risk Management & Insurance from Georgia State University’s J. Mack Robinson College of Business. He earned a Professional Risk Manager (PRM) certification from PRMIA, Basel Compliance Professional designation from BCPA, Project Management Professional (PMP) credential from PMI, and numerous professional industry licenses and data/IT certifications.

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Sabeena Liconte
Chief of Compliance
ICBC Standard Bank

Biography

Sabeena Ahmed Liconte serves as Deputy Chief Operating Officer and Chief Legal Officer to the investment banking division of Bank of China International – BOC International (USA) Holdings Inc. (“BOCI US Holdings”) and its two subsidiaries, BOCI Commodities & Futures (USA) LLC, a registered futures commission merchant and CME Group Inc. clearing member, and BOC International (USA) Inc., a registered broker-dealer and member of FINRA (collectively, “BOCI”).

Prior to joining BOCI, Sabeena’s previous professional experience included Futures & Derivatives Counsel to E*TRADE Financial Corp., including E*TRADE Clearing Corp. and E*TRADE Securities Corp.; the Office of General Counsel at Merrill Lynch Pierce Fenner & Smith Incorporated, the Division of Enforcement at the Financial Industry Regulatory Authority, the Bank of New York Mellon’s Legal Division and the Securities Fraud Prosecution division of the Attorney General’s Office for the State of New Jersey.

Sabeena is a licensed attorney with a Juris Doctor from the St. John’s University School of Law. She also completed a visiting year at Fordham University School of Law. In addition to her law degree, she holds a Master of Arts in International Relations from Columbia University and, paying homage to her Canadian roots, a Bachelor of Arts in Criminology and Political Science from the University of Toronto.

She also serves as a board member and Secretary to Bank of China International’s US holding company, BOCI US Holdings; board member of the Center for Financial Professionals FinTech Advisory Group; Diversity Chair of the American Bar Association’s Business Law Committee – Futures and Derivatives Law Subcommittee, and committee member of the New York City Bar Association’s Foreign and Comparative Law Committee and Derivatives and Futures Committee.

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Robert O’Connell
Director, Operational Risk Mangement
Citi

Biography

Biography coming soon.

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Gus Ortega
Head of Operational Risk Management
Voya Financial

Biography

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

Michael-Reidy

Michael Reidy
Head of Risk Appetite and Reporting
Societe Generale

Biography

Biography coming soon.

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Jeremy Resler
SVP, Director Third Party Risk Management Governance
US Bank

Biography

Jeremy has over ten years of experience and expertise in the financial services and legal sectors, and is currently a Senior Vice President and the Director of Governance in the Corporate Third Party Risk Management group at U.S. Bank.

Jeremy is responsible for overseeing various functions and teams within the centralized, enterprise TPRM Program, including quality assurance, policy and audit/exam management, fourth party risk, joint venture/strategic alliance risk, merger and acquisition operational risk, enterprise RCSA third party risk and external risk request management. Jeremy graduated with an Economics degree from the University of Minnesota and a Juris Doctor from the William Mitchell College of Law in St. Paul, MN. Prior to U.S. Bank, Jeremy worked for a legal publishing company and subsequently clerked for a District Court Judge in Hennepin County, MN.

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James Serinese
Head of Front Office Risk and Control
Scotiabank

Biography

James Serinese Director Internal Control First Line of Defense Business Risk and Control.

Currently responsible for a large team of First Line risk professionals across all of the Bank’s Business Divisions managing the firm’s non-financial (Compliance and Operational) risks. The team is responsible for; control issue identification and remediation, audit and regulatory exams, compliance and operational risk assessments, business line SMEs liaising with  internal/external stakeholders, control and process enhancements.

Big 4 consultant: Led non-financial risk consulting team advising top tier investment banks in risk and control leading practices and remediations.

Chief Risk Officer: responsible for market and operational risk at a broker dealer with a large derivatives and algo market making business. Built a leading practice ORM framework and automated real time market risk monitoring.

