Day 1: 18 June 2019


Breakfast Clinic: Taking a Risk-based Approach to Compliance Management

What are the key elements of a GRC framework needed to keep pace with regulatory change and conduct a rigorous assessment of compliance risk? Is your firm setting standards for meeting regulatory compliance and establishing the key foundational elements such as risk metrics, a compliance risk taxonomy, and regulatory-obligation inventory? Compliance, legal and risk professionals are looking for an end-to-end framework to manage compliance requirements in a way that improves overall governance, risk and compliance (GRC) program effectiveness.

Join IBM for an informal gathering of senior risk and compliance executives to explore challenges and solutions for end-to-end management of regulatory obligations and associated controls across the full range of business lines, products, entities, and geographies.

Heather Gentile,
Head of Regulatory Offerings, IBM Watson Financial Services
Andrew Yuille,
Head of Risk Business Solutions, Thomson Reuters

**This is an invitation only**
If you are interested in attending please send an email to [email protected]                              


Registration and Continental Breakfast


Chair's Opening Remarks and Live Audience Poll

Marcelo Cruz, Editor and Chief, The Journal of Operational Risk


Opening Address

Beth Dugan, Deputy Comptroller for Operational Risk, Office of the Comptroller of the Currency


The Future of Operational Risk and Resiliency

Arthur Lindo, Deputy Director, Board of Governors of the Federal Reserve System


 Effectively Managing the Risk Function: Top Priorities for 2019

John Lucas, EVP, Risk Chief Operating Officer, HSBC North America Holdings  


Operational Resilience: How are Leading Firms Developing Robust Strategies?

  • What does robust crisis management look like and how are firms developing frameworks?
  • How can organizations meet specific resilience requirements?
  • Developing robust practices and synergies

Panellists include:

Jean-François (JF) Bureau, Senior Vice President and Chief Risk Officer, PSP Investments

David Kimm, Former Chief Risk Officer and Treasurer, TD Ameritrade

David Canter-McMillan, Head of Operational Risk, Federal Reserve Bank


The Top 10 Operational Risk Challenges for 2019 /2020


Tom Osborn, Risk management editor,

Panellists include:

Michael Abriatis, Chief Operational Risk Officer, PNC 
Nitish Idnani, Principal, Risk and Financial Advisory, Deloitte
Ivan Pooran, Head of Operational Risk, Guardian Life


Morning Coffee Break and Speed Networking

Stream A: New Concepts in ORM


Panel: Scenario modelling, unshackled

  • Update on the ABA pilot project on scenario modelling
  • What are some of the risk factors that explain key operational risks?
  • Best practices for building scenario models
  • What does the end of the AMA mean for scenario modelling?

Panellists include: 

Nedim Baruh, Managing Director - Head of Operational RIsk Measurements and Analytics, JP Morgan Chase


Panel: CCAR Results Analysis: Were the Quants Right?

  • Early results of the SMA versus new developments in operational risk measurement
  • Capital calculation for operational risk and meeting regulatory requirements: what your organization needs to be considering
  • When will this take hold?
  • When will it be implemented?


Luke Carrivick, Head of Analytics and Research, ORX Association

Panellists include: 

Nedim Baruh, Managing Director - Head of Operational Risk Measurement and Analytics, JPMorgan Chase

Dominique Benz, Head of Operational Risk, Mizuho Group

Meet Shah, Deputy Head, CCAR Operational Risk, UBS


Fireside Chat: Challenges of Implementing a GRC Platform and Use Cases


Bala Ayyar, Managing Director, Chief Data Officer - Americas, Société Générale


Anne-Sophie Gug Christ, Program lead – GRC, Société Générale

Stream B: Building ORM


Opening Panel: Maximizing the Benefits of an off-the-shelf OpRisk Framework

  • If you had no pre-existing OpRisk framework, what would you establish first?
  • Analysis of the different frameworks being practiced and the potential benefits for your organization
  • Taxonomies that should be implemented in order to make the most out of your framework
  • What are the key risks you would establish for this framework?


Jay Newberry, Managing Director, Operational Risk Management, Citi

Panellists include:

Gustavo Ortega, Head of Technology, Innovation and Operations Risk Management, Voya Financial
Penny Cagan, Managing Director, MUFG

Jedediah Turner, Managing Director, TIAA
Steven Gatto, Chief Operating Officer - Risk Americas / Head of ORM – Americas, Mizuho



Presentation:Taxonomy for Operational Risk

  • What are the typical risk categories that this will encompass?

  • What key sets of definitions are being carved out?

