Speakers List - OpRisk Europe 2018
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OPENING KEYNOTE: Paul Dyer

Deputy CRO & Head of Operational Risk, Compliance & Risk Review

FINANCIAL CONDUCT AUTHORITY (FCA)

Paul has expertise in developing regulatory, risk and innovation practices for organisations, having lead transformations for Regulators, Insurers, Banks, Pensions, FX and Investment firms.

Paul has leadership experience from performing Risk & Compliance, Operational and Commercial roles for large and small organisations, as well as also establishing his own successful consultancy, which was shortlisted for Consultancy of the year by the Institute of Risk Management.

Paul joined the Financial Conduct Authority at the end of August 2017 to lead the Operational Risk, Compliance and Risk Review teams. Prior to this, as well as running his own business, Paul led the Association of Professional Compliance Consultant (APCC). Paul remains an Expert Advisor in Regulatory Risk for the Bar Standards Board, who regulate Barristers in the UK.

Paul is a certified member of the Institute of Risk Management, has two business degrees (including one from the Ecole Superieure de Commerce in Bordeaux, France) and a Masters degree with distinction in Innovation, Creativity and Leadership from CASS University.

 

 

REGULATORY KEYNOTE: Lyndon Nelson

Deputy CEO & Executive Director, Regulatory Operations and Supervisory Risk Specialists

PRUDENTIAL REGULATION AUTHORITY (PRA)

Lyndon Nelson took up the role of Deputy CEO of the Prudential Regulation Authority on 1 March 2016. In this capacity he chairs the main executive decision making meetings on supervision, policy and risk issues and is the Executive Director for Supervisory Risk Specialists and Regulatory Operations. Prior to this role, Lyndon was the Executive Director for UK Deposit Taker Supervision. He is a member of the Bank's Executive Director Committee and Executive Risk Committee. He represents the UK in the Basel Committee on Banking Supervision.

Lyndon has a strong background and experience in risk management, regulation, economics, finance and public policy. In twenty-eight years (at the Bank of England and Financial Services Authority) he has been involved or been responsible for all of the major developments in risk assessment, culminating with the development of ARROW II and his tenure as FSA's Chief Risk Officer. His risk management approach draws extensively on his experience of supervision of banks and securities firms. Lyndon can claim to have supervised all of the major UK and US banking and investment banking institutions at one time or another.

Lyndon has been very committed to education and improving the ability to manage risk and financial crises. He has jointly devised and led crisis simulation exercises and training on financial stability and risk management for both domestic and international organisations. He is regularly asked to provide technical assistance to regulators, legislators and international organisations. He is also a Basel Core Principles Assessor for the IMF.

Lyndon has been responsible for many change and transformation programmes in his career. He was responsible for the FSA's strategic performance management framework and was part of the Bank team that established the Bank's Financial Stability function, including editing the first editions of the Financial Stability Review. He took on the responsibilities of the Managing Director of Risk during the first phase of regulatory change at the FSA and helped to develop the UK's macro prudential framework working extensively with the Financial Policy Committee.

 

Simon Gadd

Group CRO

LEGAL & GENERAL

Simon Gadd was appointed CRO of L&G Group in January 2013. As Group CRO he heads risk oversight for all risk types within L&G risk framework, including prudential, operational and conduct risks. He provides advice to the Board and Executives on risk matters across the Group, including both UK and overseas operations, and sits on the Group Executive Committee and Group Risk Committee.

Simon has had a varied career with Legal & General since completing a mathematics degree at Oxford University. He qualified as an actuary in 1991 and roles undertaken since have included defined benefit pension valuation, various pricing and marketing roles, general management roles, and leadership of the pensions review. Simon has led several different businesses within the Legal & General group, including the Retail Protection business, Group Protection business and as MD of Annuities from 2006 - 2012.

 

Jose Morago

Deputy Chief Risk Officer / Head of Enterprise Risk & Advisory Services

FINANCIAL CONDUCT AUTHORITY (FCA)

Named as one of the most influential risk & capital professionals* in Europe, José currently leads the UK Regulator's approach to Enterprise Risk Management, including setting risk standards and providing the Board with a view of the regulatory and emerging risks of the UK financial sector. He
plays a key role on advising internally on the Regulatory strategy and policy initiatives in the context of the FCA's objectives of consumer protection, market integrity and competition.
Prior to FCA, Jose has held senior roles as Group Risk Director at Aviva, Chief Risk Officer for Ageas Insurance as well as McKinsey and Moody's. Jose is former Chair of the Institute of Risk Management (IRM) and Internal Model Industry Forum (IMIF).

Eleanor Malcolm

Chief Risk Officer

JULIUS BAER INTERNATIONAL

Eleanor Malcolm, Chief Risk Officer of Julius Baer International Limited since October 2014 is responsible for the implementation and maintenance of Risk and Compliance Framework, as well as acting as primary contact with FCA day to day. Over 25 years' experience in UK and International Wealth Management industry in senior business and risk management roles. Prior to the Merrill Lynch Wealth Management acquisition she was the Head of Supervision & Control EMEA. Eleanor has also worked for over 15 years as Relationship Manager and Front Office Management roles in number of UK firms.

Nathan Jones

Managing Director - Head of Operational Risk Management

STATE STREET

• Nathan is an IT Graduate with educational and dissertation experience in Neural Networks and other artificial intelligence techniques.
• Following training at Sandhurst and a 10 year spell in the British Army, Nathan has had experience as a Strategy Consultant and latterly as an Operational Risk specialist at UBS and then at his current employer State Street
• He joined State Street in January 2013 as EMEA Head of Operational Risk for Global Markets covering EMEA and has subsequently held roles as Head of Risk (Country CRO) Italy based in Milan, and latterly as Head of Non-Financial Risk for the International Bank covering Continental Europe.
• Nathan has experience in framework design and implementation across all parts of the Risk life cycle and with coverage in Markets, Custody and Technology businesses.