Derivatives Trader: Managed a global volatility trading business focused on Asian derivatives by providing liquidity for global clients. Created the Firm’s first Asian office based out of Singapore to trade and manage a 24 hour derivatives portfolio.

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Chris Smigielski
Director of Model Risk Management
Arvest Bank

Biography

With over 30 years of financial services industry experience, Chris has an in-depth knowledge of model risk management, model governance, model validation, financial model development, Asset Liability Management, and team development. Chris is currently the Director of Model Risk Management at Arvest Bank and was previously Vice President, Director of Model Risk Management at TIAA Bank for five years. His experience includes leadership roles at Diebold and Fiserv, where he consulted with financial institutions nationally and internationally to design and implement financial strategies to maximize productivity and growth, as well as Asset/Liability Management and quantitative analysis at HSBC and First Niagara Banks.

Craig Spielmann

Craig Spielmann
Former Global Head of enterprise risk strategy
First Data

Biography

Proven Enterprise Risk Management expert and ESG advocate with an established track record of driving enterprise wide initiatives for the world’s top financial institutions. Leverages vision, leadership, innovation and relationship management skills to achieve success. Expertise in leading global initiatives to align risk management practices with business goals.

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Jack Sprague
SVP, Operational and Resilience Risk
HSBC USA

Biography

Jack Sprague is a Senior Vice President and the Head of Operational Risk Policy, Framework, and Capital for the Americas at HSBC.

Jack has worked at HSBC since 2010 and in his current role, he is responsible for designing the Operational Risk framework in the US and developing associated policies and procedures. He is also responsible for the firm’s Operational Risk CCAR program and regional submissions to support global stress tests and economic capital calculations.

Previously, Jack was the Head of Business Risk and Control for the Private Banking division in the Americas, where he implemented a first line risk management program and managed risk and control teams across the US and Latin America. Jack has also held Operational Risk advisory roles at HSBC.

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Preety Tulsian
Head of Third-Party Risk US / Enterprise Risk
Scotiabank

Biography

Preety Tulsian is the Head of Third Party Risk for Scotiabank US. In this role, she built a third party risk program for the Firm which led to resolution of long standing regulatory commitments. Preety brings over 15 years of experience in a variety of risk disciplines including operational risk, business continuity and most recently operational resilience. She’s also an attorney with notable experience in helping firms interpret and meet regulatory requirements.

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Gregory Vinton
Director, US internal controls, third party risk
Scotiabank

Biography

Greg Vinton has over 15 years in financial services managing complex programs. He joined Scotiabank U.S. in 2017 and has focussed on efforts to enhance the bank’s risk and control functions. He is currently the U.S. Internal Control Head of Third Party Risk and Operational Resiliency.

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Stephen Woitsky
SVP, Operational Risk Business Oversight Officer
Wells Fargo

Biography

Hands-on and results-driven Risk Management Executive with 25+ 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 and BNP Paribas.

Strong, energetic leader with forte in streamlining processes ensuring compliance with regulatory standards; extensive experience launching internal audit and risk management operations.

Trusted and active advisor in dissecting, analyzing and presenting key strategic financial solutions to executive leadership.

Active volunteer and board member with Bridges Outreach since 2015 focusing on feeding and servicing people in need in NJ and NYC, providing input into the strategic planning process and doing fundraisers with local businesses and schools.

WHY SHOULD YOU ATTEND A CEFPRO CONFERENCE?
HEAR FROM PAST ATTENDEES AND SPEAKERS…

PANEL DISCUSSIONS

Interactive panel discussions are designed to include attendees by running a live Q&A throughout the session

PRESENTATIONS

Hear industry experts provide detailed insights on a range of vendor risk issues, challenges and opportunities

NETWORKING BREAKS

Networking opportunities including breakfast, lunch and refreshment breaks on both days, access to all streams and sessions.

MEET THE SPEAKERS

Continue discussions beyond the auditorium and interact with speakers and attendees after their session.

