Director, Supervisory Risk Specialists
BANK OF ENGLAND
Nick Strange is Co-Director of the Supervisory Risk Specialists Directorate at the Prudential Regulation Authority in the Bank of England. Previously Head of the Credit Risk and then the Operational Risk and Resilience Divisions in SRS, Nick has now been at the regulator for 14 years. Prior to joining the FSA (the predecessor to the PRA), Nick was a Director in KPMG’s Financial Risk practice.
Nick is also a member of the Global Association of Risk Practitioners’ Financial Risk Management examination committee, a qualified Chartered Accountant and a holder of the Institute of Directors’ Certificate of Company Direction.
Chair of the Regulatory Decisions Committee
THE FINANCIAL CONDUCT AUTHORITY (FCA)
Tim became Chair of the Regulatory Decisions Committee in January 2016. Before joining the RDC he was a partner at global law firm Herbert Smith Freehills LLP for more than 28 years.
As a commercial disputes solicitor in the areas of litigation, arbitration and alternative dispute resolution, he practised in both London and Hong Kong, dealing with complex, high-value disputes arising out of the global financial crisis, often involving regulatory considerations. He was the firm's Executive Partner, Asia Managing Partner and latterly Head of Commercial Litigation in London. He was also a member of the firm's governing council for many years.
Tim worked as Legal Assessor to the London Stock Exchange's Quotations Committee and sat for a total of five years as an elected council member of the Law Society of Hong Kong. During his career he has taken a keen interest in legal pro bono work, which has included voluntary work in a Citizens Advice Bureau-linked legal advice centre. He is currently a trustee of the Army Museums Ogilby Trust.
Tim is also Chair of the Payment Systems Regulator’s Enforcement Decisions Committee.
Head of Unit, Financial Market Infrastructure and Derivatives
Patrick Pearson is Head of Unit of Financial Markets Infrastructure in the European Commission’s Financial Stability, Financial Services and Capital Markets Union Directorate General. He previously headed the Resolution and Crisis management teams and was responsible for the Financial Services Action Plan.
Before joining the European Commission in 1987, Patrick Pearson worked for the legal service and the foreign financial market affairs divisions in Dutch Finance Ministry in The Hague.
He has a law degree from Leiden University in the Netherlands.
Sir Peter Wall
Former Chief of the General Staff
Peter Wall spent 40 years in the British Army. He joined the Royal Engineers from Sandhurst in 1974 and finished as the Army’s chief from 2010 - 2014 .
Peter has served all over the world, including operational tours in Rhodesia, the Balkans, Iraq, and Afghanistan. He has extensive experience of Whitehall, and the top of Government.
He is co-founder of Amicus, an advisory business which specializes in imparting military and commercial leadership expertise, with emphasis on strategic planning and execution, leadership development, and organizational health.
Peter is a director of General Dynamics, the US defence and aerospace corporation, and President of Combat Stress, the military veterans’ mental health charity.
Managing Director, Global Head of Technology Operational Risk
Steve Hill is Managing Director, Global Head of Technology Operational Risk, at Credit Suisse. He was previously deputy director, with a responsibility for aspects of UK Government cyber security policy, at the National Security Secretariat of the Cabinet Office. He served for over thirty years in the Foreign and Commonwealth Office in a variety of national security roles. Throughout his career, he focused on managing strategic risks and countering transnational threats, including terrorism and proliferation. Steve is also a visiting senior research fellow at the War Studies Department of Kings College, London, and has participated in many international cybersecurity conferences. He studied law at Jesus College, Cambridge.
Global Head of Outsourcing and Third Party Risk and Shared Services Risk for IB Global and UK Business
Charles Forde is currently the Global Head of Third Party and Outsourcing Risk at UBS. In this capacity he represents UBS as a Design Partner for the Know Your Third Party (KY3P) risk management utility from IHS Markit.Additionally, Charles is currently the responsible for all shared services operational risk for the IB Business globally and for all UBS business divisions in the UK.
Previously, Charles held the position of COO of Operations & Technology for Group Data, Vendor Risk and the Client Data Confidentiality Programme at UBS. Before joining UBS, Charles was with Ernst & Young in London in the Risk Advisory practice.
He has previously held roles managing risk, operations and technology 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.
Non-Executive Director and Risk Chair
MORGAN STANLEY INTERNATIONAL
Terri Duhon is the Chair of the Board of Morgan Stanley Investment Management for the EMEA business. She is also on the board and Chair of Risk Committee for Morgan Stanley International, on the board and Chair of Risk Committee for Rathbone Brothers plc, an Associate Fellow at The Said Business School at Oxford University, on the MIT Corporation Visiting Committee and a motivational speaker for Speakers for Schools.
After graduating from MIT in Math, Terri started her career at JPMorgan and spent 10 years working as a derivative trader. In particular she was part of the team that developed the credit derivative market globally as documented in Fool’s Gold. Later she became an entrepreneur and started a consulting business where she lead expert witness teams in unwinding some of the more complex products from the credit crisis. She has been on the board of CHAPS Co, the board of Operation Smile and was a founding member of the Women’s Leadership Group for the Prince’s Trust. She is the author of How the Trading Floor Really Works.
Head of Operational Risk
Paul is Head of Operational Risk Management at Mizuho International as well as being responsible for the frameworks for managing Reputation Risk and Third-Party Risk. Prior to joining Mizuho in 2014, Paul spent five years at RBS running projects within the Treasury function following the financial crisis. Prior to that he held regional head of Operational Risk positions at JP Morgan and Macquarie Bank and has prior experience running teams in Project Management, Product Control, and Financial Control. Paul started his career in audit with KPMG.
Managing Director, Head for Enterprise and Operational Risk Management
Jason Forrester is a Managing Director in the CRO division, based in London. He is Head of Enterprise & Operational Risk Management (EORM) and CRO Change. Prior to this role, Jason was in the CFO division as Head of the Capital Management Function, EMEA Regional CFO, and a member of the CSi/CSSEL Board. Previously, Mr. Forrester was Head of Risk Analytics & Reporting and member of the CRO division Management Committee.
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 to New York in 2004 and relocated to Singapore in 2007 where he stayed until the 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 Compliance Officer Europe
Paul joined HSBC in July 2014 from JP Morgan. He has held a number of risk related roles in the second-line before taking his current appointment as Europe Chief Control Officer.
Paul is a passionate advocate for a commercial approach to risk management and the part that innovation plays in helping us better understand our risks to help our customers achieve their hopes dreams and ambitions. This is born from a former career in aviation and the armed forces where appropriate risk taking is essential to achieve success. As a former engineer he is a supporter of fintechs and innovation more generally, often it is the smaller, more nimble teams that are able to pursue the game changing ideas.
In his role as CCO Europe, Paul is responsible for ensuring our European Staff understand their role in successful risk management and support the EU COO in running a safe and successful business. Paul reports into Europe Chief Operating Officer, and the Group Chief Operating Officer’s Chief Control Officer. Paul is also a qualified Rugby Referee and Coach. He is married with three children.
GRM Head of Operational Risk – Europe & APAC
Kieren is based in London and is currently the Head of Operational Risk Management (2LOD) at Royal Bank of Canada, covering the European and APAC regions.
He has previously held roles managing risk, leading Product Control, Financial Control and Intercompany Reconciliation teams at JP Morgan and Deutsche Bank.