Cosimo Pacciani

Chief Risk Officer

ESM

Cosimo Pacciani has been the Chief Risk Officer for the European Stability Mechanism since 2015. He has joined this key European institution as Senior Credit Officer and Deputy Head of Risk in 2014. Previously, he spent nearly two decades working in the City of London. He has been for eleven years at Royal Bank of Scotland, where he was Chief Operating Officer for the Group Credit Risk function and, previously, Head of Risk and Compliance for the Asset Protection Scheme, the mechanism established by the British government to rescue the banking system. Previously, at RBS he was Head of Credit Risk for Corporate and Public Institutions in Europe.
He has worked previously in portfolio management at Credit Suisse First Boston and for the London branch of Monte dei Paschi di Siena in London, dealing with derivative products and portfolio management. He holds a Ph.D. from the Faculty of Economic Sciences of the University of Siena and a Master Degree from the Faculty of Economics of the University of Florence.

Marilin Luna Butters

Global RCSA Methodology & CEEMEA Head of Operational Risk

CITIBANK

Marilin Luna Butters is the Global RCSA Methodology & CEEMEA Head of Operational Risk for Citibank

Marilin has over 20 years of Financial Services experience having worked the last 12 years in Operational Risk Management and prior to that, having worked for 10 years in Compliance, Finance, Credit Risk and Commercial Bank
• Began her career in Banco de Credito del Peru as a Commercial Bank Relationship Manager and Credit Risk Analyst, after completing her Bachelor's Degree in Economics
• Joined Citi in 2002 in London, as a Financial Manager Associate, after completing her MBA at IESE
• Moved to Operational Risk in 2006, when she was appointed CEEMEA (Central Eastern Europe Middle East and Africa) Head of Capital Markets and Banking. Since then her role has expanded to cover all the CEEMEA businesses
• Since 2016 she has been in charge of Citi's RCSA (Risk & Control Self-Assessment) Methodology globally and of the design of the Governance, Risk and Compliance (GRC) Methodology, Policy and System in partnership with Compliance

Will Martyn

Head of Operational Risk Framework & Policy

HSBC

• Will Martyn, Head of Operational Risk Framework & Policy, HSBC
• Started career at Lloyds Banking Group in 2004 and spent seven years there; largely managing risk management projects and programmes
• Joined Deloitte in 2011 and spent four and a half years supporting FS clients, primarily in reviewing, designing and implementing Operational Risk frameworks
• Joined HSBC in June 2015 as Head of Operational Risk Framework & Policy.
• I own the HSBC OpRisk framework, policy suite, procedures and design for key OpRisk processes/tools, including HSBC's internal control framework

Charles Forde

Executive Director - Operational Risk - Head of Outsourcing & Vendor Risk

UBS

Charles is currently the Global Head of Outsourcing and Third Party Risk at UBS. The function is part of Compliance & Operational Risk, the 2nd Line of Risk in the firm.
Additionally, Charles is currently the Operational Resilience Co-Ordinator for the IB Business globally and for all UBS businesses in the UK, (Operational Resilience covers Outsourcing & Third Party Risk, Information Security, Cyber Risk, Records Management, Business Continuity, Technology Risk and Change Governance).
Previously, Charles held the position of COO of Operations & Technology for Group Data, Reconciliations and the Client Data Confidentiality Programme at UBS.
Before joining UBS, Charles was with ERNST & YOUNG in London in the Risk Advisory practice.
Charles has previously held roles managing risk and operations for Goldman Sachs, JP Morgan and Barclays.
He began his career at the UNITED NATIONS managing technology and operations to support military peace-keeping operations and humanitarian programmes.

 

 

Giles Spungin

Global Head of Operational Risk and Regulatory Compliance Analytics

HSBC

Giles is responsible for development and imbedding of advanced analytics strategy for Op Risk and Reg Compliance functions globally, including deployment of bank-wide predictive risk management solutions. Activity examples include automation and behavioural analytics, surveillance analytics and capital modelling. Giles chairs Model Risk Oversight Committee. Prior to joining HSBC, he worked in other highly quantitative roles, including positions at Goldman Sachs and Deutche Bank. Giles has High Frequency Algorithmic Trading development background.

Philip Umande

Head of Operational Risk Capital & Analytics

LLOYDS BANKING GROUP BANKING

Philip Umande is Head of Operational Risk capital at Lloyds Banking Group and is on the Board of a Hertfordshire Schools Academy Trust. Previously Philip worked for the Prudential Regulation Authority and U.K. Financial Services Authority, where he was a team leader and helped to shape Pillar 2 policy for operational risk capital. Philip has also worked in the energy and reinsurance sectors.

Michael Grimwade

Executive Director, Head of Operational Risk, Operational Risk Management,

MITSUBISHI UFJ SECURITIES INTERNATIONAL

Michael Grimwade has worked in Operational Risk Management for almost 20 years. He is currently Head of Operational Risk Management for Mitsubishi UFJ Securities, and was previously Operational Risk Director for Lloyds TSB's Wholesale Division and also Head of Operational Risk & Compliance for RBS's 316 branches, that were due to be sold to Santander. Prior to this, Michael worked for a decade as a management consultant at PwC and Deloitte Consulting, focusing on Operational Risk Management, process improvement and cost reduction.

Andrew John Sheen

Head of Operational Risk Regulatory Advisory

CREDIT SUISSE

Andrew Sheen joined Credit Suisse as the Head of Operational Risk Regulatory Advisory in December 2015 and provides advice on all rules and guidance related to operational risk. Previously Andrew had been the Head of Operational Risk, Use and Embedding, at HSBC having joined from the PRA in September 2013. In his 9 years at the PRA (previously the FSA) Andrew was Head of the Operational Risk Policy Team and then became Head of the Risk Specialist Team for Operational Risk. Whilst at the regulator Andrew represented the UK on the operational risk groups for both the Basel Committee and also the European Banking Authority. Prior to joining the regulator Andrew held operational risk roles in international and investment banks.

Brenda Boultwood

Senior Vice President of Industry Solutions

METRICSTREAM

Brenda Boultwood - Senior Vice President of Industry Solutions at MetricStream
As the Senior VP of Industry Solutions, Brenda is responsible for a portfolio of key industry verticals, including Energy and Utilities, Federal Agencies and strategic Banking and Financial Services customers, as well as the European region. She comes to MetricStream with a rich career in Risk Management, and has held several key operating roles at some of the largest global organizations including Constellation Energy, J.P. Morgan Chase & Company, Bank One Corporation, PricewaterhouseCoopers and Chemical Bank Corporation.

