Speakers List - OpRisk North America
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Keynotes & Keynote Panelists

Maryann Hunter

Deputy Director- Division of Banking Supervision and Regulation

BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

Maryann Hunter is the deputy director of the Division of Bank Supervision and Regulation at the Board of Governors of the Federal Reserve System. Ms. Hunter has responsibility for the Federal Reserve's program for supervision and risk management and oversees the supervision of U.S. banking organizations and foreign banking organizations operating in the U.S. Ms. Hunter joined the Board in 2006 as an adviser and was later promoted to deputy director in the Division of Consumer and Community Affairs. She was named deputy director in the Division of Bank Supervision and Regulation in August 2010. Prior to joining the Board of Governors staff, Ms. Hunter held a number of high-level positions at the Federal Reserve Bank of Kansas City. She started her career at the Federal Reserve as an examiner in 1981 and was promoted to senior vice president and officer in charge of Supervision in 2000. She also served as senior vice president and branch manager in charge of bank operations at the Denver Branch of the Federal Reserve Bank of Kansas City. Ms. Hunter has a B.A. from Pennsylvania State University and an M.P.P. from the University of Michigan's Ford School of Public Policy. She is also a graduate of the Colorado Graduate School of Banking.

Scott Bauguess

Acting Director and Acting Chief Economist, Office of the Director

U.S. SECURITIES AND EXCHANGE COMMISSION

Dr. Bauguess is Acting SEC Chief Economist and Acting Director of the Division of Economic and Risk Analysis (DERA). He previously served as Deputy Chief Economist and Deputy Director of DERA.
Dr. Bauguess oversees the Division's risk assessment and data-driven, predictive analytics development, designed to detect fraud and misconduct in the Commission's investigation and examination programs, specifically in the areas of corporate issuers, broker- dealers, and asset managers. He directs the Commission's economic analyses in recommendations to the Commission to enact federal rules related to corporate disclosure and governance, accounting standards, structured finance, and OTC derivatives. His service also includes the business management of the SEC's Tips, Complaints, and Referral (TCR) system, which was launched in 2010 to accelerate the detection of market misconduct.
Dr. Bauguess joined the SEC in 2007 from Texas Tech University where he was on faculty in the College of Business, and continues to teach graduate courses in corporate financial policy at George Washington University. Dr. Bauguess received his Ph.D. in Finance from Arizona State University in 2004. He also holds a B.S. and M.S. in Electrical Engineering and prior to his doctoral studies spent six years working as an engineer in the high tech industry.

Ken Phelan

Chief Risk Officer

U.S. DEPARTMENT OF THE TREASURY

Ken Phelan joined the U.S. Department of the Treasury as its first Chief Risk Officer ("CRO") in November of 2014. Reporting to the Deputy Secretary, he is responsible for establishing and building Treasury's Office of Risk Management and to provide senior Treasury and other Administration officials with analysis of key risks including credit, market, liquidity, operational, governance and reputational risks across the Department.

Prior to joining Treasury, Ken served as the CRO for RBS Americas (RBSA) from June, 2011 to October 2014. Before RBS, Ken was the post conservatorship CRO for Fannie Mae from 2009 - 2011, where he was responsible for Credit, Market and Operational risk across the firm. Prior to Fannie Mae, Ken joined Wachovia in 2008 as CRO where he provided leadership for Credit, Market and Operational risk management while assisting in the transition phase of the company during its merger with Wells Fargo. Prior to Wachovia, Ken held a variety of senior risk roles at JP Morgan, UBS and Credit Suisse in the areas of Risk Strategy Development, Loan Portfolio Management, Risk Policy and Analytics/Methodology and Model Review, Market and Credit Risk Management.

Ken has more than 20 years of experience across risk management, capital markets and structured products. He holds a JD from Villanova University School of Law, an MS in Economics from Trinity College, Dublin and a BS in Finance from Old Dominion University.

 

Thomas Ferlazzo

Senior Vice President, Supervision Group- Operational Risk

FEDERAL RESERVE BANK OF NEW YORK

Tom joined the Federal Reserve Bank of New York in September 2008. He is responsible for the operational risk supervisory program. In this role, Tom oversees examiner activities in areas such as cyber security, business resiliency, internal audit, high speed automated trading, and data risk aggregation. Prior to joining the Federal Reserve, Tom was an Operations Manager in the financial sector in both banking and broker/dealer services. Tom is a Certified Regulatory and Compliance Professional from the Wharton FINRA program and holds a business degree from the City College System of New York.

