Keynotes & Keynote Panelists
Deputy Comptroller for Operational Risk
OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC)
Beth Dugan is the Deputy Comptroller for Operational Risk at the Office of the Comptroller of the Currency (OCC).
In this role, Ms. Dugan oversees policy and examination procedures development addressing operational risk, bank information technology, cybersecurity and critical infrastructure, payments systems, and corporate and risk governance. She assumed these responsibilities in November 2014.
Prior to this role, Ms. Dugan served as Examiner-In-Charge of Citizens Bank, NA, in Providence, Rhode Island, where she managed a team of examiners covering all disciplines, activities, products, and aspects of the bank.
Throughout her career at the OCC, Ms. Dugan has held a variety of leadership roles in supervising large complex financial institutions as well as midsize and community banks and technology service providers. She has significant examination experience in technology, operations, audit, Basel II, enterprise governance, systems integration, and credit, capital markets, and trading platforms. She also participated on the OCC's initial reviews of major service providers based in India. Ms. Dugan is a commissioned National Bank Examiner and Certified Information Systems Auditor.
Ms. Dugan joined the OCC in West Virginia where she assisted in supervising all aspects of community and mid-size national banks throughout the southeastern and mid-Atlantic region. She holds a bachelor of arts in English and a master of business administration fromWest Virginia University
Director- Supervisory Risk Specialists
PRUDENTIAL REGULATION AUTHORITY - BANK OF ENGLAND
Charlotte Gerken is Director of Supervisory Risk Specialists (SRS) in the Prudential Regulation Authority, Bank of England. SRS provides technical expertise across prudential risk disciplines to inform and shape macro and micro-prudential policy, strengthen supervision and achieve effective regulatory outcomes. It includes specialists in credit, traded and operational risks, and in liquidity, asset and liability management and capital.
Prior to her current role, Charlotte was Head of Traded Risk within SRS advising supervisory and other Bank colleagues on market and counterparty credit risk identification, assessment and mitigation, including firms' controls surrounding traded risk. Charlotte is also a former head of SRS's Risk Infrastructure, Liquidity and Capital division.
Charlotte's previous supervisory experience includes leading the prudential and conduct supervision of Royal Bank of Scotland Group from 2010-2012, managing the supervision teams of major life insurance groups and supervising banking groups and US investment banks. Charlotte has previously worked on the risk specialist side of supervision and started her career in commercial banking.
Global Head of Operational Risk
Alan is the Global Head of Operational Risk at Pioneer Investments and is responsible for the alignment of operational risk services, promoting the consistent application of the operational risk framework and acting as the reference point for senior management and business sponsors. Prior to this role he was the Head of Risk Management for one of Pioneer's key global trading hubs. Before joining Pioneer Alan was a Director with the Operational Risk Management function within DEPFA Bank having moved from the Bank of Ireland where he performed a similar role. Prior to his banking experience he worked for a company called International Risk Management Services where he provided quantitative risk analysis consultancy to the transportation industry, both in the UK and worldwide.
Alan completed a degree in Risk Management at the Glasgow Caledonian University and is a Member of the Institute of Risk Management. He also holds an MBA, specialising in Financial Services.
Managing Director, Head for Enterprise and Operational Risk Management
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.
Chief Risk Officer
Paul Berry is currently the Chief Risk Officer of Mizuho International Plc, having joined Mizuho in 2013. In a career that spans over 30 years, Paul has held front office roles in relationship banking however the majority of his career has been spent in Risk Management, predominantly focused on credit risk management of trading room products and trading room counterparties. Prior to joining Mizuho Paul has held senior Risk Management positions with: CIBC, ABN AMRO Bank and RBS. While at ABN AMRO Paul worked for 7 years in Amsterdam. Paul holds an MBA from City University Business School.
Global Head of Operational Risk
Claude is Global Head of Operational Risk for BPCE Group. He has 12 years' experience in OR gained in the US and in France. Prior to joining BPCE Group, he was with CA CIB in London for 10 years, as Head of Operation in capital market activities. He has a MSc from ESSEC Business School and a degree in Physics. He started his career at Banque Indosuez in Paris.
Chief Risk Officer
ZURICH INSURANCE GROUP
John Scott is Chief Risk Officer for Zurich Commercial. He joined Zurich in 2001 becoming Head of Risk Insight in 2007 and took on his current role in 2009. John leads the global, regional and local implementation of the Group's enterprise risk management strategy across Zurich's Commercial business.
A graduate of Oxford University, with a PhD in geology from Aberystwyth University, John's early career was in the upstream oil & gas industry, where he gained wide-ranging international experience with BP. In 1995 he gained his MBA at Cranfield and joined BOC, working in Group Strategy & Planning team and then helping to develop BOC's fast-growing Edwards business division.
John is a member of the Institute of Directors in the UK and is a contributor to the World Economic Forum Global Risks Report.
Head of Operational Risk
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.
