Vendor & Third Party Risk USA 2021 – Agenda & Speakers

Agenda

DAY ONE OCTOBER 7

08:00 Breakfast and registration

08:50 Chair’s opening remarks

COVID-19 – PANEL DISCUSSION
9:00 Reviewing the impact of COVID-19 on vendor and third party risk programs and future of working environments

  • Future of working from home vs. hybrid models
    • Identifying gaps in controls and changes to work environment post COVID
  • Security controls of vendors with remote teams and use of mobile devices
    • Redefining data security in a new working environment
  • Criticality of intelligence and monitoring
  • Managing expenses vs. risk of working remotely
  • Protecting confidential data and sensitive information in a remote environment
  • Understanding vendor plans for hybrid workforces
    • Adapting contracts and controls and Impact to service, functionality and response time
  • Ability to meet SLAs in a pandemic and remote environment

Roxane Romulus, Director, Third Party Risk Management, Voya Financial 

REGULATORY LANDSCAPE
9:40 Managing regulatory expectations across jurisdictions for a full end to end approach to risk

  • Managing regulatory change across jurisdictions
  • Risk mitigation approaches to demonstrate to regulators
  • Managing a digital business as a result of COVID-19
  • Connecting infrastructure and systems digitally
  • Regulatory guidance on WFH and hybrid models
  • Ingraining into culture of an institution
  • Geopolitical environment: BSA and AML considerations

Ryan Spelman, Senior Manager, CyberClarity 360

RESILIENCE
10:15 Understanding and developing resilience plans and identifying critical service providers to monitor risk

  • Understanding what it means to be resilient
  • Incorporating testing exercises and adapting to changing environments
  • Identifying key business functions and supply chain
    • Tracing through affiliates and third parties
  • Incorporating resilience programs with third party programs
  • Aligning ability to deliver service with ability to manage resiliency
  • Managing resilience in different structured work environments

Michael Casey, Americas Head of Outsourcing and Supplier Risk, UBS 

10:50 Morning refreshment break and networking

BCM & DR – PANEL DISCUSSION
11:20 Maintaining resilience programs in a volatile environment and maintaining controls and oversight of outsourced services

  • Managing vendors in business recovery mode
  • Understanding which vendors are able to recover from stress events
  • Approaches to analyze and assess recovery capabilities
  • Reviewing changes in expectations as a result of the pandemic
  • Regulatory drive for resiliency in critical third parties
  • Adapting programs around security events in the industry
    • Solar Winds and COVID-19 impacts
  • Unwinding changes as a result of the pandemic without damaging resiliency

CYBER SECURITY
12:00 Reviewing advances in the cyber threat landscape and lessons learnt from recent events

  • Solar winds breach impact across the industry
  • Reviewing maturity of hacks and capabilities of criminals
  • Testing responses to cyber attacks
  • Evolution of integrity attacks and defending against them
  • Managing third party governance processes to mitigate the risk
  • Contract terms to include notification of incidents
  • Understanding exposure to breaches
  • Increased attacks as a result of remote working and limited IT resources

Jeffrey Batt, Cyber Insurance Practice Leader, M&T Bank 

12:35 Lunch break and luncheon roundtable discussions

1 – Diversity and inclusion across the supply chain

2 – Future outlook after COVID-19: Managing remote and hybrid environments
Reserved for Prevalent

3 – Resilience: Regulatory expectations and objective
Michael Casey, Americas Head of Outsourcing and Supplier Risk, UBS 

4 – Managing increase in ransomware and response strategies

5 – External data providers: Integrating into program methodologies

NTH PARTY – SECURITY AND DATA
1:45 Managing and tracking data access across supply chain to maintain security and identify vulnerabilities

  • Concentration risks of third parties outsourcing
  • Privacy and confidentiality considerations across supply chain
  • Increased incidents and breaches as a result of the pandemic
  • Ensuring vendors and subcontractors are protecting data and aligning with cybersecurity standards
  • Reviewing access to data requirements to fulfill contract provisions