Beth Dugan

Deputy Comptroller for Operational Risk

OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC)

Beth Dugan is the Deputy Comptroller for Operational Risk at the Office of the Comptroller of the Currency (OCC).
In this role, Ms. Dugan oversees policy and examination procedures development addressing operational risk, bank information technology, cybersecurity and critical infrastructure, payments systems, and corporate and risk governance. She assumed these responsibilities in November 2014.
Prior to this role, Ms. Dugan served as Examiner-In-Charge of Citizens Bank, NA, in Providence, Rhode Island, where she managed a team of examiners covering all disciplines, activities, products, and aspects of the bank.
Throughout her career at the OCC, Ms. Dugan has held a variety of leadership roles in supervising large complex financial institutions as well as midsize and community banks and technology service providers. She has significant examination experience in technology, operations, audit, Basel II, enterprise governance, systems integration, and credit, capital markets, and trading platforms. She also participated on the OCC's initial reviews of major service providers based in India. Ms. Dugan is a commissioned National Bank Examiner and Certified Information Systems Auditor.
Ms. Dugan joined the OCC in West Virginia where she assisted in supervising all aspects of community and mid-size national banks throughout the southeastern and mid-Atlantic region. She holds a bachelor of arts in English and a master of business administration fromWest Virginia University

Brian Tierney

Managing Director - US Head of Operational Risk

RBC

Brian Tierney is Managing Director and US Head of Operational Risk for RBC. In this role, Mr. Tierney is responsible for operational risk oversight of RBC's combined US Operations, including RBC's Intermediate Holding Corporation, RBC USA Holdco.

Mr. Tierney joined RBC in April 2014 as a Director in the Market Risk group reporting to the SVP of Market Risk and US CRO. He was promoted to Managing Director in 2016 and named to his current role in Operational Risk. He assumed his current role in June 2011.

Prior to joining RBC, he was Chief Administrative Officer of FNY Capital Management for 3 years leading the finance, accounting and operations functions and prior to that was at Millennium Partners for over 8 years where he led firm wide initiatives in finance, operations, risk and treasury. Mr. Tierney began his career in the Financial Services Audit group at Ernst & Young.

Mr. Tierney has a Bachelor's degree in Accounting from Villanova University and Masters of Business Administration from Harvard University

 

Deborah Hrvatin

Managing Director, Head of Operational Risk Management Americas

DEUTSCHE BANK

Deborah Hrvatin is a Managing Director and Head of Operational Risk Management (ORM) for the Americas, reporting to the Chief Risk Officer. Ms. Hrvatin is responsible for improving risk management, strengthening controls, and enabling profitable growth within the Americas regional risk appetite. Ms. Hrvatin also holds global second line ORM responsibilities for various business and control functions. Prior to this, she was Chief Operating Officer (COO) of Group Technology & Operations Americas. In this capacity, she was responsible for partnering with the Americas Leadership Team to ensure that business and strategic objectives were achieved and the operating model optimized.

With over 29 years of industry experience, Deborah has held numerous other roles in Deutsche Bank including working in Corporate & Banking Securities (CB&S), where she was Director and Head of Operational Risk Management. She was responsible for developing and implementing the division's operational risk management, supervision and information security framework. Deborah also held other leadership roles within the business management organization, including the Chief Operating Officer for Deutsche Bank's Global Securitization Group, as well as various other roles focusing on new business development and operational excellence.

Prior to joining Deutsche Bank in 1999, Deborah was an Equities Controller with Bankers Trust Company and also served as a Commissioned Bank Examiner with the Federal Reserve Bank of New York.

Deborah is the Co-Chair of Deutsche Bank's "Women on Wall Street" Employee Resource Group and is a member of The Women's Bond Club and the Global Association of Risk Professionals (GARP).

Deborah received her BBA and MBA in International Finance from Hofstra University.