Head of Operational Risk, Change and Use Test Measurement
Risk professional with 30+ years experience predominantly in Retail Branch Banking, Audit and Risk Management. Previous roles rooted mainly in Barclays and Santander Operations in the UK and Europe. Over 20 years experience specifically in various roles within the Risk functions, both Line 1 and Line 2 and also straddling the areas of Internal Audit and Operational Risk Management and including qualifications in Audit. Current role encompasses the oversight of the framework and initiatives in the change and new product arenas plus the level of developing maturity in terms of management of Third Party Supplier risks. Given the background in audit current role also encompasses evaluation of the level to which the Operational Risk Framework is embedded, particularly with Use Test measurement in mind. Also has particular interest in education and is a Director, Trustee, and Governor of a large private educational foundation within the Midlands which provides the opportunity to apply Risk Management techniques within a different environment to Banking and Insurance.
Global Head of Operational Risk Audit
Jenny has worked in HSBC for 23 years and has had a number of roles within the Bank over that period. She worked initially within the IT function, focussing on project management and support. She then moved into Internal Audit, where she spent 10 years undertaking global and local business, IT and project audits. She then undertook a 12 month secondment to Vietnam to assist a local Bank in establishing a risk-based Internal Audit department, following which she returned to the UK in 2009 and joined the European Operational Risk team, oversighting the Banks supporting functions including IT. Since then Jenny has alternated roles between the second and third line of defence, with spells as the Head of Operational Risk Audit and more latterly the Head of Three Lines of Defence Execution, Operational Risk, responsible for implementing and embedding the Bank's Three lines of Defence model and the current operational risk management framework across the Bank.
Head of Global Strategy
STANDARD LIFE INVESTMENTS
Andrew is the Head of Global Strategy at Standard Life Investments, where he advises the CEO and senior fund management team with economic, market and political analysis. He also is also a member of the group that forms Standard life Investments' House View. Andrew will use his extensive market and economic knowledge to give you an insight into current geopolitic risk
Managing Director, Head of Group Investigations- Chief Security Office
Managing Director Christopher Greany is the Head of Group Investigations at
Barclays Chief Security Office. He is responsible for delivering the strategic
direction and tactical response to investigations across Barclays international
Before joining the financial sector he had a policing career spanning over 30
years. His last role was leading the UK and international policing response to
Economic Crime and Cyber Protect as Commander in the City of London
Police. In 2014 he led the National Police Coordination Centre, which
coordinates the UK policing response to national and international crisis and
disaster together with being an adviser to Government in COBRA.
During his policing career he served with the Metropolitan Police across a
number of areas with a focus on counter terrorism, security & intelligence.
Career highlights include a secondment to NATO in Brussels advising the
Secretary General, and delivering the security strategy for the British athletes
and VIP's during the 2004 Athens and 2012 London Olympic Games.
Between 2004 & 2007 he delivered the international protection and security
for two British Foreign Secretaries. In 2011 he was the senior detective
responsible for the the major investigation into the London riots, resulting in
the arrest of over 5000 suspects.
Christopher Greany is also is a Trustee of the Police Dependents' Trust (PDT)
set up to support officers and their families after the murder of three police
officers in Shepherds Bush in 1966.
He has simple philosophy to leading high performing teams; Get the best
people you can, empower them to make decisions, treat them with fairness,
respect and politeness and most importantly have some enjoyment as well
Managing Director within their Chief Operating Office
Koral is the Divisional Control and Regulatory Officer for the Bank's Chief Operating Office covering Technology, Operations and Corporate Services. She is responsible for the identification and management of risk along with providing regulatory oversight and guidance.
Koral joined Deutsche Bank in 2012. She held various roles in Operations, before becoming the Global COO for Group Technology & Operations and then the Divisional Control and Regulatory Office in 2014.
Prior to joining the Bank, Koral worked at Goldman Sachs for 15 years with assignments in Tokyo, London and New York.
Koral graduated with a MA(h) in Accounts and Economics, is a Chartered Management Accountant and is a fellow of the UK Securities Institute.
Managing Director, EMEA & SRU Head of Operational Risk
Steven Major is a Managing Director of Credit Suisse in the CRO division, based in London. Steven is Head of Operational Risk Management for both the Strategic Resolution Unit (SRU) and the UK legal entities. In this role he is responsible for independent operational risk oversight across the SRU and all divisions booking into the UK.
Prior to this role Steven was the Chief Operating Officer for the UK CRO and has held a variety of Investment Banking and Markets roles across Market and Credit Risk. He moved to New York in 2001 where he stayed until 2003 before returning to London.
Steven joined Credit Suisse in January 2000 from PricewaterhouseCoopers (PwC), where he worked in the financial services, management consulting and advisory practices.
Mr. Major holds a first class honours degree in Business from Aberdeen University.
Head of Data Governance and Strategy (CDO) – EMEA
With over 25 years of experience in data, Hany Choueiri joined State Street in 2016 as the Head of Data Governance and Strategy for EMEA. Previously he was the Chief Data Officer at the Bank of England leading the strategic One Bank Data initiative. Between 2009 and 2014, Hany worked in a variety of roles at HSBC most recently as the GBM Chief Data Officer, Europe & Head of Data Quality Services. Prior to HSBC, Hany worked at Deutsche Bank, Clerical Medical and Ernst & Young where he managed a number of key client data, business intelligence, cash management and risk initiatives. Having been instrumental in pioneering one of the first Data Warehouses, Hany's career has been centered around data and its management.