June 10, 2022

Incorporating non-financial risks within the risk appetite framework

Why people risk has become a top risk for most firms and how to respond By Adrian Burbanks, Deputy General Manager, London Branch, Agriculture Bank of China
June 10, 2022

Models and algorithms in Broker-Dealer – Challenges and solutions

The views and opinions expressed in this article are those of the thought leaders as individuals, and are not attributed to CeFPro or any particular organization. […]
June 10, 2022

Assessing and allocating risk in the contract for the new ‘normal’

The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular […]
June 9, 2022

Identifying fourth parties and beyond to track dependencies and mitigate risk of service failure

The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular […]
June 9, 2022

The future of on-site assessments: Balancing cost vs. effectiveness to satisfy on-site assessment requirements

The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular […]
June 9, 2022

The future of on-site assessments: Balancing cost vs. effectiveness to satisfy on-site assessment requirements

The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular […]
June 9, 2022

Assessing regulatory changes ahead and the impact on third party and vendor risk management

The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular […]
June 9, 2022

Monitoring the threat landscape to better understand cyber threats

June 8, 2022

Managing cyber security risks in a remote working environment internally and across supply chain

The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular […]
June 8, 2022

Demonstrating resilience and developing business continuity plans in light of recent volatility

The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular […]
June 8, 2022

Designing and implementing an effective internal fraud detection system

The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular […]
June 8, 2022

Assessing regulatory changes ahead and the impact on third party and vendor risk management

The views and opinions expressed in this article are those of the thought leader as an individual, and are not attributed to CeFPro or any particular […]

Non-Financial Risk Leaders 2022

Non-Financial Risk Leaders strives to provide insights, support, and benchmarks for organizations as the traditional operational and non-financial risk arena continues to evolve, expand, and gain significance.

Informed by some of the most knowledgeable experts in the field, CeFPro provide an impartial view that assists all relevant parties with a comprehensive understanding of, and insight into, the top non-financial and operational risk topics, key investment priorities, understanding of in-house, Microsoft and vendor solutions, and much more.

The 2022 survey has recently closed, with the results being published later this Summer. Pre-order your copy below and be amongst the first to discover the top non-financial risks of the year, as voted for by the industry.

  

Archer, an RSA company, is a leader in providing integrated risk management

solutions that enable customers to improve strategic decision making and operational resiliency. As true pioneers in GRC software, Archer remains solely dedicated to helping customers understand risk holistically by engaging stakeholders, leveraging a modern platform that spans key domains of risk and supports analysis driven by both business and IT impacts. The Archer customer base represents one of the largest pure risk management communities globally, with over 1,500 deployments including more than 90 of the Fortune 100.

 

OneTrust VendorpediaTM is the largest and most widely-used technology platform to operationalize third-party risk. The offering enables both enterprises and their vendors with technology solutions that include: the Third- Party Risk Exchange, a community of shared (and pre-completed) vendor risk assessments with 70,000+ participating vendors; Questionnaire Response Automation, a tool that helps organizations answer incoming security questionnaires; and Third-Party Risk Management software, a platform to streamline the entire vendor lifecycle, from onboarding to offboarding. More than 10,000 customers of all sizes use OneTrust, which is powered by 150 awarded patents, to offer the most depth and breadth of any third-party risk, security, and privacy solution in the market. OneTrust Vendorpedia offers purpose-built software designed to help organizations manage vendor relationships with confidence, including and integrates seamlessly with the entire OneTrust platform, including – OneTrust Privacy Management Software, OneTrust DataDiscoveryTM, OneTrust DataGovernanceTM, OneTrust GRC, OneTrust Ethics, OneTrust PreferenceChoiceTM, OneTrust ESG, and OneTrust DataGuidanceTM.