Patrick Naim

CEO

MSTAR

Patrick Naim is the CEO of MSTAR and is widely recognized as an expert for operational risk modelling and quantification. Patrick has extensive experience in advising Fortune 500 companies in the banking, insurance and energy sectors for over 20 years in Continental Europe, the UK and North America.

Patrick is a frequent speaker on operational risk management. He is also the author of "Risk Quantification: Management, Diagnosis and Hedging" (Wiley, 2006), "Bayesian Networks" (Eyrolles, 2007) and "Bayesian Networks: a Practical Guide to Applications" (Wiley, 2008). Patrick graduated from Ecole Centrale de Paris (M.Sc.) in with a degree in economics and applied mathematics, and is qualified as an Associate in Risk Management (ARM).

Adrian Burbanks

Deputy CEO

AGRICULTURAL BANK OF CHINA (UK)

Adrian joined Agricultural Bank of China in April 2017 as Deputy CEO of the bank's London subsidiary and was recently appointed Deputy General Manager of the newly established London that opened this year. He is SM4 for both entities with responsibility for Risk Management and Compliance. His 30 year career in risk has included senior risk roles at a number of global banks including Merrill Lynch, HSBC, Deutsche Bank and UBS, both in Europe and Asia, and his past product and client coverage responsibilities have included the full spectrum of investment banking, wholesale and wealth management services across all major geographic regions and have extended from high net worth individuals to financial institutions, corporates and hedge funds. Prior to joining ABC he was Chief Risk Officer for National Bank of Abu Dhabi for Europe and the Americas.

Koen den Blanken

UK ERM - Operational Capital & Scenarios

CREDIT SUISSE

Koen den Blanken heads the UK Operational Risk Capital and Scenarios team at Credit Suisse in London. He is responsible for the internal operational risk capital adequacy assessment processes for the PRA regulated UK based legal entities.

Prior to joining Credit Suisse in 2013, he worked in Economic Capital model development at Royal Bank of Scotland (RBS) in Amsterdam. In this prior role, besides Operational Risk, he worked on Credit Risk, Business Risk and Stress Testing methodologies for strategic planning, risk appetite and budgeting purposes. Before 2013 Koen worked as a freelance consultant engaged in a range of quantitative projects at a number of financial service and corporate sector organisations.

 

 

Chris Lovett

Head of Technology Risk Management (EMEA & APAC)

BLACKROCK

Chris Lovett, Director, is an Operational Risk professional with 14+ years global experience. He specialises in Technology Risk Management and has held roles across all three lines of defence, in both an operational and advisory capacity.

He leads the second line Technology Risk Management function at BlackRock for the EMEA & APAC business, specifically looking at the Aladdin investment management and trading platform. He is responsible for oversight of the firm's technology operational risks including regular engagement with BlackRock's clients, vendors and regulators on technology risk related topics.

Prior to joining BlackRock in 2013, he led the first line Global IT Risk Management team at Aviva Investors and was responsible for identifying and quantifying IT operational risk globally across the business. From 2003 to 2010, he was part of Ernst & Young's IT Risk & Assurance practice providing technology risk assurance and consultancy to a number of global financial services organisations.

Chris earned a BSc (Hons) degree from the University of Exeter and holds CRISC and CISA qualifications.

 

 

David Phan Dinh

Head of Operational Risk

ROTHESAY LIFE

David Phan Dinh recently joined Rothesay Life as the Head of Operational Risk. Before that, he worked in operational risk for the UK regulator (PRA), an investment bank (Credit Suisse) and one of the big four (EY). His most recent achievements include material contributions to the UK banking Pillar 2 regime, and to the Basel Committee on Banking Supervision Standard measurement Approach where he acted as Technical Advisor.

Jeff Simmons

Managing Director, Head of Enterprise Risk Management EMEA

MUFG

Jeff Simmons joined the Bank of Tokyo Mitsubishi UFJ ("BTMU") in June 2014 as the Head of Enterprise Risk, tasked with creating the function.

Prior to joining the bank he spent some 20 years working in the Risk Management arena, this included Market Risk, Credit Risk, Risk Model Validation and Regulatory Risk consulting.

At BTMU his responsibilities include the development of a Regional Risk Appetite Framework, including the design and implementation of a forward looking risk appetite framework which can be used for strategic decision making and control purposes. He is also developing an Integrated Stress Testing framework, and subsequently integrating this with the Risk Appetite framework including the analysis of the Banks forecast under varying macro economic environments. He is now working extensively with both the Tokyo based Head Office and the continental offices to develop a global framework in these 2 areas. Over the past year he has been working cloely with the Amsterdam based subsidiary in the development of the ICAAP/ILAAP and SIRA Frameworks.

He is also responsible for the implementation of an EMEA Risk Governance framework, this involves him working closely with the Regional offices to ensure that there is a standardised and efficient Risk Framework across the region.

 

John Wertheim

Chief Risk Officer

EFG PRIVATE BANK

John is a Risk and Finance professional with over 20 years banking and cross-functional experience, with deep expertise in Risk Governance and Operational Risk Management.  He became the EFG Private Bank Chief Risk Officer in October 2015.

John trained as a chartered accountant and held Finance Director/CFO and Financial Controller positions at Citigroup and Schroders; more recently John held senior Risk Management positions as Head of Operational Risk at Citigroup and as Head of Operational Risk and Head of Risk Governance at Morgan Stanley.

He has deep subject matter expertise across Risk and Finance, with an extensive knowledge base across financial services.  Throughout his career John has specialised on regulatory-related projects, developing experience in meeting regulatory requirements and expectations in a comprehensive, pragmatic manner and achieving constructive working relationships with regulators. John is also a leader in operational risk management, having obtained the first regulatory approval in the UK to use the Advanced Measurement Approach for Operational Risk.