His passion for data is complemented by expertise in the use of process improvement, project & programme management methods such as Six-Sigma and PRINCE2 and their combined application to successful data transformations. A regular speaker in a number of data events, Hany has also been involved in number of data centric industry initiatives such as the LEI, KYC Utility and the development of Data Maturity Models
EMEA & APAC Regional Head of Operational Risk Management
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.
CAO & EMEA Head of Operational Risk
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.
Head of ORM Capital
Dimitris has over 12 years' experience in OpRisk management. He has been with Credit Suisse since 2010 and heads the global Operational Risk Capital & Modelling department which is responsible for the regulatory & internal capital processes including AMA, ICAAP, CCAR, etc. Before CS he was with Lloyds bank and he is a mathematician by training.
Chief Risk Officer
BANK OF MONTREAL (IRELAND)
Prior to joining Bank of Montreal he held positions as Divisional Chief Compliance and Risk Officer and Divisional Head of Compliance of Allied Irish Bank ("AIB"), Head of Compliance and Risk of AIB's securities subsidiary and Head of Regulation and Trading of the Irish Stock Exchange. He is an accountant and held senior positions with Big 4 firms.
Head of Operational Risk Regulatory Advisory
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.
Managing Director, Head of Enterprise Risk Management- Risk Management Division for EMEA
THE BANK OF TOKYO-MITSUBISHI UFJ
Jeff Simmons joined Bank of Tokyo Mitsubishi UFJ ("BTMU") in June 2014 as the Head of Enterprise Risk.
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.
His responsibilities at BTMU include the development of a Regional Risk Appetite Framework, and the creation of an Integrated Stress Testing process. He is now working extensively with the Head Office to develop a global framework in these 2 areas.
Head of Operational Risk & Financial Crime, MLRO
BANK OF IRELAND
Polina is an experienced financial services risk professional. She has worked in large financial institutions, including Barclays where she managed Operational Risk in UK Retail 2nd line and RBS Group where she led the Internal Capital Adequacy Assessment Process (ICAAP) for the Group and its main legal entities. Polina has regulatory experience having worked at the FSA as a prudential supervisor of a major UK banking group. She joined Bank of Ireland UK in 2014 to head up a 2nd line function focusing on operational risk, information security and cybercrime, fraud and money laundering / terrorist financing / sanctions and bribery & corruption risk. She holds SMF17 (Money Laundering Reporting Officer). Polina's earlier career was in accounting and internal audit. Polina holds a Master's in Business Administration degree with a concentration in Finance from the University of Texas.
Head of non-financial risks
Having started his career as an apprentice at Aon, Chris Allen now has more than 15 years experience in the financial industry. In his current 2nd line role at Wesleyan, Chris leads on the design and implementation of the Group's Operational Risk framework. Before moving to Wesleyan, where he has spent the last 8 years, Chris held various Operational positions at HSBC focusing on continuous improvement, operational efficiency and resource utilisation
Head of Operational Risk Governance
LEGAL & GENERAL
Simon is L&G Group's Head of Operational Risk Governance. He has spent 17 years with the organisation, previously holding a variety of senior risk management roles in the retail investments and banking business units. Simon worked on L&G's Solvency II programme, focusing on the Pillar 2 workstream and leading the phase 1 IMAP Submission. Immediately prior to his current role, he was responsible for governance arrangements over the Group's Internal Model. Prior to L&G, Simon worked for Bradford & Bingley Building Society, as Credit Risk Manager in their retail mortgage business.
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.
Head of Operational Risk
Craig Wilson has worked in Operational Risk Management for 7 years and joined Atom Bank in February 2016 as the Head of Operational Risk. Craig has worked in Financial Services for more than 13 years and prior to joining Atom he worked for Deloitte in their Risk and Regulation practice. Prior to this he worked in risk and compliance roles for a leading UK challenger bank.
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.
Head of Governance, Risk Integration and ERM
Linda Jaka is a currently Head of Governance for Operational Risk (OR) at Standard Bank. She is responsible for the development of OR governance documents for the banking group. In addition, she develops and conducts OR training. She has previously worked at Standard Chartered Bank where she held various roles as card production officer, accounts officer, market risk analyst and operational risk assurance manager.
Risk Quantification and Modelisation Expert
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.
Global Head of Operational Compliance
BARING ASSET MANAGEMENT
Rob has worked in asset management for over 20 years and joined Barings in September 2000 as Head of Operational Compliance, to create a global operational compliance function. This role includes responsibility for Barings' Transaction Reporting process, working with vendors like LSE-UnaVista, FundApps and KNEIP to implement reporting solutions for Shareholding Disclosures, EMIR, MiFID and AIFMD Annex IV Reporting.