Kieren started his career in audit and was based in London with Daly Hoggett & Co. He then spent several years at Virgin Atlantic’s Head Office before moving to the banking sector where he has worked ever since. Kieren holds a Law degree from Durham University.
Marilin Luna Butters
Global RCSA Methodology & CEEMEA Head of Operational Risk
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 13 years in Operational Risk Management (including 3 years in Compliance) and prior to that, having worked for 10 years in 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 (Barcelona)
- 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 Risk & Control Self-Assessment (RCSA) methodology globally and of the design of the Governance, Risk and Compliance (GRC) methodology, policy and system, in partnership with senior stakeholders across the three lines of defence
EMEA Head of FX Business Risk, Global Markets
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 her prior role was 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.
NFRM Coverage – Equities Lead
Charlie joined Deutsche Bank in 2015 and works in CIB Non-Financial Risk as the global coverage lead for Equities. The role requires him and his team to partner with the business and provide independent challenge on the execution of the framework, management of the risk profile and risk decision making. Prior to joining Deutsche, Charlie spent eight years at RBS in Global Markets Operational Risk. He has been involved in a number of remediation initiatives in respect to Product Governance, Risk Appetite, Risk & Control Assessment and various conduct / control issues e.g. Supervision and Unauthorised Trading, and has over 20 years of experience in Investment Banking roles across Operations, Risk and Front Office at RBS, ABN AMRO, UBS and Citibank.
Managing Director, Global Head of Strategy and Change, Cyber and Information Security Risk
STANDARD CHARTERED BANK
Libby has over 20 years’ experience in a variety of senior global banking and markets business, operations, compliance, risk, COO, CCO, conduct, culture, and change management roles.
In her current role, as Head of Strategy & Change for the Group Chief Information Security Officer, she is responsible for supporting the formulation of the CISO function strategy and managing the delivery of the change agenda across the Information & Cyber Security team.
Previously she was responsible for the global conduct agenda and implementing the Front Office Supervision Framework and Senior Managers’ Regime for the Head of the FM Business, and leading the Bank’s Conduct Programme to design and implement a robust conduct risk framework, embedding strong conduct management practices across all functions, countries, and businesses in the Group, to ultimately maintain the integrity of the Bank’s brand promise and standards in the Code of Conduct.
Before joining SCB she was the Chief Operating Officer for the Global Restructuring Division at RBS, the Global Head of Business Management & Control for the Global Banking & Markets Division in Operations and set up the first near shore Operating Centre for RBS in the UK. Before that she was at Goldman Sachs, Deutsche Bank, and BNP Paribas.
Outside of work, Libby loves spending time with her kids and husband, and traveling in their vintage VW Campervan.
Head of Ops Risk Controls for ICT and Third Party Management for Corporate and Institutional Banking
Amit is a thorough IT Risk and Information Security Leader with a proven track record of leading, developing, designing and delivering wide variety of programs over the span of last 15+ years. Amit has a particular interest in raising information risks at board level and enabling business through mitigation or avoidance of IT risks through industry-accepted and sometimes cutting-edge solutions.
Amit has presented and published a number of research papers, articles and chapters in the Information Security field. His key focus has always been keeping the balance between business, technological and operational issues. In his most recent position at BNP Paribas, Amit leads the IT Risks and Third party risk management practices globally for the Corporate and Institutional Banking business. He has developed and implemented robust methodologies for effective IT risk management and is embedding a strong framework for internal and external vendor risk management.
Søren Agergaard Andersen
Chief Risk Officer
NORDEA ASSET MANAGEMENT
Søren Agergaard Andersen is the Chief Risk Officer for Nordea Asset Management, the biggest asset manager in the Nordics with more than € 200bn AuM. Søren Agergaard Andersen is responsible for the overall risk function, managing an international team of risk professionals in Denmark, Sweden and Luxembourg. Prior to this Søren was Head of Risk in SEB Denmark. Søren has for the past eight years worked on improving the governance and risk framework, as well as the overall risk culture. Making ends meet between Group functions, local control functions and regulatory requirements.
Chief Risk Officer
Veronica Lazenby is the UK Legal Entity Risk Officer, Chief Administrative Officer and Head of Operational Risk for EMEA.
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 and Measurement.
Veronica has also held senior risk management and business roles at Royal Bank of Scotland and Schroder Investment Management. She began her career as a management consultant at Andersen Consulting advising Financial Services clients including the London Stock Exchange, CSFB and Prudential.
Outside work Veronica enjoys spending time with her young family, running and if she can find the time practicing her skills for the Great British Bake Off.
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 33 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 CASS Business School.
Chief Risk Officer
GULF INTERNATIONAL BANK
She worked at asset managers, private banks, corporate banks, big and medium sizes, mostly in the UK but always with international exposure, most recently UBS AM, Baring and Schroders.
She has joined Gulf international Bank as their Chief Risk Officer in January 2019.
Chief Risk Officer
EUROPEAN STABILITY MECHANISM
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 20 working in the City of London. He has been for eleven years at Royal Bank of Scotland, where he has been Chief Operating Officer for the Group Credit Risk function and Head of Risk and Compliance for the Asset Protection Scheme, the mechanism established to rescue the British 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.
Chief Risk Officer, EMEA & APAC Regional Head of Operational Risk Management
Mr Frost joined AIG in June 2015, and currently serves as Chief Risk Officer & 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 Operational Risk for Collateral, Clearing, Valuations & Liquidity and Global Head of Operations New Business / New Product Approval.
Managing Director, EMEA Head of Stress Testing and Portfolio Risk
Global Head of Operational Risk Stress Testing
Annie is the Global Head of Operational Risk Stress Testing at HSBC. She has leadership experience across both financial and non-financial risk from various global financial institutions.
Annie has previously worked in M&A and Restructuring. She holds a Masters in Economics and Chartered Accountant, Corporate Finance and Operational Risk qualifications.
Global Head of Scenario Analysis
Paul is the Global Head of Scenario Analysis at Morgan Stanley. Since joining Morgan Stanley, Paul has served roles in Finance, Operations and for the last 15 years, in Operational Risk. Paul has held a number of roles in Operational Risk, particularly in the fields of OR measurement, risk tolerance and internal capital assessment. Prior to joining Morgan Stanley, Paul held roles in Asset Management and trained as a Chartered Accountant.
Managing Director, International Head of Business Controls
BANK OF AMERICA MERRILL LYNCH
Alan Leigh is a Managing Director and Business Controls Executive for Global Banking and Markets in our international regions (EMEA, Asia Pacific, Latin America). In this role he leads teams responsible for managing the front office risk, controls and conduct across the sales and trading, capital markets and corporate and investment banking businesses.
Alan started as a management consultant in financial services. He joined Merrill Lynch in New York in 2000 and has had previous roles as global head of Research Business Controls and Programs, COO and head of Client Development for Asian Investment Banking, based in Japan for 6 years. He was appointed to his current role in 2009 and relocated to London in Q4 2017 after 8 years in Hong Kong.
PhD, CISSP, Head of UK Chief Information Security Office (CISO)
Dr Yiannis Pavlosoglou, PhD, CISSP is currently head of CISO for the UK at global financial services firm UBS, reporting to the Group Chief Information Security Officer (CISO) of the Bank. He is currently Co-chair of the (ISC)² EMEA Advisory Council. Upon completing his PhD in Secure Communications, Yiannis worked for more than 5 years as a penetration tester in London. He then headed up a number of local and off-shore risk assessment teams with a technology focus. His prior position at UBS was that of strategic change manager for Operational Resilience.