John has a B.Sc (Hons) in Economics and Accounting from Bristol University and is a UK Chartered Accountant by training, having qualified with KPMG.

 

Clémentine Marie

Risk Quantification and Modelisation Expert

MSTAR

Clementine is an engineer with 10 years experience in risk management.
She is passionate about methodology, risk quantification and modelisation.

She implemented the risk framework and managed risks for the first home loan project at ING Bank France. She worked for BNP Paribas in France, and in the energy industry for PG&E in the US before joining MStar Risk Modelling in 2017.

 

Marike Dokter

Director - Operational Risk, Internal Audit

BARCLAYS

Marike Dokter started working for ING Group Operational Risk Management in 2003. She had joined ING in 1999 as an IT information analyst. Marike has been involved in a wide variety of processes such as OpRisk systems, MI design, Board OpRisk loss reporting, writing OpRisk policies, and conformance reviews. She was Head Operational Risk for ING Insurance Central & Eastern Europe, prior to leaving for a career in the UK in 2010. She worked at Credit Suisse in London as head OpRisk Loss Collation. She moved to Compliance for the FATCA project and went back to OpRisk to manage the capital scenario workshops. In 2013 she changed jobs for a role in the third line at Barclays Internal Audit. In 2016 Marike became head of the Internal Audit Operational Risk team and is responsible for the audit coverage of the OpRisk framework.

Fiona O Brien

Head of Group Supplier Assurance

BANK OF IRELAND

Fiona has 30 years experience in various roles in the financial services sector. She is currently head of Group Supplier Due Diligence and Assurance at Bank of Ireland. This function is part of Group Procurement . In this role she is responsible for managing and continuously enhancing the framework, leading a team to conduct reviews of suppliers and reporting on same. She also provides guidance and support to business owners and stakeholders across the Group, working with them to foster awareness, capability, and implement strong supplier risk management practices.
Fiona has previously held roles in Business Continuity, Business Assurance, operational risk management, compliance, and operations.

Abhishek Khare

Director, Operational Risk for Outsourced Services

SOCIÉTÉ GÉNÉRALE

Abhishek Khare is responsible for managing outsourcing risks for Société Générale EMEA.
He joined SGCIB in 2011 where he held various senior management roles in CIB Operations at Bangalore and Hong Kong before coming to London in October 2016. His previous employers include Nomura, Lehman Brothers, Wipro, Franklin Templeton, Deloitte consulting and Hewlett Packard. With several years of experience in managing operations in capital markets, mutual funds, vendors & audit firms, his key competence is a combination of operational risk, off-shoring & outsourcing oversight.

Tom Garrubba

Senior Director & CISO

SANTA FE GROUP- SHARED ASSESSMENTS PROGRAM

Tom Garrubba (CISA, CRISC, CIPT, CTPRP) is an internationally recognised subject matter expert, lecturer, and author on cyber, privacy, and compliance risk. He serves as Senior Director and CISO for The Santa Fe Group and Shared Assessments Program, and is the lead instructor for Shared Assessment's Certified Third Party Risk Professional (CTPRP) Certification Program. Additionally, Tom is an active blogger for the Huffington Post's Business section on risk as well as published articles on various industry websites including Government Health IT and ISACA.

Before joining The Santa Fe Group, Tom was the Senior Privacy Manager at CVS Health where he established the policies and work procedures that govern the company's vendor assessment program. Tom has 20 years of experience in consulting on IT security, privacy, audit, and compliance in various industries.

 

Tomas Hazleton

Chief Risk & Compliance Officer

CIVILISEDBANK

Tomas is a highly experienced risk and regulation executive with over 25 years of experience implementing and enhancing governance, risk and compliance arrangements for banks and investment firms in London and New York, oftentimes as the organisation's first Chief Risk Officer.
Tomas joined challenger bank CivilisedBank in February 2018 as its Chief Risk & Compliance Officer where he is currently helping to build the bank and prepare it for launch. Previously, Tomas held senior risk management roles with several UK firms, including C. Hoare & Co, Threadneedle, GAM, Bank of America Merrill Lynch and AllianceBernstein. While based in New York, he held senior roles at General Motors Asset Management, DTCC and Citigroup.
Soon after arriving in the UK in 2006, Tomas became a founding member of the UK Investment Management Association's Operational Risk Working Group and later served on its Prudential Risk Advisory Group and Risk & Regulation Committee. He is currently a member of the European Risk Management Council.
Tomas received his MBA from Columbia Business School, where he has served on the advisory boards of the Chazen Institute for Global Business and the Center for International Business Education & Research (CIBER), and also received a B.A. in Economics from Rutgers College in New Jersey.

John Keogan

Anti-Fraud EMEA Lead

CREDIT SUISSE

John is the Anti-Fraud EMEA Lead for Credit Suisse, providing Anti-Fraud subject matter expertise across the Bank's core business such Global Markets, Wealth Management (Private Banking and Asset Management) and Investment Banking and Capital Markets.

Holding a MSc in Anti-Fraud and Corruption, John has experience in both forensic investigations and Anti-Fraud program development across the public and private sector. Prior to joining Credit Suisse, John was Principle Consultant within RSM where he led and partnered on fraud and corruption investigations as well as the development of industry leading initiatives with the fraud and bribery prevention market.

With the emerging threat of cyber enabled fraud, and the potential disruption to core financial systems John has an active interest in future fraud threat mitigation and active cyber-fraud defence.

 

 

Rivka Gewirtz Little

Senior Director of Product Marketing

NICE ACTIMIZE

Rivka Gewirtz Little is the Senior Director of Product Marketing for NICE Actimize Fraud & Cybercrime Management Solutions. Previously, Rivka spent 15 years as a technology journalist and analyst covering mobile payments, prepaid, emerging Money Service Business models, and telcos.

 

 

Gary Killick

Manager, Emerging Ris

PRUDENTIAL

Gary Killick heads the emerging risk function within the Group Risk division of Prudential Plc. He is responsible for coordinating and steering the emerging risk identification and management process across the organisation, as well as for the further development of the process within Prudential. He also represents Prudential on the Emerging Risk Initiative ("ERI") working group of the European CRO Forum.