Rob implemented the firm's guideline management process covering client and regulatory data, and the associated support systems. She has worked with vendors like Fidessa and Markit to create effective, risk oriented guideline management functionality, to increase automation of compliance checks. Rob is passionate about influencing investment professionals to focus on the needs of clients during their decision making process and has written on the subject in industry journals, while addressing other operational risk topics. Between 2004 and 2009 Rob was responsible for the firm's Equity Asset Allocation (trade implementation) and Private Client Service processes. These middle office functions supported investment decision making and order generation.
Rob is a member of Barings' Operations Leadership Team and sits on their Client Asset Oversight Committee. Prior to joining Barings Rob worked for Citigroup leading a London based fiduciary risk management team. She holds a Masters degree in Business Administration.
Director - Operational Risk, Internal Audit
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.
Global Head of Research and Innovation
Bertrand Hassani is a risk measurement and management specialist (Credit, Market, Operational, Liquidity, Counterparty etc.) for SIFI's. He is also an active associate researcher at Paris Pantheon-Sorbonne University. He wrote several articles dealing with Risk Measures, Risk Modelling, and Risk Management. He is still studying to obtain the D.Sc. degree (French H.D.R.). He spent two years working in the Bond/Structure notes market (Eurocorporate), four in the banking industry in a Risk Management/Modelling department (BPCE) and one year as a Senior Risk Consultant (Aon-AGRC within Unicredit in Milan). He is currently working for Santander where he successively held the Head of Major Risk Management position (San UK), the Head of Change and Consolidated Risk Management position (San UK), the Global Head of Advanced and Alternative Analytics position (Grupo Santander) and is now Global Head of Research and Innovations (Grupo Santander) for the risk division. In this role, Bertrand aims at developing novel approaches to measure risk (financial and non-financial) and integrating them in the decision making process of the bank (business orientated convoluted risk management), relying on methodologies coming from the field of data science (data mining, machine learning, frequentist statistics, A.I., etc.).
Senior Vice President of Industry Solutions
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.
At BCS Consulting, Rob is responsible for the Expertise Function, where they develop a range of services and core capabilities, as well as methodologies, tools and thought leadership; most notably in the area of non-financial risk management. As well as driving the expansion of their knowledge and skills he also leads several of their key client relationships, delivering a portfolio of programmes aimed at enhancing revenues, improving efficiency and increasing control. Prior to BCS Consulting he held roles at Ernst & Young, Capco and NatWest Markets where he worked with a large number of financial services clients in risk management and performance improvement
Head of Risk Identification
Liezl de Villiers Getz is the Head of Operational Risk Identification at Aviva Investors. She is responsible for the management of risk identification, which feeds into the overall risk processes across the business. She started her career at KPMG (South Africa) in its financial services audit division and formed part of the Financial Engineering Group responsible for specialist expertise in risk management and quantification of financial instruments and investment structures.
Before joining Aviva Investors, she was previously at KPMG (United Kingdom) where her primary focus was the development and implementation of risk management and control frameworks, policies and processes as well as technical reviews of internal controls reports.
She holds a Bachelor in Accounting Honours degree from the University of Stellenbosch, is a qualified Chartered Accountant registered with South African Institute of Chartered Accountants and is a member of the Institute of Operational Risk.
Managing Director & Regional Head Operational Risk Management Europe, Middle East & Africa
Stephen has led the EMEA ORM team for approximately three years. Prior to joining Operational Risk Management Stephen worked in Citi Markets where he spent ten years in business risk & control and franchise management roles. Stephen joined Citi in 1998 after a short period working in London with various Inter-Dealer Brokers. Other prior assignments in Citi include Internal Audit and Markets Operations and Technology (O&T).
Stephen graduated from Manchester University (Economics) and received the Professor Challoner award for economic research.
Chief Risk Officer
THE CAMBRIDGE BUILDING SOCIETY
Victoria is the Chief Risk Officer and a Director of The Cambridge Building Society and is responsible for all aspects of risk and compliance within the Society. Victoria has worked in financial services for almost 20 years, including roles at the Bank of England and Financial Services Authority. Victoria recently wrote a chapter for Risk Books' publication on Conduct Risk on the Scope and Ownership of Conduct Risk within the Business.
At the FSA, Victoria's roles included project leader on PPI thematic work and supervising UK banks and insurance companies as well as some of the early work on Treating Customer's Fairly, with a particular focus on general insurance. Victoria has a degree in Economics from the University of Cambridge.
Eric Berdeaux is the CEO and founder of new generation GRC solutions software provider OXIAL. Eric is a specialist in information technology, risk and control management with over 20 years experience in the IT industry, and more specifically in banking and finance. He founded Oxial in 2005 with the idea of offering a powerfull and easy to implement solution to support Risk Management Initiatives. Eric's initial background is in software engineering and consulting.
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.
Head of Technology Risk Management (EMEA & APAC)
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.
Evan G. Sekeris is a Partner in the Financial Services practice of Oliver Wyman, based in Washington, D.C.. His areas of focus are operational risk, stress testing and model risk management. Evan's background is in the measurement and quantification of credit risk and operational risk. His primary focus is currently on supporting institutions in building operational risk modeling for stress testing, developing their risk identification process and developing their model risk management frameworks.
