Operational Risk Management USA Aganda

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

Stuart is a Policy Analyst with the OCC’s Bank Supervision Policy division, specializing in governance and operational risk policy. He is also a Bank Information Technology examiner, specializing in cybersecurity and information technology risk / information security. He supports international efforts as the OCC’s interim representative to the Basel Committee on Banking Supervision (BCBS) Operational Resilience Group. Stuart joined the OCC as an industry hire in June of 2013. Prior to joining the OCC, Stuart held IT risk management related positions at Citigroup, Cisco, and GE. His career also includes management consulting experience at Deloitte. He has substantial experience in regulatory examinations, technology audits, IT certification efforts, and cross-border initiatives from both the regulatory and business perspectives. Stuart completed his BA and MBA at NYU and holds several industry-recognized credentials, including the CISA, CISSP, and CRISC.

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.

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.

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.