Gary is a professional risk manager, with around 30 years' experience of financial risk management gained across a variety of City institutions; the last seven of which have been with Prudential. He holds an MA in Global Political Economy from City, University of London and is an Associate of the Chartered Institute of Bankers.

 

Sophie Echeverria

Compliance & Operational Risk Control - Executive Director

UBS-AM

Education

1993 University Lumiere Lyon II, Economics Degree
1995 University Lumiere Lyon II, Post Graduate Degree in organization & Control of Financial Market Activities

Professional History

Since 2016 UBS
Since 2017 C&ORC Asset Management Events, Governance & Reporting
2016-2017 Head of C&ORC AM EMEA
2013-2016 Barings
2013-2016 Head of Organisational Risk
2006-2012 Schroders
2009-2012 Head of Investment Risk Framework
2006-2009 Operational Risk Manager
2005-2006 Citigroup
2005-2006 Senior Internal Auditor
1998-2001 Business Support & control - FX, Derivatives & Structured Products
1997-1998 BNP
1996-1997 SocGen

 

Philip White

Business Development Director

THOMSON REUTERS

Philip has spent over 30 years in the Financial Services industry covering most aspects of the business. Starting his career at the Bank of England, Philip then spent 18 years at Lloyds Bank initially in the early development of electronic banking products researching the market place and working closely with small but innovative software companies. Stints in Finance, Commercial Banking and business strategy followed before he led the Sarbanes Oxley Programme for Group Operations. Leaving Lloyds to set up his own risk consultancy, Philip settled again at UBS post the financial crisis becoming their Head of Framework for Operational Risk in 2011 adding Compliance to that portfolio in 2014. Philip joined Thomson Reuters in September 2017 to lead Business Development for Financial and Risk in Europe.

Sean Miles

Head of Op Risk Unit- Service Delivery & Operations, T&O

SANTANDER

Sean Miles is the head of Resilience and Operational Risk for Technology and Operations (T&O) at Santander UK plc. He is responsible for Operational Risk implementation as well as for oversight and resilience implementation within T&O. He studied Physics at Oxford University and on graduation he trained to be an accountant at Andersens working in the UK and Australia. He then worked at Barclaycard in Internal Audit and Operational Risk, focusing on payments acceptance and implanting a new Operational Risk Framework. Since moving to Santander, his focus has been on implementing the Operational Risk framework within T&O, to ensure changes in Fraud, Payments risks, Resilience requirements as well as Technology and Cyber risks.

Group Captain Simon Paterson

Assistant Director (Warfare)

UK MINISTRY OF DEFENCE

Group Captain Simon Paterson joined the Royal Air Force in 1992 as a cadet at Birmingham University where he read Chemistry. After initial training, he flew Sea King, in the Search and Rescue Role and then Chinook, flying operationally in both Afghanistan and Iraq. He was promoted in 2003 and served as a Flight Commander and then 2nd in Command of No 18 (Bomber) Squadron both in the UK and Iraq on operations.
He then moved into Whitehall to become the Chinook and Merlin Capability Desk Officer. Notable achievements over the next 2 years included the acquisition of the 6 Danish Merlin into the RAF fleet (c.£240M) with the associated formation of No 78 Squadron at RAF Benson as well as the delivery of many other capability enhancements for the Chinook (c.£250M) in order to enhance its performance in Afghanistan. He was selected for promotion to Wing Commander and completed Advanced Command and Staff Course for senior managers and leaders in 2008. On graduation, Wing Commander Paterson was posted to RAF Benson to command No 28 (Army Cooperation) Squadron. During this time, he also commanded the Joint Helicopter Force (Afghanistan) in Camp Bastion over a very violent summer period in 2010 and was awarded an OBE in the 2011 New Year's Honours List.
On completion of his command, he was selected to be the Military Assistant to the Deputy Chief of Defence Staff (Capability) again based in the Strategic Military Headquarters, Ministry of Defence Main Building, working latterly for Air Marshal Steve Hillier. In 2012 he was promoted to Group Captain and worked as the Special Forces Air Commander in Regents Park Barracks, responsible for all global air support to UK Special Forces. Following his conversion to type onto Puma helicopter, which completes the set of RAF Helicopter types, Group Captain Paterson completed a tour as the Station Commander at RAF Benson and Puma Force Commander. This role included being the legally accountable risk holder for the Risk-to-Life associated with operating the Puma aircraft.
He was then selected to complete the Higher Command and Staff Course in the early part of 2017, which is the most senior educational course in Defence before taking post as Directing Staff to teach and deliver the course in the role of Assistant Director Warfare.
Outside of work, his hobbies include Road and Mountain Biking, Golf and Running. He has 2 children, Eleanor and Adam.

Lav Bernfest

Head Of Operational Risk Controlling

ERSTE GROUP

Lav is currently the Head of Group Operational Risk at Erste Group; he is responsible for the OpRisk framework, his primary focus these days is on stress testing, risk appetite and establishing pro-active risk management.
Though he initially started as a trader, in the US, he switched to risk and joined Hypo Alpe Adria (currently Addiko) to investigate financial crime and establish the operational risk management function.
In 2013, Lav joined SKS where he supported clients in Austria and Germany in reviewing, implementing and living their OpRisk frameworks.

Georgia Simmons

Director, Operational Risk RCSAs

BARCLAYS

Georgia Simmons is the Senior Lead within the 2LoD RCSA team at Barclays, working for the Barclays Head of Operational Risk RCSAs.
Georgia works closely with the Barclays Group Centre and 1LoD Business CCO teams, as well as the Barclays 2LoD OR Framework & Policy team.
Georgia's previous roles include Barclays Regulatory Issue Management and Systems Design, working in the Barclays Legal Function. Prior to joining Barclays in June 2014 Georgia worked in Risk and Finance at Nomura and JP Morgan, across Finance and Risk Management Projects.