Some of his recent client engagements include:
• For a foreign global bank, helped them develop a comprehensive operational risk framework for their US based IHC. Ensured both integration of the framework in their international framework as well as US regulatory compliance.
• For a large internationally active US bank: supported major change of course in CCAR operational risk stress estimates a few months prior to submission in reaction to regulatory guidance.
• For a large regional bank: built their CCAR loss projection model and wrote the documentation for the full CCAR operational risk submission.
• For a global bank conducted a validation of their operational risk modeling framework for CCAR
Prior to joining Oliver Wyman, Evan was the Head of Risk Consulting for Financial Institutions for Aon in Columbia, Maryland. He was in charge of building Aon's risk consulting practice for financial institutions and managed multiple teams based in North America and Europe to deliver services to clients worldwide. Previously, Evan was an Assistant Vice President of the Federal Reserve Bank of Richmond, where he created the center of excellence for operational risk which served the System needs for operational risk related matters. The team was in charge of the supervision of all AMA and CCAR banks in the US and developed the Fed's CCAR model for operational risk.
Evan earned a B.A. and M.A. in Economics from the Université Catholique de Louvain in Belgium. He received an additional M.A. as well as his Ph.D. in Economics from the University of California at Los Angeles.
Executive Director - Operational Risk - Head of Outsourcing & Vendor Risk
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.
Director, Risk Data Aggregation and Risk Reporting Framework
Jerry Goddard is an experienced Risk professional with expertise in Market Risk and Risk Infrastructure. Responsible for the delivery of the Santander Group RDA programme in the UK he has a strong understanding of the benefits of good data architectures in the development of risk information systems. Previously the Director of Market Risk, responsible for all desk level and consolidated market risk analysis, control and reporting for the trading books, he also has expert knowledge of market risk methodologies and of the regulatory environment. He is a chartered management accountant with 25 years of experience in banking.
Former Chief Risk Officer
C. HOARE & CO.
Tomas joined C. Hoare & Co., the UK's oldest bank, in 2014 after holding senior risk management roles with several UK investment firms, including Threadneedle, GAM, Bank of America Merrill Lynch and AllianceBernstein. While based in New York, he earlier held senior roles at General Motors Asset Management, DTCC and Citigroup.
At C. Hoare & Co. he is Chief Risk Officer and a member of the bank's Executive Group with responsibility for Risk, Compliance, Anti-Money Laundering, Financial Crime and Data Protection.
Soon after arriving in the UK in 2006, Tomas became a founding member of the Investment Management Association's Operational Risk Working Group and later served on its Prudential Risk Advisory Group and Risk & Regulation Committee.
Tomas received his MBA from Columbia Business School, where he has served on the advisory boards of the Jerome A. Chazen Institute for Global Business and the Center for International Business Education & Research (CIBER), and also received a B.A. in Economics from Rutgers University in New Jersey.
WW GRC Solutions
Nick Trigg has been working in the risk analytics arena for over a decade focusing on operational risk, regulatory risk and associated areas within the GRC arena, designing and
implementing solutions for international financial institutions worldwide.
Nick is currently working within the IBM Risk Analytics Group developing transformational risk and compliance solutions and played an instrumental role in the launch of IBM's first cognitive-based Regulatory Compliance Solution.
Head of Technical Services - Applied Innovation
Tom is the Global Head of Technical Services for Applied Innovation at HSBC. With over 25 years of success in deploying global systems and infrastructures he is a recognized expert in financial systems with a reputation for delivering quickly. He is currently responsible for industrializing the global Applied Innovation Labs - researching and developing various technologies including: Cyber Security, Distributed Ledger, Financial Crime, Data Science, Machine Learning and Digital Identity
A passionate believer in building tightly-integrated teams, he describes himself as a well-rounded, hands-on computer scientist with a tenacious drive for deploying systems under challenging conditions. A known technology disruptor, Tom previously ran various enterprise transformation efforts at Bear Stearns, J.P. Morgan, Merrill Lynch and UBS prior to joining the firm last year.
His interests include music, skiing and DIY. He recently began singing with the London Philharmonic Choir and has a Jazz and Blues band which performs regularly in South West London.
Senior Director Solutions Consulting
Bart van der Hoeven is responsible for global solutions consulting, and is a member of the content and solutions board in charge of product strategy and planning. As a GRC thought leader, he offers his knowledge as a strategic and pragmatic thinker with proven ability to translate business challenges into effective and efficient IT solutions.
Bart joined the BWise Team in 2008, and is a customer focused IT professional with significant enterprise software product management and consultancy experience at both large and mid-sized software companies. Bart graduated from the University of Technical Informatics in Bremen, Germany and University of Informatics in Breda, Netherlands.
EMEA Deputy Head of International Risk, Corporate Risk
Katrina is EMEA Deputy Head of International Risk within Wells Fargo Corporate Risk. Based in London, she is responsible for independent risk oversight and credible challenge to the first-line of defence risk management primarily for operational risk management, conduct risk, regulatory risk management, business processes and governance across all Wells Fargo EMEA businesses.