Mark is a Research Director at Chartis and has over 30 years’ experience in global capital markets, consulting and associated technologies focusing on risk management, front and middle office platforms and data management. Prior to Chartis he has held executive roles in large global financial institutions, consultancies and FinTechs in various positions including platform and software development, solution architecture, large scale program management, vendor selection and implementation and strategy development and execution. With a background covering front, middle and back office Mark brings a holistic view of business, technology and regulatory issues across the enterprise and how these issues can be addressed by leveraging appropriate technology solutions. His primary focus has been risk technology and includes leading the global teams for risk technology at RBS Capital Markets and AIG, Middle office and front office technology teams at Barclays Capital, extensive consulting experience with major consulting organizations including EY and Deloitte together with extensive vendor experience including time at both Algorithmics and Misys (now Finastra). Mark has an MA from Oxford University and is Fellow of the Institute of Chartered Accountants in England and Wales.
PhD(Lon),Managing Director, Global Head of Regulatory Compliance and Operational Risk Analytics
Giles is responsible for development and imbedding of advanced analytics capability across Global Risk globally. Activity examples include bank-wide predictive risk management framework, cyber risk identification, automation and behavioural analytics, surveillance analytics and capital modelling. Giles chairs Model Risk Oversight Committees.
Prior to joining HSBC, he worked in other highly quantitative roles, including positions at Goldman Sachs and Deutche Bank. Giles has Quant Risk Management and Algorithmic Trading development background.
Global head of Front Office Conduct Surveillance
Andrew joined BNPP from the FCA in London in October 2017 as the Head of Front Office Conduct & Surveillance.
Andrew worked at the FCA for 4 years where he was integral to the FX investigations and was the Lead Specialist on the FCA’s FX Remediation Programme, which last15 months and where his association with BNPP first began.
Andrew then managed the Wholesale Banks Supervision Sector team which, given the asset class skills of individuals within his team, was the first point of contact for large banks facing potential misconduct issues. Prior to the FCA, Andrew had a 27 year career in the Front Office; 15 years at Citibank, 3 years at Erste Bank, where he was Global Head of FX and Proprietary Trading, as well as time spent at Deutsche Bank, Mizuho, RBC and BTMU in various managerial and trading roles.
Global Head Fraud Risk Oversight for Institutional Clients Group
Vinaya is the Global Head of Fraud Risk Oversight for the Institutional Clients Group and Citi Commercial Bank at Citi, and also has regional oversight responsibility for EMEA & APAC across the enterprise. She is responsible for assessing the current strategy and execution of the Fraud Risk Management discipline across the businesses globally; and agreeing the necessary actions with the 1st line partners to ensure adherence to the policy and framework. Her team works closely with risk colleagues in the regional and business risk teams and other key stakeholders in Corporate Security & Investigative Services, and Information / Cyber Security in maintaining a robust management of fraud risk through policy compliance, improvements in technical infrastructure and operational excellence.
Prior to this role, she was the Operational Risk Management for Citi South Asia, working closely with business and functional heads in proactively managing operational risk and further strengthening the internal controls of our franchise. Vinaya was also responsible for establishing and leading ORM oversight across Asia Regional Enterprise Operations & Technology.
Vinaya has more than 22 years’ experience in banking. Before her current role in Operational Risk, Vinaya was the ICG Asia Regional Head for Customer Acquisition Due Diligence (CADD) Business Support Unit. In this role, she led a team responsible for supporting bankers in Asia and Japan to fulfill KYC requirements, ensuring full compliance with high quality. Prior to this assignment, she was based in London, driving governance for Global TTS Operations. In this role, she implemented minimum operating standards for 7000+ staff carrying out TTS Operations across 90+ countries to reduce risk and prevent losses.
Vinaya has also worked in Internal Audit (IA), where she led end-to-end reviews of Citi businesses in various countries across the CEEMEA region. She was also part of the EMEA Corporate Finance & Credit team within IA, where she led and participated in strategic reviews on credit risk reporting, credit documentation and loan loss reserve. Prior to IA, Vinaya was part of the Risk Management function for Citi South Asia, heading the Credit Risk Management Services team.
She holds an MBA from IIM, Ahmedabad, and a Bachelor’s degree from SNDT University, Mumbai. Vinaya was a member of the India Diversity Council and was the co-sponsor of the first Citi Women’s network in Asia. She has been mentoring young professionals, both in and outside Citi. She also has an active interest in community building initiatives and was a mentor to Swadhaar and Katalyst, two not-for-profit organizations that receive financial support from Citi Foundation in India. Since her move to UK in mid-2017, she is a mentor with the Citi London Pride Network, and helping raise funds for Haven House, Citi UK’s charity of the year for 2017.
Head of Technology, Innovation and Operations Risk
Gus Ortega is an accomplished risk management executive with over 20 years of work experience for multi-national global financial institutions. He is currently the Vice President, Head of Technology, Innovation and Operations risk management at Voya Financial. Prior to joining Voya Financial, Gus was the Head of Operational Risk Management at AIG directly responsible for the global Operational Risk program including Business Continuity and Third-Party Risk Governance and Oversight.
Gus also held various senior risk positions at UBS Investment Bank, Dresdner Bank and Morgan Stanley throughout his 20 years of work experience in the industry. He is an active advocate for Operational Risk Management and most recently was the keynote speaker at the World Bank Operational Risk Workshop in Washington D.C., Gus is also the co-author of The Fundamentals of Operational Risk for Insurers, a Risk.net book published in 2017.
Head of Operational Risk Oversight
- Head of Operational Risk Oversight at HSBC
- Joined Lloyds Banking Group from university and spent 7 years there; the majority of time managing risk management projects and programmes
- Joined Deloitte in 2011 and spent four and a half years supporting clients, primarily in designing and implementing Operational Risk Management Frameworks (ORMFs) across the Financial Services Industry
- Joined HSBC in June 2015 as Head of Operational Risk Framework & Policy
- In Jan 2019, started a new role as a Head of Operational Risk Oversight, overseeing the execution of the ORMF by the 2nd LoD Risk Stewards.
Director of Enterprise Risk Strategy and Interim Director Of Operational Risk
Simon is a Chartered Accountant, having qualified with Coopers & Lybrand. Having performed a number of Finance roles in FS companies, Simon moved into Risk at Legal & General before joining Nationwide Building Society in 2001. Simon has performed a number of roles in Finance and Risk in Nationwide, and has been Director of Enterprise Risk Strategy for 3 years. His responsibilities include documenting the risk framework, managing the operational risk system and setting the agenda for Board and Executive Risk Committees. He is also chair of the Risk Equality, Diversity & Inclusion Committee.
Senior Director and CISO
THE SANTA FE GROUP
Tom Garrubba, Senior Director/CISO, is an internationally recognized subject matter expert, lecturer, author, and blogger on third party risk, and is the head instructor for the Certified Third Party Risk Professional (CTPRP) certification program. He is a contributor to Future of Sourcing, blogged for the Huffington Post’s Business section, and for Government Health IT, ISACA, Risk.net, and numerous eGRC websites.