Ewen O'Brien

Head of EMEA

BITSIGHT TECHNOLOGIES

Ewen O'Brien- Head of EMEA at BitSight Technologies. Prior to joining BitSight, Ewen was part of the founding team in OpenPages EMEA, the market leading Governance, Risk and Compliance solution, that was acquired by IBM in 2012.He headed up financial services, where he helped expand the business, most notably in Europe, Africa and Asia.

Kurt Neilson

Head of Supplier Management

AEGON UK

Kurt Neilson is Head of Supplier Management at Aegon UK, a leading provider of Life, Pensions and Investment Products. Kurt's responsibilities include the management of Aegon's tier 1 Suppliers with annual spend in the region of £100m. Kurt is also a member of Aegon's Global Procurement Advisory Council who set the direction for Procurement and Supplier Management practices around the globe.

Kurt has over 26 years' experience in UK Financial Services gained at Royal Life, Swiss Life, Resolution, Phoenix Group and since 2013, Aegon UK.

Kurt was a member of a BSI UK working party which formed part of a broader global group which introduced a Global ISO standard in Outsourcing in Q4 2014.

Kurt holds the Chartered Insurance Institute's Advanced Financial Planning Certificate, an MSc in Management, the National Outsourcing Association's Professional Certificate in Outsourcing, and the IACCM Supplier Relationship Management - Expert level.

Kurt is married with two young children and is a keen golfer and member of Formby Golf Club in the North West of England.

 

 

Ingvild Lexmark

Principal Operations Risk Manager – Western Europe

NASDAQ

Ingvild Lexmark joined Nasdaq Group Risk Management as Principal Operational Risk Officer for Nasdaq's Western Europe in late September 2017,currently leading the Global Risk Management initiative for the Western Europe Region. Before this role, Ingvild headed the role as ERM Risk Officer for the AIG Europe Limited`s Northern Region, supporting the North Europe Senior Executive management in shaping the risk profile of the 10 North Europe AIG branches (Branches clustered into three Geographies; Central, Benelux and Nordics) for eighth years. Ingvild has studied Business Administration at Stockholm University and holds a bachelor's degree in Hotel Management & Marketing.

Sophie Rutherford

EMEA Head of FX Business Risk,

STATE STREET

Sophie has 30 years' experience in various roles in the financial services sector. She is currently EMEA Head of FX Business Risk at State Street and prior role as EMEA Head of Operational Risk for Global Markets. Sophie has previously worked at RBS, UBS and Morgan Stanley with roles in COO and IT functions including leading Risk & Control teams, managing Risk & regulatory programmes and developing IT applications.

Jane Yao

SVP - Benchmarking & Survey Research, Office of the Chief Economist

ABA

Jane helped establish ABA's Operational Risk Data Sharing Consortium (the ABA Consortium) in 2003 to collect operational loss data by business line and event type. Jane continues to lead the discussion on loss reporting and classification issues. Jane currently oversees ABA's operational risk peer benchmarking programs. She runs ABA's Key Indicators Working Group, which analyzes and identifies effective KRIs for banks' material risks; the Scenario Analysis Working Group, which shares ideas and insights into developing forward looking scenarios for use in stress testing and risk management.

Jane and her team of analysts have tracked fraud trend and prevention leading practices for card, check, online, ACH, and mobile channels. She has presented various survey results at industry events.

Jane holds a Ph.D. in Economics from the University of Maryland, College Park.

 

 

Stephen Creese

Regional Head, Operational Risk Management

CITI

CHAMPAGNE KEYNOTE: Dr. Wilfried H. Paus

Managing Director, Head of Non-Financial Risk Modelling

DEUTSCHE BANK

Wilfried Paus originally started with Deutsche Bank Bremen branch right after school in 1984. After his apprenticeship, he went on to study his favourite subject, pure mathematics, in Bonn and Sydney.

Upon completion of his PhD at the University of New South Wales in 1996, Wilfried returned to Deutsche Bank to work in risk methodology development in Frankfurt and London. While initially focusing on credit risk, his scope quickly expanded to the modelling of other risk types and its application in risk management. In this context he led Deutsche Bank's Risk Analytics & Living Wills department, which also covered recovery and resolution planning, for five years.

More recently, Wilfried joined Deutsche Bank's Non-Financial Risk Management function, where he currently acts as Head of Modelling focusing in particular on measurement and steering Deutsche Bank's operational risks.

Wilfried frequently represents the bank in discussions with regulators and industry associations on risk methodology.

 

Advisory Board

Jason Forrester

Managing Director, Head for Enterprise and Operational Risk Management

CREDIT SUISSE

Jason Forrester is a Managing Director of Credit Suisse in the CRO division and is based in London. He is Head of Enterprise & Operational Risk Management and of CRO Change. Prior to this role Jason was Head of the Capital Management Function, EMEA Regional CFO, and as a member of the CSi/CSSEL Board. Previously, Mr. Forrester was in the CRO division as Head of Risk Analytics & Reporting and member of the CFO division Management Committee. He served as a member on the Managing Director Evaluation Committee (MDEC) during 2009, 2010, 2011 and 2012.

Mr. Forrester joined Credit Suisse First Boston in August 1999 from PricewaterhouseCoopers (PwC), where he worked in the financial services audit and business advisory practice. He moved on to New York in 2004 and relocated to Singapore in 2007 where he stayed until end of 2011.

Mr. Forrester holds a degree in Management & Computer Science from the University of Aston and is a Fellow of the Institute of Chartered Accountants in England and Wales.

 

Paul Neale

Head of Operational Risk

MIZUHO INTERNATIONAL

Paul is currently Head of Operational Risk Management at Mizuho International plc, having joined the firm in 2014.
Immediately prior to joining Mizuho, Paul spent several years running a change programme within Treasury at RBS, supporting the safety and soundness agenda in the aftermath of the financial crisis. Preceding RBS, Paul held regional head of Operational Risk roles at both Macquarie Group and JP Morgan as well as having run Product Control, Financial Control, and project teams across various investment banks. Paul is a member of the Institute of Chartered Accountants.