NTH PARTY – REGULATION AND CONTROLS
2:20 Identifying fourth parties and beyond to track dependencies and mitigate risk of service failure

  • Regulatory guidance on outsourcing and global variations
  • Tracking incidents like Solar Winds to understand impact on supply chain
  • Understanding supply chain and impact to services
  • Changing contract language to incorporate critical outsourcing
  • Contractual limitations to assess 4th parties
  • Identifying fourth parties and determining location domestically or internationally
    • Protecting data in the cloud or overseas to the same level as locally
  • Treatment of too big to fail vendors
    • Identifying those with systemic risks

CONCENTRATION RISK
2:55 Monitoring risks of concentration of vendors both across the industry and internal reliance across functions

  • Reviewing types of concentration risk
    • 4th parties, geographic, internal etc…
  • Aggregating data to identify critical vendors and uses across different business groups
  • Balancing concentration risk with quality of vendor and controls
  • Systemic impact of some vendor failures
  • Limited number of core vendors providing key services
  • Risk of stress events to the industry

3:30 Afternoon refreshment break and networking

RISK ASSESSMENTS & DUE DILIGENCE
4:00 Developing real time insight for continuous monitoring of third parties

  • Accuracy of data received from assessments
  • Validating questionnaires with objective evidence
  • Continuous monitoring between questionnaires
  • Developing real time risk management and control processes
  • Documentation for effective collaboration with third parties
  • Obtaining due diligence documentation
  • Enhancing questionnaires to capture risks of remote working

Alpa Inamdar, Head of Third Party Governance Advisory, BNY Mellon 

FINANCIAL HEALTH
4:35 Approaches to monitor financial health of critical suppliers to mitigate risks of business disruption

  • Approaches to accurately and effectively monitor the financial health
  • Impact of COVID-19 on suppliers business model
  • Ensuring critical suppliers are financially viable to survive pandemic and future events
  • Contractual rights to current suppliers financials
  • Trend analysis to understand financial viability
  • Impact of mergers and acquisitions

BUSINESS APPETITE
5:10 Balancing increased appetite to outsource services whilst maintaining security and due diligence processes

  • Appetite for faster approvals when onboarding
  • Business accepting risk as business value is justified
  • Streamlining processes to onboard critical service vendors faster
  • Categorizing vendors based on risk
  • Aligning processes with business objectives and appetite
  • Increased demand as a result of COVID-19

5:45 Chair’s closing remarks

5:55 End of Congress

DAY TWO OCTOBER 8

08:00 Breakfast and registration

08:50 Chair’s opening remarks

SYSTEM EFFICIENCY – PANEL DISCUSSION
9:00 Developing efficiencies to better manage the vendor life cycle from end to end

  • Building a holistic view of data and risk
  • Aligning business planning with risk and due diligence processes
  • Collecting good data to drive decision making
    • Feeding back into risk management processes
  • Leveraging data to identify level of risk each vendor exposes the business to
    • Identifying inherent risk in the relationship and residual risk after controls are in place
  • Developing a centralized process to track inventory
    • Identifying subsidiaries and multiple uses of one company

Melissa Mellen, Officer & Department Head of Policy, Analytics & Vendor Strategy, Federal Reserve Bank of New York
David Brown, Senior Product Manager, Riskonnect, Inc. 