Previously, Tom was the Senior Privacy Manager at a Fortune 10 healthcare company where he established policies and procedures governing their vendor assessment program, overseeing all assessments for existing and potential third party service providers who were exposed to personally identifiable information (PII), protected health information (PHI), credit card/card holder (PCI), and proprietary data. Tom has over 20 years experience in IT security and privacy controls, as well as audit and compliance in both private industry and public consulting. You can also connect with Tom via LinkedIn.
Group head of Operational Risk Framework, Policy and Conformance
Steve joined Barclays in 2012 and is a Group Operational Risk Director. In his current role he leads a team which in responsible for the design Barclays Operational Risk Framework and also has responsibility for the operational risk capital and stress testing processes. He has over 30 years’ experience in financial services with global financial institutions.
During his career he has performed senior roles in Risk, Operations, Technology and Change Management. Steve is a regular speaker at conferences and industry forums and has worked with external bodies to design and deliver accredited Operational Risk qualifications.
Head of Fintech Risk
Lewis is the head of the Fintech Risk function within Deutsche Bank. Lewis has held a wide range of roles across financial services ranging from Sales & Trading to Consultancy. He joined Deutsche’s Operational Risk division as the lead for FX, Rates and Derivatives before setting-up Fintech Risk 2017. His remit is to drive risk-considered innovation across concepts such as blockchain, AI, Open Banking & Cloud while interacting with regulators and experts to help form common governance in the fintech space.
Senior VP Internal Audit – Operational Risk and Reputational Risk
Hannah Chung is a subject matter expert in Operational and Reputational Risk at Credit Suisse, based in London. She has extensive experience in defining the audit strategy and assessing the effectiveness of the implementation and embeddedness of operational risk frameworks and defining holistic approaches to reputational risk management.
Hannah has over 20 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 institutions. Hannah is a member of the Institute of Operational Risk and in May 2018 became a member of the Executive Committee for the England and Wales Chapter and appointed as the Head of Communications.
Hannah is a regular speaker on operational risk and reputational risk at international conferences and external training venues.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.
Head of Risk
I am Head of Risk for PayUK. PayUK runs the UK’s retail payments operations, which includes Bacs, Faster Payments and Cheques enabling £19.2 billion in payments every single day. In time, we will bring all of these products and services closer together.
Previously, I’ve held Operational Risk roles at Santander, covering back-office operations and technology units of the Retail Bank and at Barclaycard. Having left Oxford University with a degree in Physics my first role was an External Auditor at Andersens working in Birmingham and Melbourne.
David Phan Dinh
Head of Operational Risk
David Phan Dinh is Head of Operational Risk at Rothesay Life. Before this, he covered the operational risk field across a broad spectrum: most recently, at the Prudential Regulation Authority and earlier on at Credit Suisse and EY.s
Managing Director, Group Head of Operational Risk
I joined Barclays in 2000 having previously worked for Accenture and JP Morgan Chase.
In my time at Barclays, I have worked in a number of different leadership roles, including:
· Head of the Barclays Corporate Strategy Team
· COO of Group Risk
· Head of Middle Office and Lending Operations in Corporate, IB and Wealth.
· Chief Controls Officer, BX Service Company.
My role as Group Head of Operational Risk enables me to leverage my wide experience of practical risk management in Barclays.
I have a Masters Degree in Chemical Engineering and an MBA.
AJ Sheen Consulting Limited
Andrew Sheen is best know for the 8 years he spent at the UK bank regulator, firstly in the Financial Services Authority and subsequently at the Prudential Regulation Authority. Andrew managed the Authority’s Operational Risk Policy Team before moving to head the team responsible for providing Operational Risk subject matter expertise to supervisors. This involved assessing Operational Risk frameworks in a wide variety of financial institutions. Andrew also represented the UK on the Basel Committee for Banking Supervisors Operational Risk Working Group and the European Banking Authority’s Operational Risk Working Group.
Before joining the FSA Andrew implemented Operational Risk Frameworks in a range of firms. After the PRA Andrew became Head of Operational Risk Use and Embedding at HSBC and subsequently Head of Operational Risk Regulatory Risk Management at Credit Suisse.
Andrew has published a number of articles on Operational Risk and is a Fellow and Non-Executive Director of the Institute of Operational Risk.
Managing director, global head of enterprise risk
Rajat Baijal is the Managing Director – Global Head of Enterprise Risk at Cantor Fitzgerald. In this role, he is responsible for designing and embedding a robust Risk Framework across the firm. This includes articulating and implementing a robust Risk & Control Self-Assessment (RCSA), Risk Event Management, Key Risk Indicators etc. and ensuring that the Board is suitably informed about all material issues.
Rajat has an MBA in Finance and has previously worked for Kensington Mortgages, Lloyds Banking Group and Aviva specialising in global implementation of their Risk Framework. Rajat is a regular speaker at risk conferences across London and New York and has authored a number of articles for risk journals/textbooks.
Director of Operational Risk
Jennifer Moodie is currently Director of Operational Risk for all UK based Santander
activities which is a prescribed role under the Senior Managers Regime. Reporting to the
CRO, she provides leadership for all aspects of Operational Risk (Governance, the
Operational Risk Framework, risk appetite, risk culture, toolsets and reporting) as well as
chairing the Crisis Management committee for the UK based group. Since joining
Santander UK Jennifer has used her extensive experience to lead the Operational Risk
Transformation Programme introducing new systems and processes to provide enhanced operational risk focus
across Santander UK. Additionally Jennifer has recently taken on responsibility for improving risk culture across
Consulting engagements prior to joining Santander in 2012, have been delivering training and advisory work in
Operational Risk under her own consulting firm – JMA Consultants which started trading in June 2010.
Prior to that Jennifer was with BCS plc, a consultancy specialising in Operational Risk and Control business
transformation programmes in wholesale banking operations.
Jennifer joined BCS from Goldman Sachs where she was both a line and programme manager in several roles in
the Operations division and also regionally responsible for Business Continuity Management and Disaster
Recovery. She was Global Head of Risk Analysis and Reporting, programme managing the establishment of
Operational Risk and Control processes as well as reviewing risks, running the SOX and Compliance certification
processes, and designing metrics, risk reduction projects, and leading and coaching for the Quality Management
(6 Sigma) programme in Europe to continuously improve operational efficiency and control.
Prior to Goldmans Jennifer negotiated outsourcer SLA’s managed the major change programmes at JP Morgan.
At ING Jennifer designed the operational risk processes and flows to implement fool-proof controls, Operations
functions and managed the consolidation of all the Barings departments with ING in the aftermath of the Barings
As a consultant working independently and with Coopers & Lybrand, and with Chemical Bank in New York, Jennifer
worked in North America, Asia, Mainland Europe and Africa, creating truly global as well as regional specific
approaches. Jennifer focused on market risk as a consultant and creating new market risk VAR measures,
including designing one of the first versions of activity based costing to maximise the efficiency and return on capital
of all areas of investment banks.
Jennifer is a Non-Executive Director the Institute of Operational Risk and full Member of the Chartered Institute for
Securities and Investment, and a Board Director of both Santander Insurances Services UK and Santander ISA
Director, Business Development
THE INSTITUTE OF OPERATIONAL RISK (IOR)
A leading member of the Operational Risk community in London, with over 20 years of experience in Risk Management, Sean has co-authored several papers and acted as a speaker at many conferences, seminars and webinars.
He has an extensive network of contacts in the discipline as the Director of Business Development for the Institute of Operational Risk (IOR), promoting the development of the IOR and its Certificate in Operational Risk Management, and was until recently the Deputy Chair of the Association of Foreign Banks Operational Risk Committee, sourcing speakers and chairing discussions about regulatory issues and leading practices.