Rajat Baijal

Head of Operational Risk

THE NORTHVIEW GROUP

Rajat Baijal is the Head of Operational Risk at the Northview Group. He is responsible for designing and embedding a robust Operational Risk Framework across the specialist mortgage lending / servicing institution. This includes articulating and implementing a robust Risk & Control Self-Assessment (RCSA), Risk Event Management and KRI methodology. Rajat has an MBA in Finance and has previously worked for Cantor Fitzgerald, Lloyds Banking Group and Aviva specialising in global implementation of their Operational Risk Framework.

Ariane Chapelle

Adjunct Professor

UNIVERSITY COLLEGE LONDON

Dr. Chapelle is Honorary Reader at the University College London for the course "Operational Risk Measurement in Financial Institutions" for the Department of Computer Science. She studies banking regulations since the 90s and is active in Operational Risk in the banking sector since 2001. She holds regular columns on risk.net and is a member of the editorial Board of the Journal of Operational Risk. Her firm, Chapelle Consulting, has been appointed in 2017 on the Skilled Persons panel of the FCA and the PRA for Operational Risk.

Danny Frost

EMEA & APAC Regional Head of Operational Risk Management

AIG INVESTMENTS

Danny Frost joined AIG in June 2015, and currently serves as AIG Investments' Regional Head of Operational Risk for EMEA and APAC.
Prior to joining AIG, Mr Frost held several roles within Investment banking, managing Derivative Operations, Middle Office and Prime
Brokerage functions. Mr Frost spent nineteen years of his career at Credit Suisse and most recently held the positions of Global Head of
Operations New Product Approval and Global head of Line Risk Management for Collateral, Clearing, Valuations & Liquidity.

Sam Lee

Head of Operational Risk

SUMITOMO MITSUI BANKING CORPORATION

Sam Lee is Head of Operational Risk, EMEA for SMBC. He has previously been head of operational risk at RBS, Barclays Wealth and Credit Suisse Private Banking and has ridden a number of the industry's challenges. Sam started his career training as a chartered accountant and left the profession immediately after qualifying and entered the world of investment banking as an internal auditor before moving to operational risk and initially setting up the operational risk framework and department for CSPB - He has stayed with Operational Risk ever since and has been focused on the embedding and transformational aspects of Operational Risk.

Christian Hunt

Head of Compliance & Operational Risk Control EMEA

UBS

Christian Hunt is the Global Head of Compliance & Operational Risk Control for Asset Management and Global Head of Compliance & Operational Risk Control for EMEA at UBS.

Prior to joining the Firm, he was Chief Operating Officer of the Prudential Regulation Authority (“PRA”), a subsidiary of the Bank of England. The PRA is responsible for the prudential supervision of deposit takers, insurance firms and designated investment firms in the UK. Christian previously held the position of Head of Department at the PRA (and before that its predecessor organisation the FSA) responsible for the supervision of international systemically important banks.

He has also run a London based family office which managed hedge funds and was active in private equity. Prior to that he was a Director in Investment Banking at Deutsche Bank. In addition to his corporate finance responsibilities, Christian also ran the Chairman’s Office and spent two years on secondment at the UK Takeover Panel, regulating takeovers and mergers. He began his career at Arthur Andersen, is a Fellow of the Institute of Chartered Accountants and holds an MA from the University of Oxford.

Veronica Lazenby

CAO & EMEA Head of Operational Risk

BNY MELLON

Veronica Lazenby is the EMEA Risk Chief Administrative Officer and Head of Operational Risk for BNY Mellon.

Veronica joined BNY Mellon in Sept 2014. Prior to joining BNYM she was a Managing Director at Barclays and held positions as the Operational Risk Director for their Personal and Corporate Banking division and prior to that the Group Head of Operational Risk Assessment, Methodology and Measurement.

Veronica has also held senior risk management and business roles at Royal Bank of Scotland and Schroder Investment Management, where she was the COO for Global Trading. She began her career as a management consultant at Andersen Consulting advising Financial Services clients including the London Stock Exchange, Barclays, CSFB and Prudential.

Outside work Veronica enjoys spending time with her young family, running and if she can find the time reading a good thriller or practicing her skills for the Great British Bake Off.

 

 

Paul Kelly

CCO Europe- GCCO Office

HSBC

Paul joined HSBC in July 2013 as a Managing Director within Operational Risk.

Prior to joining HSBC, Paul was an Executive Director with JPMorgan in their technology division, and prior to this he had a successful career in the Royal Air Force where he held a broad range of senior leadership, engineering management, risk analysis and policy development roles before retiring as a Wing Commander. Significant appointments included: Officer Commanding Engineering and Logistics Wing RAF Benson, UK Strategic Defence and Security Review, Senior Engineer UK Chinook Force. Paul has seen active service in Northern Ireland, the Balkans, Arabian Gulf, Africa, and Afghanistan, he is a Graduate of United Kingdom Advanced Command & Staff Course at the UK Defence Academy, a Chartered Engineer and Fellow of the Royal Aeronautical Society. And it is this background, that Paul believes gives him a thorough grounding in active risk management.

In his spare time, Paul enjoys hillwalking, and other outdoor sports with his wife and three children.

 

Steven Portway

Group Head of Operational Risk Framework, Policy and Conformance

BARCLAYS

Steve is Group Head of Operational Risk Framework, Policy and Conformance at Barclays and has over 25 years experience in the financial services. In his current role he leads a team which provides challenge and oversight on risk taking by support Functions. He has expertise in developing and enhancing operational risk frameworks and brings together the wide range of experience in risk, operations, technology and change management matters to achieve the effective risk management.

Workshop Speakers

Nicola Crawford

Independent Consultant

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Nicola is the founder of i-Risk Europe Ltd and is currently the managing director. Nicola is also the immediate past Chair of the Institute of Risk Management (www.theirm.org) and she has over 20 years' experience in risk management, strategic management, change management, leadership coaching and training development & delivery.

Motivated and high-performing risk professional offering with significant experience in governance, regulatory change/compliance, assurance, internal control, and enterprise risk management (ERM) combined with solid record of accomplishment in identifying and implementing strategies to capture improvement opportunities within global banking groups, public sector/local government, healthcare, retail, energy, utilities, investment banking, asset/wealth managers and insurers (Life and GI).