Katrina has 12 years of experience in financial services, most recently at the Bank of England as an Operational Risk Specialist. This role involved assessing the operational risk frameworks, reporting and governance structures of global investment banks, UK banks and building societies against UK regulatory requirements. Particular focus was spent on the risks arising from operations, electronic trading, legal risk and unauthorized trading.
Prior to this, Katrina was a supervisor at the UK Prudential Regulation Authority conducting business model analysis and assessing operational risk, compliance, financial crime and recovery and resolution at US banks. Katrina also spent a year with the Federal Reserve Bank of New York developing the annual CCAR stress test.
Before regulation, Katrina worked at PricewaterhouseCoopers in Banking and Capital Markets Audit and the UK Financial Ombudsman Service, investigating mortgage endowment complaints. Katrina holds a Bachelor in Law from the University of Leicester.
Vice President, Risk and Quantitative Analysis
Dr. Mostafa Mostafavi is a Vice President for Risk and Quantitative Analysis at Credit Suisse in London, part time Researcher at Imperial College London and Director and Founder of Meybod, a company which provides education and research in the field of application of statistical learning in industries such as Health Care, Engineering, Finance and Telecommunication . He has worked as Model Risk Audit Manager at HSBC in London, Quant for Asset liability Management at Barclays Capital in London, Quantitative Analyst for Credit Derivatives at Commerzbank in London, Quantitative Developer at International asset management in London and lecturer at UEL in London. His education includes BSc. in Communication Engineering from Sharif University of Technology, MSc. in Communication Engineering from King's College London, MSc. in Mathematics and Finance from Imperial College London, PhD in Communication Engineering from University of Surrey and PhD in Application of Statistical Learning in Finance at Imperial College London.
Associate Professor of Financial Services
PLYMOUTH BUSINESS SCHOOL
Dr Simon Ashby is Associate Professor of Financial Services at the Plymouth Business School (www.plymouth.ac.uk/business).
Prior to this he worked as a financial regulator (writing policy on risk management for the UK Financial Services Authority) and a senior risk manager in a number of top UK financial institutions (covering both credit and operational risk). Simon has a PhD in corporate risk management and has published many academic papers and reports on risk, financial services regulation, banking and insurance. His current research interests include the global financial crisis, the Basel III and Solvency II regulatory reforms and risk management concepts such as risk culture and risk appetite.
Simon remains actively involved in the UK financial services sector and is a regular speaker at industry conferences and seminars. He also provides occasional training and consultancy services to financial institutions and their regulators. Simon is a Fellow and Chairman of the Institute of Operational Risk (www.ior-institute.org) and a Senior Research Fellow at the Centre for Risk, Banking and Financial Services at the University of Nottingham.
Nicholas is currently the Global Markets Compliance Leader and MLRO for a business division of GE Capital Energy Financial Services, and is based in London. In this role he is responsible for financial crime, regulatory and enterprise compliance with a global remit. Before joining GE Capital in 2014, Nicholas provided risk management and external affairs advice to Board members of a FTSE 100 oil and gas service company. Prior to this, Nicholas was a senior British diplomat for over 13 years for the UK Foreign and Commonwealth Office, where he focused on geopolitical, intelligence and global financial crime issues including sanctions, anti-corruption and anti-money laundering investigations. Nicholas also represented the UK Government on the UN Security Council in Geneva, Switzerland.
Global Head of Operational Risk and Permanent Control
BNP PARIBAS SECURITIES SERVICES
Gilles Mawas is a senior expert on Operational risk within the BNP Paribas Group Risk function, specialising in third party and on IT/cyber risks.
He was the global head of Operational Risk and Permanent Control for BNP Paribas Securities Services from 2014 to 2017.
Gilles Mawas joined Paribas in 1998 as Head of Functional Architecture. He then become Chief Information Security Officer (CISO) for BNP Paribas and was responsible for the global information security at the whole BNP Paribas group. He joined BNP Paribas Securities Services in 2008 where he was Head of Transversal operations until 2014.
Prior to joining Paribas, Gilles Mawas worked with DMR Consulting, a Canadian firm, as Senior Consultant. He started his career with Bull Ingénierie (software house) where he was in charge of software development and large IT projects management.
Mr. Mawas holds a degree from SupAéro (ENSAE), an aeronautical engineering school in Toulouse.
Head of Operational Risk Methodology UK
Peter studied mathematics at Oxford University, and later gained a PhD from the Open University, where I researched object-oriented modelling techniques with computer algebra. After some years as a mathematics lecturer, I have been working with risk-related projects in major banks in the UK and the Netherlands for twenty years, and am now Head of Advanced Analytics at Santander (UK). There I have been active in developing new statistical techniques in operational risk, and in formulating a framework for measuring reputational risk so that it can be quantified in monetary terms. In addition I coordinate and supervise graduate student projects at University College London and the University of Oxford. Away from dry land I am a keen scuba diver.