Sean has held Director-level roles in Operational Risk, Credit Risk, Strategy/New Business and Governance and Front Office Supervision, having extensive practical knowledge of treasury, capital markets, lending and advisory businesses, including front, back and middle office operations and risk and support functions.
He has experience of regulations applicable across Europe and Asia Pacific and has handled a number of major regulatory reviews.
Sean has developed many governance and risk policies and frameworks and run bank wide risk projects reporting to Boards and executive level committees, benchmarking against regulatory requirements and leading practices.
Head of Surveillance
Currently heading the Front Office Surveillance function at NatWest Markets. Prior to this spent over 20 years in rates trading roles, starting on the exotics rates and options desk at NatWest before spearheading the development of their inflation trading capabilities. Went on to head up the inflation desks at both Merrill Lynch and RBS. Having experienced firsthand the significant challenges faced in financial markets in recent years, I welcome the opportunity to help build a team within the first line that targets conduct risk and looks to rebuild confidence in the business.
Editor, Risk Management
Tom Osborn is the desk editor of Risk.net’s risk management coverage. Prior to joining Risk, he reported on the futures and foreign exchange industries for Dow Jones' Financial News and the Euromoney group of publications. Tom holds a bachelor’s degree in English literature from the University of Warwick, UK.
Division Content Editor
Alexander Campbell is the divisional content editor for Risk.net. He was formerly the editor of Operational Risk & Regulation and news editor of Riskmagazine. He is based in London.
Head of Operational Risk
ICBC STANDARD BANK
Michael Grimwade is Head of Operational Risk for ICBC Standard Bank. He has worked in Operational Risk Management for over 20 years. He has previously held senior Operational Risk management roles at MUFG Securities, RBS and Lloyds TSB, and he has also been a Director of the Institute of Operational Risk. He is the author of a number of articles on setting Op Risk appetite, scenario analysis and Op Risk modelling, and his book “Managing Operational Risk: New Insights and Lessons Learnt” was published by RiskBooks in 2016.
Executive Director, Risk and Regulatory Management
UBS WEALTH MANAGEMENT
Beate Born is an Executive Director in Risk and Regulatory Management at UBS Wealth Management in Zürich. As an expert in regulatory change and program management, she has led the Global MiFID II Trading Program across all UBS Wealth Management locations for the past years and is now also covering Brexit topics for Wealth Management. In total, she has 15 years of experience in the financial services industry in Switzerland, Europe and Asia. Amongst others, Beate worked for the Swiss consultancy Malik Management Zentrum St. Gallen and had her own regulatory implementation practice before joining UBS. Academic degrees include an MBA from Clark University, a DESS from the Sorbonne, an executive diploma from the Swiss Finance Institute and a certificate of advanced studies in Financial Market Regulation from the University of Zürich.
THE OP RISK COMPANY
Elena is an Operational Risk executive and Director of her own consultancy, specialising in strategy, design and implementation of firm-wide operational risk frameworks, policies and tools. She has over 20 years experience in the financial services industry, with senior leadership roles in large international firms. Elena is well known as experienced and respected Operational Risk trainer, running public and in-house training courses in the UK and internationally, and delivering Operational risk executive master classes at Cambridge and Oxford Universities.
She chairs Operational Risk Committee of the Association of Foreign Banks in the UK, and leads industry ‘Best Practice Operational Risk Discussion Group’ which she has recently established. She is a former Director and member of the Council of the institute of Operational Risk, responsible for the Institute’s Educational portfolio.
Global Head of Fraud Analytics
Damian Matich, Global Head of Fraud Analytics for NICE Actimize, has over twenty years of experience in Analytics and Financial Crime working in consulting, business development and programme management. He has worked with the largest global banking institutions, highlights including UK first in real-time card fraud detection and global firsts in Online Banking and First Party Fraud. Major programmes he has led have delivered in excess of $500M in client benefit. His research interests include multiple topics in the Economics sphere typically related to the application of analytics to consumer portfolio risk.
Head of Risk
LEGAL AND GENERAL INVESTMENT MANAGEMENT
Simon Cartlidge is Head of Risk (Retail & DC) within Legal & General Investment Management.
Simon has spent 20 years with Legal & General, previously holding a variety of senior risk management roles in Group, retail investments, and banking business units.
Simon worked on the Solvency II programme, focusing on Pillar 2 (risk framework). Immediately prior to his current role, he was responsible for the Group-wide operational risk framework.
Prior to Legal & General, Simon worked for Bradford & Bingley Building Society, as Credit Risk Manager in their retail mortgage business.
Global Head of Security, Risk and Compliance for the Public Cloud
Angela is in Deutsche Bank’s Cloud Centre of Excellence. Within this team she is the head of Security, Risk and Compliance. She is responsible for managing all security, risk and compliance with respect to cloud.
At Deutsche Bank, Angela has led teams including Anti-Financial Crime Technology Analytics and Data Quality Colleague Rollout.
Before joining Deutsche Bank, Angela worked as a Senior Manager at EY across APAC and EMEIA within the Financial Services Organisation focusing on Corporate Banking and Capital Markets transformation and advisory programmes. Angela started her career at IBM in Australia working as a developer, tester, designer and then business analyst and project manager.
Angela has an honours degree in Mechanical Engineering (Mechatronics / Robotics) and Computer Science from the University of Melbourne, Australia.
Head of Third Party Sourcing Risk Profile and Governance
BANK OF IRELAND
Paul is currently the Head of Third Party Sourcing Risk Profile and Governance at the Bank of Ireland, responsible for the governance, oversight and reporting of the overall sourcing profile of the Bank in relation to all third party arrangements, including risk, supplier management and procurement processes.
He has held similar positions at Lloyds Banking Group, building a Supplier assurance programme, defining policy and setting Supplier customer treatment standards. He has also worked as an IT an operations outsourcing programme manager, implemented new global workflow platforms, run investment banking and retail operations teams and been a Head of Internal Audit. He splits his time between the UK and Dublin every week and is not happy that Ryanair don’t have a customer loyalty scheme.
NATWEST MARKETS (RBS Group)
Carlos Martin is a Risk Director at NatWest Markets (RBS Group) focusing on Oversight of Front Office Trading & Sales. Carlos has 23 years’ experience in the investment banking industry, having previously worked at Morgan Stanley, CIBC World Markets, BNP Paribas, UBS and EY in different capacities including Options and Structured Products Trading, Asset Management, Global Tech Projects, Finance, Middle Office and Audit.
He collaborates with International Associations including the Council for International Securities and Investment (CISI), the Professional Risk Managers International Association (PRMIA) and the Global Association of Risk Professionals (GARP) where his involvement ranges from exam writing, to syllabi reviews, to helping with courses and conferences.
Carlos is a certified Financial Risk Manager, holds a Master of Science in Finance from the University of Syracuse, New York, a Bachelor of Business Administration from the Universidad Autónoma de Madrid, and other academic qualifications including Economics from UNED and Computer Programming from the University of Westminster.