Nicola offers a strong track record in uniting ERM strategy, Risk Governance and putting new regulatory strategy into action whilst delivering commercial benefits. Nicola has held a number of very senior risk roles where third party risk management has been within her remit.

 

 

Michael A. Barton

Director of Operational Risk Quantification and Scenario Analysis, CCAR/EC

AIG

Michael Barton, Head of Op Risk Quantification for Economic Capital, CCAR, and Scenario Analysis
Michael Barton is currently the Head of Operational Risk quantification and risk data analytics at AIG. His role entails leading the modeling efforts for CCAR estimation, economic capital, scenario analysis, allocation, and other analytical support for AIG's risk management framework. Before working at AIG, Michael was the Head of the Regulatory Solutions Quantification group in U.S. Bank's Corporate Treasury Department. In this role, he was responsible for CCAR/DFAST and regulatory capital modeling for Operational Risk, as well as setting up a governance framework for models and analytical tools in U.S. Bank's Corporate Treasury Department. When Michael left U.S. Bank, there were no open MRAs for the CCAR/DFAST Model. Previous to those roles, Michael worked in an actuarial capacity at Sun Life Financial in Boston handling variable annuity reserving, fixed and variable annuity lapse study estimations, and retirement product pricing. He held a similar variable annuity reserving role in Security Benefit Corporation in Topeka, KS before that. Michael has a Bachelor's Degree in Mathematics with an Actuarial Emphasis, and a Master's Degree in Theology.

Elena Pykhova

Director

THE OPRISK COMPANY

Elena Pykhova is a Director at the Institute of Operational Risk responsible for the Institute's educational portfolio. As founder of her own consultancy company, Elena has been working with many international institutions to deliver practical solutions in Operational Risk Management. She has over 20 years experience in the financial services industry, and her former roles include Head of Global Internal Control, American Express Bank, Group Head of Operational Risk, Private Bank at Standard Chartered Bank, Group Head of Operational Risk at VTB Capital and advisor to the Head of Operational Risk, Deutsche Bank.
Elena is an experienced and respected Operational Risk trainer. She runs public and in-house training courses in the UK and internationally, and delivers Operational risk executive master classes at Cambridge and Oxford Universities. She has trained hundreds of senior executives of different nationalities over the recent years.
Elena is a member of the Council of the Association of Foreign Banks and Chair of the Operational Risk Committee. She organises and leads monthly meetings on the topics of interest, oversees working groups and committee papers on 'good practices'. She is a frequent speaker at conferences and writes articles for various magazines.

 

 

Robin Slade

Executive Vice President and COO

SANTA FE GROUP- SHARED ASSESSMENTS PROGRAM

Robin is Executive Vice President and Chief Operating Officer with The Santa Fe Group, where she works with clients, CEOs, and consultants as an expert in third party risk assurance, and fraud reduction. Robin leads all activities for the Shared Assessments Program-a cross-industry, member driven consortium with resources, tools, and best practices to effectively manage the third party risk management lifecycle-including managing its Advisory Board, Steering Committee, Member Forum, Shared Assessments Annual Summit, and the Certified Third Party Risk Professional (CTPRP) program. Robin regularly serves as an industry spokesperson, educating multiple industries and regulators about the Shared Assessments Program. She is often quoted in the press on issues in data security, privacy and business continuity. Her speaking engagements include: BAI, BITS, RSA, RSA APJ, FS ISAC, Corporate Executive Board (CEB), Federal Trade Commission (FTC), National Healthcare Anti-Fraud Association (NHCAA), Shared Assessment Annual Summit, Risk Management Association (RMA).

Prior to the Santa Fe Group and Shared Assessments Program, Robin managed BITS' flagship Fraud Reduction Program, including managing the activities of the Program's nine working groups. She was recruited to help launch Medical Identity Fraud Alliance (MIFA) as Development Coordinator because of her passion for finding fraud solutions. MIFA is the first public/private sector effort to jointly develop solutions and best practices to address medical identity fraud. Robin holds a B.S. in Business and Management, a B.S. in Computer Studies, and an M.S. in e-Commerce from the University of Maryland University College.

 

 

Lydia Bailey

Former Head of Regulatory Management

FORMERLY JPMORGAN CHASE

Lydia has extensive regulatory, risk management and governance experience acquired at the Bank of England / FSA and leading firms.

As a regulator she worked for the Bank of England / FSA on the Traded Risk and Operational Risk Teams. She created the systems and data aspects of the UK implementation of the CAD2 (market risk capital) recognition regime, and was E-commerce theme manager, producing the E-Commerce Discussion Paper.

She understand regulatory interactions not just from the perspective of a regulator but also as a Head of Compliance (UK and Europe) for BP, Head of Regulatory Management (EMEA) for JPMorgan, and most recently in preparing firms for regulatory visits through her consultancy company Metidian.

Lydia grasps issues and implications quickly, has excellent judgement and the ability to anticipate regulatory expectations. She uses her experience to work out solutions that are appropriate and pragmatic.

 

Roger Miles

Visiting faculty and Research Associate

UNIVERSITY OF CAMBRIDGE

Dr Roger Miles researches behavioural risks, including regulated conduct, culture and reputational risk, and exposes flaws in the design of regulatory controls. He teaches at Cambridge University and the UK Defence Academy, as well as leading learning programmes for various professional groups. He works with a wide range of risk governance leaders, counselling on how best to use new management tools and sources of information to secure all-staff support in eliminating the cognitive blind spots left by conventional risk management. His research is published by Reuters, the FT, and Berkeley Research, among others. His books include the popular introductory guide Conduct Risk Management: A behavioural approach (Kogan Page, 2017).

Caroline Bansraj

Global Training, Awareness- Technology Operational Risk

CREDIT SUISSE

Caroline Bansraj heads the training, awareness & communication function globally for Technology Operational Risk at Credit Suisse. She has a Master's Degree in Integrated and International Marketing and a BA Hons in Business & Finance along with 20 years of experience delivering business critical and complex messaging in the private and commercial sector. She joined Credit Suisse in September 2015, from RBS, where she managed business to business and business to consumer awareness and communications for Corporate and Private Banking.