Luke Carrivick, Head of Analytics and Research, ORX Association


Presentation: SMA and Stress Testing Methodologies for Operational Risk

Hakan Danış, Macroeconomic Scenarios, Director, MUFG Union Bank

Stream C: AI, ML, Analytics


Opening Panel: How Big Data Can Help Operational Risk

Emil Matsakh, former Chief Analytics Officer, Commonwealth Bank of Australia


Panel: Bad robot – Ethics and Conduct Risk in Algorithmic Trading

  • Managing conduct risk when an increasing number of functions within financial organisations are automated

  • Identifying and responding to models that exhibit biases or unethical tendencies

  •  Monitoring adaptive AI systems that evolve over time

Panellists include: 

Jason Conn, Director, Head of Electronic Trading Operational Risk Management, Citi

Damian Matich, Global Fraud Analytics Manager, NICE Actimize


Fireside Chat: How is Data Analytics, AI and Machine Learning Driving Enabling the Evolution of Surveillance?

  • How are leading firms using AI to streamline processes and reduce costs?

  • What impact is this having on the role of compliance?

  • On the flip side, how will AI be regulated?

Rajeev Dave, M.S., M.B.A. Americas Head of Surveillance, Barclays

Stream D: Cyber Risk and InfoSec


Opening Keynote

Session reserved



Unleashing the Potential for Behavioural Biometrics to Mitigate Against Cyber Threats
Gus Koutsoumbelas, Director Americas Model Risk Management, MUFG Union Bank, N.A.



Opening Panel: Cyber Security in the Era of Technical Innovation

  • Digital transformation as a conduit for risk
  • Developing risk appetite limits for security risk
  • Identifying risk for information assets
  • Mitigating risk in a super connected landscape: how are innovations such as AI IoT going to impact cyber risk? 

Andrew Jaquith, Independent Representation, former Managing Director, Cyber Security and Operational Risk, JP Morgan

Please note this stream finishes at 1.20



Stream A: New Concepts in ORM


Risk Identification Panel: Overcoming Myopia to Offer a Granular View

  • Pinpointing what makes risk identification such a challenge and why
  • How do you incorporate RCSAs?
  • Defining crucial processes in relation to risk identification
  • How do you overcome the myopia of a granular view?

Panellists include: Etsuko Jennings, Managing Director, Morgan Stanley


Panel: Credible Challenge and the Second Line

Moderator: Deborah Hrvatin, Managing Director, Citi

Panellists include: 

Dolores (Lori) Miller, Managing Director, AIG

Dominique Benz, Director, Operational Risk, Mizuho

Janine Jakubauskas, Regulatory Affairs / Stress Testing, Signature Bank

Stream B: Building ORM


Right-Sizing Operational Risk: Should organizations of all sizes manage op risk the same way?

Joshua Kotok, Chief Risk & Compliance Officer, First Saving


RCSAs versus Op Risk Triggers

  • Why are some large firms moving to trigger-based monitoring process?
  • What triggers should op risk managers look for?
  • How can the RCSA process be updated and made more effective?
  • Is a trigger-based approach suitable for all firms?


Keeping up with the Evolving Regulatory Environment

Bala Ayyar , Managing Director, Chief Data Officer - Americas, Société Générale


3rd Party Risk and Re-Designing the Pre-Existing Risk Processes to Meet Regulatory Expectations

  • How have regulatory expectations increased?
  • Sourcing third parties in the evolving tech and AI landscape
  • Understanding how to manage inter-affiliates

Panellists include:

Daniel Navarino, Expert Advisor for Third Party Risk, Finance, Strategy, and Controls, former Global Process Owner, Third Party Risk, Citi

Michael Giarusso, Financial Services Office (FSO) Advisory Services Partner,  EY 

Stream C: AI, ML and Analytics


Data Driven Operational Risk 

Dimitris Bartzillas, Head of Operational Risk Capital, Credit Suisse


Innovation Tech Theatre

Stream D: Cyber Risk and InfoSec


Modelling Cyber Risk Panel: What is The Current State of Play and How are Models Evolving?

  • Applying scenario modelling to cyber risk: why cyber risk modelling is still a challenge
  • How can risk models effectively and accurately capture cyber risk?
  • Applying stress testing and scenario analysis to cyber risk

Panellists include: 

Praveen Nair, VP Risk Analytics, MUFG 


Cyber Theft, Unauthorized Access and Accidental Disclosure

Please note this sessions ends at 3.


Afternoon Coffee Break and Knowledge Cafes

Grab a coffee and join a table of your choice in the exhibition area to share ideas, questions, and developments all while you network with your fellow industry specialists.