Head of Risk and Controls for Wealth Management
Ricardo joined Barclays in 2018 from Royal Bank of Canada. He is a senior banking executive with 20 years of cross functional and P&L experience covering multiple functions including controls, risk, product and strategy in Corporate & Investment Banking, Wealth Management and Retail Banking. He is currently Head of Risk and Controls at Barclays Wealth focusing on Operational, Conduct and Financial Crime alongside managing the full spectrum of the Enterprise Risk Management Framework. During his career his has worked in the Americas and EMEA regions in both regional and global capacities with JP Morgan, Barclays and GE Capital.
Ricardo is a Venezuelan and German national. Enjoys cycling to work and sailing (not in the winter). He is married with three children.
Head of Outsourced Services Assurance
BANK OF IRELAND
Emma originally joined Bank of Ireland in 1998 and has built up a career across the three lines of defence, from sales to oversight, strategy to change. She is customer centric in her approach, but also remains focused on the needs of the business, demands of the regulators and desires of the individuals.
In her current role as Head of Outsourced Services Assurance, she is accountable for the development of Outsourced Risk Management Strategies, Policies & Frameworks, including developing and promoting a strong risk management culture across the end to end value chain (including third parties).
She is passionate about identifying and harnessing talent and, as a result, has led successful teams, at all levels, within her organisation and is focused on raising diversity up the strategic and corporate agendas, so that we can grow the Leaders of the future. She is a mentor, both internally and externally, within, and outside of, the Financial Services sector.
Head of Risk Analytics Systems
Standard Chartered Bank
Claus is currently Head of Risk Analytics Systems at Standard Chartered Bank, leading strategy for systems that support the model development lifecycle including model inventory, model risk management and development platforms for models and advanced analytics of risk metrics and data.
Prior to that he was a senior lead in JP Morgan’s Data Science team, as product manager on projects spanning the Markets’ trading and sales functions. He has broad experience in investment banking and trading technology systems, and spent several years on trading floors designing and delivering IT trading systems for commodities front office desks again with a focus on data and analytics.
General Manager, Case Management
Justin McLean, General Manager, Case Management & Platform, is responsible for core platform capabilities that enable the full suite of NICE Actimize on-premise solutions. Justin came to NICE Actimize in February 2019 with 20 years’ experience in financial services technology delivering large scale regulatory-critical solutions in the compliance and finance domains. Immediately before joining NICE Actimize, as an Executive Director at JPMorgan Chase, Justin led the Financial Crimes Investigations organization and build a cross-line-of-business investigation and SAR filing system covering the AML, consumer fraud and corporate security functions. Justin drove efforts to consolidate platforms, rationalize business process workflow, and simplify operations through automation.
Before this, Justin held a variety of leadership and technology roles over 14 years at Morgan Stanley, covering regulatory capital calculation, financial disclosure reporting automation, and financial markets surveillance. Justin has a B.S. in Economics from Rutgers University and an MSE in Management of Technology from the University of Pennsylvania.
Dr Ariane Chapelle
UNIVERSITY COLLEGE LONDON
Dr. Ariane Chapelle, PhD, is Associate Professor at University College London for the course 'Operational Risk Measurement for Financial Institutions’ and is a Fellow of the Institute of Operational Risk and a trainer for the Professional Risk Managers' International Association (PRMIA), for whom she designed the Certificate of Learning and Practice in Advanced Operational Risk Management.
Ariane has been active in operational risk management since 2000 and is a former head of operational risk management at ING Group and Lloyds Banking Group. She is also a former holder of the Chair of International Finance at the University of Brussels.
Dr. Chapelle runs her own training and consulting practice in risk management. Her clients range from Tier 1 to Tier 3 financial companies and include international financial institutions and governmental bodies in Europe and in the US.
Her new textbook “Operational Risk Management: best practices in the financial services industry”, published by Wiley Finance Series in December 2018 has immediately become a best seller in its field, ranking #1 on Amazon UK in financial risk management best sellers and #1 in Amazon.com in New Releases / Banking books for weeks in a row.
Head of Research and Information
Luke Carrivick is Head of Research and Information at ORX where he leads many industry initiatives spanning operational risk measurement and management, and supervisory policy. He is also responsible for delivery of a wide range of ORX information and benchmarking including: Loss Data, ORX News and the Scenarios Program. He has been at ORX for more than 8 years. Prior to joining, 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. ORX is the world’s largest operational risk association with more than 100 of the world’s largest banks and insurers as Members
Managing Director EMEA
Ian Evans serves as Managing Director for EMEA at OneTrust, the largest and most widely used dedicated privacy management technology platform for compliance with global privacy laws
Evans is a diversified senior executive with deep experience in data privacy and CRM technology applications and services. He brings over 20 years of software industry experience to OneTrust as well as 10 years in direct and channel sales. In his role, Evans supports thousands of multi-national brands across the European, Middle Eastern, and African regions, leading the delivery of technology solutions to secure and privatize customer and employee personal information under new privacy regulations.
Prior to OneTrust, Evans served as Vice President and Managing Director for EMEA at AirWatch (acq. by VMware in 2014 for $1.54B). AirWatch now serves more than 20,000 global customers and is recognized as the undisputed market leader in enterprise mobility management.s
Michelle Ricci Zak
Michelle Ricci Zak is Co-Founder of QomplyPi and Former COO of Kyte Broking/Market Securities, where she proposed and executed global strategies as well as oversaw the daily operation of a international, inter-dealer brokerage firm. Michelle serves as a member of the Executive Committee, Audit Committee and participates in an advisory capacity for the Board at Kyte helping to shape the direction of the firm.
Before joining Kyte Broking/Market Securities, Michelle held various roles in finance at leading Investment Banks. For over 7 years, Michelle headed a team of analysts on the Credit Derivatives Trading Floor at BNP Paribas Investment Bank creating bespoke mathematical and technical solutions for trading teams executing strategies. Prior to that, Michelle worked on the Credit Derivative Trading Floor at UBS Investment Bank implementing analytical solutions for CDO valuation and risk.
Michelle also co-founded a property analytics firm that applies analytical models used in financial markets to the property market.
Michelle possesses degrees in Mathematics and Computer Science.
Head of Permanent Control and Operational Risk
CREDIT AGRICOLE CIB
Thierry is currently Head of Permanent Control and Operational risk, within the Risk and Permanent Control department (RPC) of CACIB London Branch.
RPC is a support function which sits in the second line of defence. It is responsible for identifying, managing, monitoring and reporting the primary risks (credit, market, operational) generated by the business activities of CA-CIB London Branch. The Permanent Control Department, within RPC, is in charge of the supervision of Permanent Controls and management of CACIB London Branch physical and technical operational risks.
Thierry’s corporate and investment bank experience ranges from coverage, to credit and operational risks monitoring (13 years), both in the USA, Asia Pacific and the UK.
Chief Information Security Officer, EMEA
Chris Hodson is the CISO, EMEA at Tanium. Chris is an information security, data privacy and risk management leader with an SME background in strategy, architecture and design. He possesses 18 years' professional experience obtained across the financial, retail, energy and media industry sectors. In early 2016, Chris made the move from end-user into the vendor space with Zscaler, where he operated as CISO, EMEA and Data Protection Officer. As a CISO, Chris is a trusted advisor to executives, board members and other stakeholders, helping them define well-balanced strategies for managing risk and improving business outcomes. Chris holds an MSc in Cyber Security from Royal Holloway and retains an active role in the Infosec industry through directorship of the IISP and membership of CompTIA's Cyber Security Committee.
Head of External Industry Coverage in Operational Risk
Anit Deb is heading the External Industry Coverage function with its Non-Financial Risk department. He was formerly responsible for the operational risk capital requirements.