Senior Quantitative Analyst Manager
Wei is a Senior Quant risk manager in the Methodology Department at Santander UK, and is responsible for delivering analytical solutions across the Risk Division and wider Bank. Wei joined Santander UK in January 2016, after several years work in academia. She began his career as an academic at the University of Warwick and the University of Strathclyde. Her research publications in peer review journals are on financial risk modelling and game theory. She holds a PhD degree in Financial Mathematics from the Swansea University.
Responsibilities include Governance, Risk & Compliance within Financial Services WW.
-Business Analytics Solution Architect (IBM)
-Senior Business Analyst / BI Manager (ftse 100)
Director, Operational Risk Capital Modeling
Eric Cope is Director, Operational Risk Capital Modeling at Credit Suisse. Prior to this role, he was the modeling lead for operational risk capital at Bank of America. He also worked on quantitative methods for operational risk at IBM Research, where he served as the Analytic Agent for the Operational Riskdata eXchange (ORX) consortium, developing tools and methods for integrating external loss data within the AMA capital framework. He has written several academic articles on a variety of topics including AMA modelling challenges, operational loss econometrics, and capital estimation methodology.
Head of Analytics and Research
Luke is Head of Analytics and Research at ORX where he leads many industry initiatives spanning Operational risk modelling and management. He is also responsible for delivery of a wide range of ORX information and benchmarking including Loss Data, ORX News and the Scenarios Program. Prior to Joining ORX Luke held a variety of positions in Banking, Technology and Academia. Dr Carrivick holds an MBA, PhD and M.A in Mathematics from Cambridge University.
Alpesh Doshi is a globally renowned thought leader in how organisations can transform and future-proof their business using emerging technologies, particularly around digital, big data & analytics and blockchain. He is focused on innovative thinking and practical strategies to add value for his clients fast and often, introducing the agile approach of working to digital transformation.
Head of Risk Management – Group Sourcing
Information Management and Technology officer
Taj Chowdhury is a Big Data Analytics and FinTech enthusiast. His expertise is focused on the evolution of FinTech and the interplay of innovation and regulation. With extensive knowledge of the latest Big Data Analytics and FinTech trends and emerging technologies he has participated as a keynote speaker un various events and symposia. His research interests include; Big Data, FinTech and RegTech regulatory frameworks in areas such as financial services and banking and his consulting activities focus on assisting organisations, business executives and to better understand their impact on people's life and role in the Big Data era.
Taj currently works at the Information Management and Technology Department of the London School of Economics and Political Science. In parallel Taj sits on a number of Big Data and FinTech advisory boards. He has advised senior agency officials on emerging issues affecting the banking industry, particularly matters relating to evolution of Fintech and the rise of RegTech.
His publication include a book chapter on Big Data and FinTech Trends and Risks: A Critical Approach. Book Title:Operational Risk Perspectives: Cyber, Big Data, and Emerging Risks (2016), Published by Risk Books ISBN 9781782722618
Anna Decarli works with Cantor Fitzgerald/BGC Partners as an Enterprise Risk Analyst within the Global Risk Team. In this role, Anna is responsible for reviewing and analysing risk events, implementing the RCSA process and co-ordinating the firm's Scenario Analysis process (as part of the ICAAP). Anna has been instrumental in embedding the Conduct Risk framework across the firm. She monitors the firm's Conduct Risk "exposure" using a periodic KRI cluster and presents the results to Senior Management. Anna is also responsible for analysing the firm's Conduct related risks during each RCSA cycle.
Head of Audit for Operational and Reputational Risk
Hannah Chung is the Head of Audit for Operational and Reputational Risk at Credit Suisse, based in London. She is globally responsible for defining the audit strategy and assessing effectiveness of the implementation and embeddedness of the Credit Suisse operational risk framework.
Hannah has over 19 years of experience in the Investment Banking industry. This has included a variety of roles in front office, operational risk, internal audit and external audit at first tier banks.
Hannah is a qualified Chartered Accountant with the Institute of Chartered Accountants Australia. Hannah graduated from the University of Technology, Sydney with a Bachelors of Business majoring in Accounting and Finance.
The original ‘rogue trader'
Renowned for the Barings Bank collapse in 1995
The collapse of Barings Bank and Nick Leeson's role in it is one of the most spectacular debacles in financial history. When the bank collapsed in 1995, it was described by the media as a wake up call and that something like this could never happen again. Yet, more than two decades later, there continue to be countless cases of rogue trading, financial scandal and corporate fraud in many industries around the world, from Jerome Kerviel at Societe Generale (2008) and Kweku Adoboli at UBS (2011) to the collapse of Lehman Brothers, Enron and more recent major corporate fraud such as the 2015 VW emissions scandal.
Despite huge advances in technology, security and IT, at the heart of all of these cases lies human error and poor judgement. It is because of this human element that Nick's story remains as relevant today as it ever has been, and resonates with such a wide range of audiences.
Not merely confined to banking and the financial sector, Nick Leeson speaks around the world to companies and organisations from a broad range of industries and sectors, educational facilities, colleges, universities and business schools.