UTILITIES
9:40 Leveraging utilities as a long term option to mature third party risk management programs

  • Operationalizing a utility and integrating into programs
  • Willingness of financial institutions to align and adopt to industry accepted standard
  • Developing clarity and understanding of how utilities operate
  • Conducting due diligence on vendors within a consortium model
  • Driving efficiency in vendor questionnaires and assessments
  • Adapting to new threats in the industry
  • Mitigating questionnaire fatigue

ESG – ENVIRONMENTAL
10:15 Developing sustainability agendas and monitoring third parties to align strategic objectives

  • Developing sustainable environmental practices
    • Practical application across relationships
  • Reviewing third party environmental sustainability and carbon footprint
  • Managing reputation risks as a result of third parties
  • Incorporating climate change into strategy and current resilience programs
  • Demonstrating environmental friendliness across supply chain
  • Developing a climate financial risk road map

10:50 Morning refreshment break and networking

ESG – SOCIAL
11:20 Implementing transparency in supply chains to monitor social inclusion and regulations

  • Social justice and inclusion agendas
  • Managing chains from an operational, governance and compliance perspective
    • Developing controls to identify a deterioration
  • Measuring ESG data, metrics and scorecard
    • Developing an industry scorecard to measure and compare
    • Demonstrating transparency and reporting
  • Monitoring for compliance with modern slavery and child labor forces
  • Identifying diversity in supply chain – availability of information

Kenneth Wolckenhauer, VP, Vendor Management, Nordea Bank New York Branch 

FINTECH
11:55 Assessing risk and managing treatment of fintech’s as a third party service provider

  • Evaluating fintech third parties
  • Fintech’s supplying technology with bank to committing transaction
  • Developing a program for hybrid vendors
  • Monitoring fintech relationships
  • Exiting relationships with fintech’s if they are acquired
  • Managing regulatory expectations for un-regulated institutions

12:30 Lunch break and luncheon roundtable discussions

1 – Alternative ways to manage TPRM programs and increasing efficiency

2 – Technology advances in TPRM

3 – Steps to build a TPRM program and third party inventory

4 – Reporting to the Board – Granularity and language

5 – Managing inter entity and affiliate relationships

INNOVATION
1:45 Leveraging innovative solutions to increased risk through technology and automation

  • Increased risk with IoT home devices and remote working
  • Onboarding technology related engagements
  • Adapting mindsets to incorporate new technologies
  • Leveraging AI to drive efficiency and effectiveness
  • Developing agility to keep up with advances
  • Balancing risk with opportunity
  • Assessing vendors use of technology including blockchain
  • Assessing vendors that manage cryptocurrency

CLOUD
2:20 Managing risks with cloud storage and understanding the benefits vs. risks

  • Understanding where data is
  • Security protocols to protect data
  • Identifying private or shared storage with other organizations
  • Impact of failure with limited companies
  • Security of data domestically and internationally
  • Managing concentration risks with cloud storage providers
    • Internal over reliance and external

2:55 Afternoon refreshment break and networking

PRIVACY
3:25 Managing evolving regulator and consumer expectations around privacy and tracking across borders

  • Tracking and managing data crossing borders
    • Ensuring compliance across jurisdictions and minimum security standards
  • European privacy regulations: impact of decision for appropriate data transfer mechanism
  • Managing differing requirements across jurisdictions
  • Understanding where data is moved beyond the third party
  • Tracking data to ensure compliance with privacy regulations

INTER-ENTITY & AFFILIATE RELATIONSHIPS
4:00 Implementing effective due diligence and risk ranking processes for inter-entity and affiliates

  • Segmentation and application of controls based on criticality of service
  • Implementing effective oversight and monitoring processes
  • Regulatory approach across regions
  • Identifying risk and implementing controls to manage risk

ON-SITE ASSESSMENTS – PANEL DISCUSSION
4:35 The future of on-site assessments: Balancing cost vs. effectiveness to satisfy on-site assessment requirements

  • Measuring risk and satisfying due diligence
  • Investment vs. benefit of onsite assessments
  • Consortium models for onsite due diligence
  • Reliability of on-site assessment when events can change very quickly
  • Regulatory expectations for on-site reviews and assessments after COVID-19
  • Reviewing effectiveness of remote assessments

5:30 End of day 1 and networking drinks reception

5:20 Chair’s closing remarks

Connect With Us
#VENDORUSA

Center for Financial Professionals tm
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