Pr. Tomaso Aste
Professor & Director of the Centre of Blockchain Technologies
UNIVERSITY COLLEGE LONDON
Tomaso Aste is professor of Complexity Science at UCL Computer Science Department. A trained Physicist, has substantially contributed to research in complex structures analysis, financial systems modelling, artificial intelligence and machine learning. He is passionate in the investigation of the effect of technologies on society and currently he focuses on the application of Blockchain Technologies to domains beyond digital currencies. He is Scientific Director and Founder of the UCL Centre for Blockchain Technologies; Head and Founder of the Financial Computing and Analytics Group; Member of the Board of the ESRC LSE-UCL Systemic Risk Centre. Prior to UCL he held positions in UK and Australia. He is advising and consulting financial institutions, banks, digital-economy companies and startups.
Freek Van Velsen
Head ORM Retail and Private Banking
ABN AMRO BANK N.V
Freek van Velsen is Head of ORM Retail and Private Banking at ABN AMRO Bank in the Netherlands. In this role Freek is responsible for operational risk management for all Retail and Private Banking activities, including Retail subsidiaries and the Private Bank’s international network. Prior to rejoining ABN Amro Bank in 2016, Freek was Chief Financial and Risk Officer of a local member bank at Rabobank where he was responsible for Finance, Risk Management and Corporate Recovery. Freek was previously the Audit Partner for Regional Markets Asia at Royal Bank of Scotland based in Singapore.
Prior to joining RBS, Freek was the Regional Head of Audit Asia Pacific for ABN AMRO Bank. Before moving to Asia Freek was based at ABN AMRO's Head Office responsible for the global audit coordination and reporting of various Investment Banking lines of businesses. Freek started his career as an officer at the Royal Netherlands Air Force. Freek is a Certified Internal Auditor and graduated with a MSc in Business Economics from the University of Tilburg and an Executive Master of Finance and Control from the Erasmus University Rotterdam.
Managing Director, EMEA Head of Operational Risk Management & Global Head of MCA
Stephen is the Operational Risk Management Foundational and Regional Manager for EMEA and also manages Managers Control Assessment (MCA) program responsible for managing a team of approximately 100 people based in 24 countries covering Operational Risk matters for all Citi locations, services & products within EMEA.
Prior to joining Operational Risk Management, Stephen was in Citi Markets where he spent 10 years in regional risk & control and EMEA Markets franchise management roles. Stephen joined Citi in 1998 after a short period working in London with various Inter-Dealer Brokers/Alternative Asset Managers. Other assignments in Citi include Audit Manager within Citi's Independent Audit group and Risk Analytics in Markets Global Operations (O&T).
Stephen graduated from Manchester University (Economics) and received the Professor Challoner award for economic research.
Privacy Consulting Manager
Vipul Asher serves as Privacy Consulting Manager of the United Kingdom at OneTrust - the largest and most widely used dedicated privacy management technology platform for compliance with global privacy laws. In his role, Asher leads OneTrust's team of consultants across the UK, working with emerging and enterprise companies on data protection regulation solution implementations, focused on building and scaling global privacy programs.
Asher has publicly spoken on a variety of privacy and security topics, providing deep insight into regulatory issues and practical approaches to compliance. Additionally, he helps facilitate OneTrust's PrivacyConnect workshops across the EMEA region. Prior to OneTrust, Asher spent several years at a leading SaaS security company where he gained valuable experience implementing end-point security and advanced multi-factor authentication products into organisations to protect them from data breaches, credential theft and account takeover.
Asher is a Certified Information Privacy Professional (CIPP/E) and holds a M.Sc in Computer Science from Fergusson College.
Chief Risk Officer
UNITED BANK UK
Dora has 15+ years’ experience in building risk departments; and designing, building and implementing frameworks across all risk disciplines, including conduct. Her areas of expertise also include scenario analysis, stress testing, ICAAP, ILAAP, SMCR, internal rating models and governance. She is currently the SMF4 for an international bank based in UK and the Chair of the Endorsements Committee of the Institute of Operational Risk, where she has participated in various projects.
Global Head of Controls for Financial Crimes Compliance
STANDARD CHARTERED BANK
Markus Schulz is the Global Head of Controls for Financial Crimes Compliance at Standard Chartered.
In his current role he looks after the entire FCC Controls framework for the Group including Customer & Transaction Monitoring/Screening, Surveillance Excellence, Financial Intelligence & Investigations, Metrics, Analytics, Data Management, Change & Delivery, Innovation as well as Learning and owns all FCC systems and processes. He is a trained banker by trade and has over 20 years of experience in Financial Services with more than half of his professional work dedicated to Compliance and Financial Crimes prevention for a number of global Financial Institutions.
He is a very active member in the Compliance industry, working with groups like the Wolfsberg Group, Egmont Group, Madison Group, Basel Institute on Governance, Insurance Europe, FATF, IACA and the European Commission just to mention some. He has initiated and lead a number of successful collective industry action groups around topics like Trade & Economic Sanctions, AML and FATCA as well as Ethics in Business.
Markus is an Advisory Board member of ACAMS®, the leading global Association of Certified Anti-Money Laundering Specialists®. He is a very frequent speaker and chair at Compliance, and Anti-Financial Crime conferences and summits around the world and has co-authored numerous publications in this field.
He lived and worked in a number of different countries and benefits from the business and cultural experience he has been able to gain through all his global roles.
Head of Regulatory Offerings
IBM WATSON FINANCIAL SERVICES
As Head of Regulatory Offerings within IBM’s Watson Financial Services division, Heather is responsible for product strategy of regulatory solutions within IBM’s GRC portfolio. During the past 18 years, she has specialized in developing solutions to optimize regulatory compliance initiatives and the need for risk and compliance automation in financial services. Prior to joining IBM, Heather was responsible for overseeing the compliance analytics division of regulatory solutions at Wolters Kluwer. She received her undergraduate degree from Bryant University in Business Administration and her MBA from the University of Massachusetts.
Global Head of Compliance Risk Management
ABN AMRO Bank NV
René Kleine works for just over a year at ABN AMRO Bank NV as the global head of compliance risk management. His team is responsible for monitoring and maintaining the compliance part of the non-financial risk framework. To provide senior management and other internal and external stakeholders with integrity risk insight and compliance assurance, the bank uses risk instruments like integrity risk analyses, integrity risk appetite, risk and control self assessements, control testing, thematic deep dives, peer reviews, quality assurance, issue and action tracking, and compliance risk reporting.
Previous to ABN AMRO René was as head of internal audit part of the management teams of Amsterdam Trade Bank (part of Alfa Bank) and GE Capital Artesia Bank. Prior to that he worked in internal audit at RBS and Rabobank and as a consultant in risk management, compliance and internal audit at KPMG.
René holds as degree in Aerospace Engineering from Delft University of Technology and an Executive Master in Internal Auditing from the University of Amsterdam. He also teaches part-time at the Vrije Universiteit Amsterdam on Organizations and Risk Management as part of the post-graduate program Compliance and Integrity Management.
Director - Deputy Head of Operational Risk (ICG) and Global Head of eTrading Risk Management
Jason Conn is Deputy Head of Operational Risk coverage for Citi’s Institutional Client Group, and Global Head of eTrading Risk Management. Jason is also co-chair of the firm’s Low Touch eTrading Activity Risk Management Committee.