In 2015, alongside Mike Finlay - a leading expert on operational risk management - Nick launched Risk Team - a specialist education, advisory and investigation firm, which focuses on raising risk awareness around human behaviour, culture, conduct and corporate governance issues. With specialities in operational risk management, internal and regulatory compliance, mismanagement, unauthorised activity and sensitive investigation, the team of experienced industry practitioners offer clients the crucial extension to internal resources that every firm needs.
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.
Head of Enterprise Risk
CANTOR FITZGERALD / BGC PARTNERS
Rajat Baijal is the Head of Operational Risk & Control for Cantor Fitzgerald. He is responsible for designing and embedding a robust Operational Risk Framework across the banking/brokerage institution. This includes articulating and implementing a robust Risk & Control Self Assessment (RCSA), Risk Event Management and ICAAP process. Rajat has an MBA in Finance and has previously worked for Lloyds Banking Group and Aviva specialising in global implementation of their Operational Risk Framework.
Operational Risk Expert
Ruben Cohen is an operational risk consultant. He has been working in the financial industry for over 17 years, with most of the last 10 in operational risk analytics.
Before this, Ruben spent 10 years on the faculty of Mechanical Engineering & Materials Science at Rice University in Houston, specializing in Fluid Mechanics and Thermodynamics. He holds a Ph.D. in Mechanical Engineering from M.I.T. and has subsequently obtained an M.A. in Economics from McGill University. Ruben is based in London and has published over 50 papers in a variety of areas, including engineering, physics, economics and finance.
Assistant Professor in the Department of Statistical Science
UNIVERSITY COLLEGE LONDON
Dr. Gareth W. Peters is an Assistant Professor in the Department of Statistical Science in University College London. He is a Principle Investigator in CSML , University College London (UCL) and an Academic Member of the UK PhD Center in Financial Computing (UCL). He has published in excess of 100 peer reviewed articles on risk and insurance modelling, 2 research text books on Operational Risk and Insurance as well as being the editor and contributor to 3 edited text books on spatial statistics and Monte Carlo methods.
He holds positions as an Adjunct Scientist in the Mathematics, Informatics and Statistics, Commonwealth Scientific and Industrial Research Organisation (CSIRO) since 2009 as well being an Associate Member Oxford-Man Institute in Oxford University since 2012, an Associate Member Systemic Risk Center in London School of Economics since 2014; an Affiliated Prof. School of Earth and Space Sciences, Peking University PKU,Beijing, China since 2015 and a Visiting Prof. in the Institute of Statistical Mathematics, Tokyo, Japan each year since 2010.
Technical Advisor- Office of Technical Assistance - International Banking
US DEPARTMENT OF TREASURY
Diane R. Maurice works as the Middle East and North African-based risk-management expert for the US Treasury. She has over 20 years'
professional experience having worked in New York, London and San Francisco and was a former bank regulator at the US Federal Reserve. Maurice's professional focus includes operational, credit and market risk in domestic, international and emerging markets.
Maurice's areas of professional focus covers stress testing/regulatory capital, asset management, anti-money laundering, counterterrorist financing, monetary stability and technology - including data management and security topics - and Basel qualification issues. She has published articles on central banking regulations, capital markets/fixed income, securitisation, micro finance and public finance. She is a frequent lecturer for several universities, credit-rating agencies, and international and domestic professional risk-management conferences. Maurice's formal education includes recent training in information-security topics and two graduate degrees, including a masters from the London School of Economics, where she did graduate work towards a doctorate. She is also a graduate of the US Diplomatic Security Training Center.
Peter is an Independent Senior Programme Manager based in London leading the delivery of large complex regulatory compliance programmes for financial services clients. He is a frequent speaker on Risk Management and has given talks at Christ's College Cambridge, numerous events across London as well as at Pace University in New York.
He worked at the Financial Services Authority both in the policy and risk divisions before joining Price Waterhouse Coopers where he consulted to Banks and Insurers on regulatory change. Within this role he led the implementation of risk frameworks and spent long periods in emerging markets rolling out a UK headquartered group's policy framework.
More recently he was a Programme Manager in the Front Office within the RBS Corporate and Institutional Bank. In this role he led a large programme of work to develop an Enterprise Wide Risk Appetite Dashboard covering key metrics and thresholds for Senior Executive Decision Making. The precursor to this was the successful delivery of a Conduct Risk Appetite Reporting suite developed with subject matter expertise gained throughout his previous roles.
Peter studied risk management at University in an environmental and operational context looking at the identification and management of operational risk in industry, principally human error and disaster scenarios.
Jonathan has extensive experience in both buy and sell side risk management and is a Board Member of PRMIA, the Professional Risk Managers' International Association. He has held Group Risk and Chief Risk Officer roles with two major UK listed investment firms and worked in senior Risk, COO and Finance roles with international banks including Citi, UBS, Dresdner Kleinwort and most recently HSBC in Asia Pacific. Jonathan is also a member of the Education Committee of PRMIA and an editor of the PRM practitioner handbook. He chaired the Education Committee from 2013-2015 during the handbook update and subsequent launch of PRMIA's certification programmes in Operational, Credit/Counterparty and Market/Liquidity/ALM Risk.
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.