 

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

  

Uptime Institute is the Global Digital Infrastructure Authority. Its Tier Standard is the IT industry’s most trusted and adopted global standard for the proper design, construction, and operation of data centers – the backbone of the digital economy. For over 25 years, the company has served as the standard for data center reliability, sustainability, and efficiency, providing customers assurance that their digital infrastructure can perform at a level that is consistent with their business needs across a wide array of operating conditions. With its data center Tier Standard & Certifications, Management & Operations reviews, broad range of related risk and performance assessments, and accredited educational curriculum completed by over 10,000 data center professionals, Uptime Institute has helped thousands of companies, in over 100 countries to optimize critical IT assets while managing costs, resources, and efficiency. Uptime Institute is headquartered in New York, NY, with offices in Seattle, London, Sao Paulo, Dubai, Singapore, and Taipei. For more information, please visit www.uptimeinstitute.com.

 

Strategic Risk Associates (SRA) is a technology solution provider and risk management consulting practice serving Financial Services, Insurance and Technology Industries. SRA’s proprietary technology and methodology was designed and built “by bankers, for bankers” enabling clients to navigate risk and drive growth. SRA Watchtower is a risk intelligence and intuitive performance management platform built to continuously inform, enlighten, and empower banking executives and boards. SRA was named a top 30 global Fintech leader in Center for Financial Professionals 2022 Report. Learn more here.

SHARE YOUR THOUGHT LEADERSHIP

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CAN YOUR ORGANIZATION CONTRIBUTE?

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. For more information on what we can offer, please contact chris.simou@cefpro.com or call us on +1 888 677 7007 ext. 207 where a member of the team will be happy to tailor the right package for you.

Etc Venues Lexington

601 Lexington Avenue

New York

NY 10022

USA

Can I present at the Operational Risk Management USA Congress?

Yes, the Center for Financial Professionals are happy to discuss speaking opportunities at the Operational Risk Management USA Congress. 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 sessions and exhibition area. Presentations from the 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 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.

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
Are there opportunities to share my thought-leadership at the Operational Risk Management USA Congress?

Yes there are plenty of opportunities for the Center for Financial Professionals to share thought-leadership to the attendees of Operational Risk Management USA Congress 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

Are media partnerships available for the Operational Risk Management USA Congress?

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 promotional content where applicable
  • Distribute your media/marketing at the Congress
  • Promote through social media channels

To discuss this further please contact Ellie.dowsett@cefpro.com or call +1 888 677 7007.

What can I do if I can't attend the event due to Covid-19?

If you are unable to attend the Congress due to national/Covid restrictions, CeFPro would be more than happy to offer you a refund, credit note or the option to transfer the ticket to a colleague who is able to attend.

Are CPE Credits available?

Yes, CPE Credits are available for the Operational Risk Management USA Congress.

Representing a financial institution or government body – (E.g. Bank, Insurance company, Asset Manager, Regulator)

Operational Risk Management USA
October 12-13, 2022

INDEPENDENCE DAY SPECIAL

$599
SAVE $600

Registrations before July 22

SUPER EARLY BIRD

$699
SAVE $500

Registrations before August 19

EARLY
BIRD

$899
SAVE $300

Registrations before September 16

STANDARD
RATE

$1,199


Registrations after September 16

Representing an information/service provider (E.g. Consultant, Vendor, Executive Search Firm, Law Firm)

Operational Risk Management USA
October 12-13, 2022

INDEPENDENCE DAY SPECIAL

$1,199
SAVE $600

Registrations before July 22

SUPER EARLY BIRD

$1,299
SAVE $500

Registrations before August 19

EARLY
BIRD

$1,499
SAVE $300

Registrations before September 16

STANDARD
RATE

$1,799


Registrations after September 16

PLEASE NOTE: To qualify for the preferential ‘early bird’ rates, registration must be received by the close of the ‘early bird’ working day, and payment can be made at the time of registering, or up to a week after registration is made an invoice sent. CeFPro reserves the right to increase rates should payment be delayed significantly. For Group Rates to be valid, the whole group must register at the same time, though names can be changed at any time up to the event at no additional cost. Should a delegate register at a rate that is inaccurate, CeFPro reserves the right to issue an additional invoice for the outstanding amount.

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