Keep up to speed with crucial industry developments by joining one of our Knowledge Cafes led by our leading specialists:

a) Developing Robust Operational Resilience

b) Effectively Managing 3rd party vendor risk

c) Keeping up-to-speed with Evolving Regulation

Janine Jakubauskas  Regulatory Affairs / Stress Testing Signature Bank

d) Unleashing the Potential for Data, AI and Machine Learning

e) LIBOR: how will this impact us and where do we start?



The Libor Transition: How Leading Firms Are Preparing for A Post Libor World


Power Panel: Identifying and Anticipating Geo Political Risks and Balancing Market Exposure

  • Uncertainty around regulation and political atmosphere across the globe: how can your organization prepare in an era of flux and constant change?
  • How can your company successfully govern the business during political gridlock?
  • During a time of upheaval, identify how your organization can prioritize and evolve the OpRisk program

Panellists include:

Manan N. Rawal, EVP - US Head of Model Risk Management, HSBC
Raj Manian, Chief Risk Officer, MUFG Trust


Champagne Roundtables:

a) Establishing an Inclusive Approach to Diversity in Risk

b) CCAR Results and Analysis: Were the Quants Right?

c) Asset Management 

Isabel Rohrbeck, Head of Operational Risk – Americas, Group Risk, Schroders 

d) Cyber Simulations

Nikki Covino, Regional Head of Business Continuity Americas, CREDIT SUISSE

e) AI, ML and the Innovation Bandwagon


Drinks Reception



*participation in the awards is not included in the delegate price. This is a collocated event. For more information, please visit*

Day 2: 19 June 2019


Breakfast Clinic: Nice Actimize

**If you would like to attend this session please send an email to [email protected] Your name will be added to the guest list.** 

Session to be confirmed shortly


Registration and Continental Breakfast


Opening Keynote

Don Fort, Chief, IRS Criminal Investigation, Internal Revenue Service


Keynote: Risk Management in the New Digital Paradigm

Philippa Girling,Chief Risk Officer, Varo


Panel: Unleashing the Potential for AI in Operational Risk

  • Making tech tangible: Visualizing the use robotics and AI in operational risk arena
  • How is AI helping banks better identify risk?
  • Automating reconciliation: benefits versus challenges

Moderated by: Steve Marlin, Editor,

Panellists include:

Emil Matsakh, Chief Analytics Officer, Commonwealth Bank of Australia

Professor Ina Wanca, New York University

Gordon G Liu, Executive Vice President, US Head of Global Risk Analytics, HSBC

Jimmy Yang, Managing Director, Credit and Operational Risk Analytics, BMO Financial Group


Today's CRO – Leveraging Data to Make Risk-Aware Decisions

In this panel discussion, you’ll hear from CRO’s who are leading the charge in leveraging data to make more timely and risk-aware decisions and applying the latest advancements in artificial intelligence, machine learning and automation to the risk and compliance process.

Frank Morisano, Chief Risk Officer, ICBC

Michael Curry, Vice President, Watson Financial Services


Morning Break and Knowledge Cafés

Grab a coffee and join a table of your choice in the exhibition area to share ideas and network with fellow industry professionals.

a) Robust Change Management

b) Managing Risk Culture

c) KRIs and RCSAs

Stream A: Conduct and Culture


Culture and conduct – The Concept of Emerging Risk and the Impact on the Market

Joseph Iraci, Head of Financial Risk Management, TD Ameritrade and CRO TD Ameritrade Futures and FX


Promoting an Ethical Risk Culture in your Organization

  • How can you promote an ethical culture within your sales and client facing role?
  • Taking a top down approach: influence starts from the top

Bonnie Frank, Vice President, Enterprise Risk and Crisis Management, PSP Investments


Fireside Chat: Taking a Dynamic Approach to AML and Financial Crime

  • How are leading organisations improving their approaches to managing financial crime and inspiring auspicious behaviour/ practices?
  • Managing risk with high standards for AML systems
  • Automation and innovation in the move towards more diligent practices


Presentation: Identifying and Measuring Conduct Risk  

Tanya Weisleder,Global Lead Conduct Risk and Disciplinary Framework- Corporate Compliance Services, Credit Suisse



Panel: Anticipating the Future of Conduct Risk


Close of stream

Stream B: New Concepts in ORM


Reinventing Oprisk - Beyond People and Process

Rick Cech, Operational Risk Governance, NY Federal  Reserve Bank


Panel: The Next Big Thing – Emerging OpRisk

What are the emerging operational risk trends, where are organizations focused and making investments, and what are the key challenges?