Jason joined Citigroup in September 2014 to build out the Low Touch eTrading program. Jason led the development and implementation of Citi’s eTrading Policy, which defines the control framework and standards for Low Touch eTrading activity at Citi.
Prior to Citi, Jason was at KPMG where he consulted to global financial institutions on issues related to electronic trading and trading systems. Jason also spent 10 years at inter-dealer broker ICAP as the Product Manager and Head of Automated Trading products and market data on the EBS FX electronic trading platform.
Dr Mustafa Çavuş,
MONTE CARLO PLUS
Mustafa holds a PhD in applied financial mathematics from the University of Manchester. He was fortunate to gain experience in banking and finance from London, Frankfurt and Singapore. Within operational risk management he brings with him 15+ years of modelling experience. He has worked with and advised investment management firms (Artemis, Columbia Threadneedle, GAM, Hermes, Martin Currie, Santander, Invesco) brokers and high frequency traders (CMC Markets, and XTX Markets), banks (Standard Chartered, Aldermore, KT, and Close Brothers) as well as individual investment funds (such as Navitas Resources). He is the founder of Monte Carlo Plus, a validated and easy-to-use tool for risk modelling.
Senior Privacy Engineer
Ryan Edge is a Senior Privacy Engineer with OneTrust, the market leader in enterprise privacy management and marketing compliance software. In his current role, Edge advises many of the world's leading Fortune 500 organizations on General Data Protection Regulation (GDPR), ePrivacy, and California Consumer Privacy Act (CCPA) solution implementations focused on formulating efficient and effective responses to data protection requirements and marketing compliance requirements as well as building and scaling enterprise-level privacy programmes. Edge frequently speaks at industry events, including global PrivacyConnect workshops, where he provides deep insight into regulatory issues and practical approaches to compliance.
Most recently, Edge spoke alongside the world’s leading retailer where they reviewed the CCPA regulation, scope, and the new legal obligations it presents for businesses worldwide. Prior to OneTrust, Edge worked at Manhattan Associates (NASDAQ: MANH), a global leader in Supply Chain Management, where he implemented Warehouse Management software solutions for many of the world’s most recognizable companies. Edge is a Certified Information Privacy Professional (CIPP/E, CIPM) and holds a degree in Mechanical Engineering from Georgia Institute of Technology.
Head of Operational Risk – Capital and Risk Analytics
LLOYDS BANKING GROUP
Philip Umande (PhD, PRM, Chartered Banker MBA) is Head of operational risk capital and risk analytics at Lloyds Banking Group. Prior to joining Lloyds Philip worked for the Prudential Regulation Authority, where he helped shape Pillar 2 policy for operational risk. Philip has worked across various risk disciplines and his previous voluntary work has included being deputy Board Chair of a multi-school academy trust.
General Manager and Managing Director
As General Manager and Managing Director for MetricStream’s business in UK & Ireland, Anna has responsibility for ensuring customer satisfaction and driving growth of our business across the entire GRC spectrum.
Anna’s has a long career in banking and technology and has shaped industry developments both by leading global client commercial partnerships and building financial industry solutions to solve regulatory challenges. Her deep domain expertise in information technology for financial markets (FinTech), GRC (Governance Risk & Compliance technologies), and KYC regulatory requirements as well as knowledge of Third Party Risk and Performance management has contributed to significant growth at companies including BAML, Thomson Reuters, CME Group, Markit, Trunomi, and Aravo.
In 2016, Anna was named Innovate Finance ‘Women in Fintech Power list,’ in part for her recognition that the intersection of regulation, data standards, technology developments, and industry expertise will enable efficiency in enforcement, governance, and growth in commerce.
Anna is a Non-Executive Director for the Open Data Institute, and a member of the Executive Leadership Council for Upwards, a Silicon Valley professional women’s organisation.
Head of Risk Business Solutions
Andrew Yuille has more than 25 years experience of business development in high growth organizations across technology, information services and financial services and currently has responsibility for alliances at Thomson Reuters. Previous roles at Thomson Reuters have included Head of Risk Business Solutions and Head of Compliance Learning. Earlier roles included Chief Marketing Officer for global risk intelligence provider World-Check and business development roles for ERP software vendor Tetra plc and supply-chain software vendor Strategix.
He holds an MSc in Management and Marketing and in 2001 was elected Fellow of The Chartered Institute of Marketing.
Director, Global Head of Cyber Risk Assurance
Anthony Hines is Director, Global Head of Cyber Risk Assurance at Citi. He responsible for the independent review and challenge of Information Security and Cyber risk at Citi. Anthony has over 18 years’ experience in Information and Cyber Security and joined Citi in 2001. He started his career in Network Engineering before going on to build and lead the Global Network Security Engineering team where he led the research and development of Citi’s network cybersecurity defences. Anthony then went on to build and lead a new Mobile Security Engineering function before making the transition to Risk Management in 2017. Anthony holds a degree in Computer Science from the University of Warwick
Head of Operational Risk Capital
David Walter is Vice President, RSA Archer, responsible for the RSA Archer product and business globally. During David's eleven years with RSA Archer, he has served in many capacities such as Global Go To Market Lead, General Manager of GRC in EMEA, Director of Product Marketing and Strategy, and Director of Product Management. As a public accountant (CPA) and former CFO and internal auditor, he has been responsible for developing many of the solutions in the RSA Archer GRC suite. He was also a customer of the RSA Archer GRC suite having purchased it at the Washington Post Companies to manage Sarbanes-Oxley compliance. David has a true passion for enabling companies to manage business risk and inspiring everyone within an organization to own risk.
Director, Operational Risk Framework
Slava Tarabukhina is director in Risk Change in UBS, leading a portfolio of critical projects deliveries in risk, strategy and regulatory change areas. Currently Slava works with the UBS’s senior management to structure and drive the Operational Risk Framework Redesign Programme which aims to provide significant improvement in the way Operational Risk is managed and controlled. The programme covers Risk Appetite, respective Risk Assessments and it is impacting all Business Divisions and Corporate Center Functions across the three lines of defence (front office, control functions and GIA)
Before joining the UBS in 2018, Slava Tarabukhina worked within Accenture Capital Markets Consulting Practice helping the clients to solve toughest challenges and scale new opportunities, by piloting and adopting new business strategies / technologies. Slava has supported a number of high-profile change programmes including the Legal Entity restructuring, Target Operating Model design, Trade Processing rationalisation across a wide range business of areas from front office change functions, to middle and back office operations
Slava has a Master of Science in Networking and e-Business Centered Computing (NeBCC) delivered by an international consortium of University of Reading, UK; Aristotle University of Thessaloniki, Greece; Charles III University of Madrid (UC3M), Spain and Trinity Colleague Dublin, Ireland
Head of Group Operational Risk
Dr. Björn Lenzmann is Head of Group Operational Risk at Emirates NBD in Dubai. He is responsible for Operational Risk Management, Information Security, Business Continuity, and Fraud Prevention and Investigation. Björn joined Emirates NDB from KPMG as Associate Director within KPMG Germany’s Financial Risk Management Practice. He has over 18 years of experience and worked with several banking and insurance clients to implement Operational Risk solutions in accordance with Basel II approaches including scenario analysis, KRI, and capital and insurance modelling. Prior to joining KPMG Björn has worked for Commerzbank, a leading German bank heading the OpRisk quantification team developing and implementing the AMA model.