Johannes Tekle, Principal, J Tekle Risk Consulting
Panellists include: 
Joy St John, Director - Risk Consulting Advisory, KPMG
Gareth Davies, Independent Risk Leader, Wells Fargo


Streamlining GRC: How Key Advancements are Encouraging Simplification

  • More intelligence and less workflows: gleaning pivotal risk insights from data
  • GRC cloud infrastructure: simplifying deployment and decreasing costs

Panellists include:

Michael Colasso, Head Of Enterprise Operational Risk, SunTrust


The Impact of Emerging Tech: DLT from the OpRisk Perspective 

Anil Mashra, Risk and Compliance Senior Manager, Deutsche Bank

Stream C: Building OpRisk  


Opening Panel: Determining the Right Balance for RCSAs

  • What are banks doing differently around RCSA?
  • What is the right assessment and how can it be achieved?
  • How can your department integrate better with compliance and internal controls to provide a comprehensive view and achieve sign off?

Stuart Abramovitz, Financial Services Non-Financial Risk and Regulatory Executive 

Panellists include:
Matt Duditch,
Senior Vice President, Operational Risk Management & Risk Management & Compliance Chief Risk Officer, U.S. Bank
Paul Tuller,
Head of Commercial Operational Risk Management, JP MORGAN CHASE
Dan McKinney,
Partner, Ernst & Young
Isabel Rohrbeck,
Head of Operational Risk - Americas, Group Risk


Taking a Pragmatic Approach to KRIs

  • How can firms effectively and accurately interpret results?
  • Managing the volume of data and effectively measuring results to provide achievable actions
  • Identifying the threshold and reporting methodologies

Graeme Farrell, Managing Director - Chief Operational Risk Officer, AQR


Fireside Chat: Getting RCSAs Right

  • Identifying the benefits of questionnaires and process controls
  • Systems available to process controls effectively
  • Identify how leading firms are capturing high volumes of risk event data
  • How are firms able to amalgamate this risk data with the general ledger?


Paul Tuller, Head of Commercial Operational Risk Management, JP MORGAN CHASE


Deep Dive: How to Cater your Operational Risk Framework

  • Implications for retail banks vs large banks
  • The ins-and-outs of requirements and regulations
  • Who is regulated and how?
  • Learn from key examples of effective operational risk management

After a brief 10 minutes overview, this is an interactive session that will be held as a Q and A with an ORM specialist. Questions are to be submitted via slido.

Dan McKinney, Partner, Ernst & Young

Stream D: Cyber Risk and InfoSec


Opening Panel: Cloud Based Computing and Third Party Risk Management

  • How are leading firms managing, storing, moving (…or not moving) data?
  • What impact has cloud providers had on operational risk and how are organizations managing this?
  • What pivotal grey areas still remain in determining the risk of cloud based computing and third party providers?

Panellists include: 

Cenk Ipeker, Head of NICE, ACTIMIZE CLOUD
Andrew Jaquith, Independent Representation


The History of Hacking: Past, Present and Future

Neil Roth, Chief Operational Risk Officer,  Banco Santander, S.A., New York & Santander Investment Securities


Quantifying Cyber Risk In Financial Institution

Chartis Research


Networking Lunch and Live Demos


War Games:

How resilient is your organization? Disaster recovery and business continuity in operational and cyber risk


Out of the Box Perspective: Managing Non-financial Risk – Lessons Learned from Outside the Finance Industry

Identifying common taxonomies, core principles and different level of maturity at corporate companies.


Coffee Break


2019: Risks and Opportunities from a Front Office Perspective

Kevin D. Mahn, President and Chief Investment Officer, Hennion & Walsh Asset Management


Power Panel: Technology Risk Management and the Relationship with Operational Risk

  • Thinking tech: why technology is synonymous with the modern bank and what this means for risk
  • Identifying critical operational risks within the capacity of new tech: disruption of typical processes outsourced to vendors, consumer and employee data and denial of service attacks
  • How are leading banks managing the myriad of new applications?
  • New roles and responsibilities emerging from technical innovations and upgrades to infrastructure

Michael Barry, Executive Director - Head of Operational Risk and Information Security, Natixis


Panel: Moving Beyond the FinTech Hype

  • The current technologies revolutionizing the operational risk space and helping organizations better deliver on their KRIs
  • AI, machine learning and data as a conduit for change: identifying the technologies adding true value to operational risk
  • How much has technology changed the role of specialists working in operational risk?

Angel Lorente, Americas Finance Innovation Leader, Morgan Stanley


Key Takeaways


Close of conference