 

Aengus Hallinan

Managing Director, Head of Operational Risk Management for the Americas and Global Markets

CREDIT SUISSE

Aengus Hallinan is Managing Director and Global Head of IB Operational Risk at Credit Suisse, based in New York where he is also Regional Head of Operational Risk for the Americas. Mr Hallinan joined Credit Suisse in May 2014. Prior to that he worked for 19 years at UBS in a variety of roles in Equities, most recently as Managing Director and Chief Operating Officer for Global Equity Derivatives. Mr Hallinan began his career at Swiss Bank Corporation in London and has substantial international experience having been based in London, Tokyo, Hong Kong and New York.

Jodi Richard

Chief Operational Risk Officer

US BANK

Jodi Richard is Senior Vice President and Chief Operational Risk Officer at US Bank. Jodi leads the Operational Risk Management (ORM) function, which includes core Operational Risk Policy and AMA Framework components, Corporate Operational Risk programs and risk oversight functions . These include, Disaster Recovery / Business Continuity, Third Party Risk Management, Business Change and Product Due Diligence, Privacy compliance, Fraud Risk Management, Payments Risk, Enterprise Complaint Management, Physical Security and Executive Protection, Crisis Management, and Fraud investigation operations. The ORM function also is responsible for independent risk oversight of Information Technology Risk, Information Security Risk, and Data Governance which are centrally managed in the Technology and Operations Services support function.
Prior to joining U.S. Bancorp, Jodi was Executive Vice President and Head of Operational Risk and Internal Control for HSBC North America; where she led Operational Risk Management, AMA capital modeling, Risk-Based Incentive Compensation Program, Product Due Diligence, Enterprise Policy, Control Issue Management, Fiduciary Risk Management, and the enterprise risk heightened standards program. Jodi was with HSBC for 11 years, and served in other enterprise Risk roles including Head of Risk Governance and Administration, and Director of Regulatory Compliance. Prior to joining HSBC Jodi spent 12 years with the Office of the Comptroller of the Currency (OCC) where she served as National Bank Examiner specializing in retail credit and credit card bank supervision. Jodi was Chief Compliance Officer for Sears National Bank in between two periods with the OCC.

Jodi is an active member in industry groups, and serves as a member of RMA's Operational Risk Council, Chairman of the AMAG Steering Committee, and is a featured speaker at risk management conferences. Jodi serves on the Board of Directors of the Operational Risk Exchange (ORX). Jodi is a graduate of Leading Women's Executive program and was part of the American Banker's Most Powerful Women in Banking -Top Team Award in 2013 and 2015.

Jodi holds a B.A. in Finance from the University of Northern Iowa.

 

Neil Roth

Head of Operational Risk for Combined U.S. Operations

RBC

Neil Roth joined RBC as Head of Operational Risk for Combined U.S. Operations, and is currently U.S. Head of Operational Risk Governance. He previously worked for MUFG Securities, where he was the Deputy International Head and U.S. Head of Operational Risk, BNP Paribas, where he worked in Oversight of Operational Permanent Control, Fortis, where he was U.S. Head of Operational Risk, and Bank of New York Mellon, where he started his career in Operational Risk in 2002. He was featured on the cover of the July 2013 edition of "Operational Risk & Regulation Magazine," and has spoken at many conferences over the last 10 years, starting with Op Risk USA way back in 2007. Mr. Roth graduated from Brown University with a double-major in Philosophy (cum laude) and Economics. He resides in Westchester with his wife and two children.

Beth Rudofker

Global Head of Operational Risk Management

CITI

Beth Rudofker joined Citi on November, 2016 as the Global Head of Operational Risk Management with responsibility to manage the full range of ORM disciplines at Citi in close partnership with the Business and Regional CROs, as well as business colleagues. She is a member of the Risk Management Executive Committee.
Prior to that, Beth joined GE Capital in 2014 to lead the global ORM function where she was responsible for the design and implementation of the ORM framework in accordance with strong risk management practices. Beth also managed functional Risk groups including Third Party Risk, Fraud Risk, Records and Information Management, and IT Risk Management. Prior to GE, Beth was the Head of Corporate Operational Risk at JP Morgan where she was responsible for managing the Firm's global operational risk framework including governance, policies, standards and the capital methodology necessary to meet Basel advanced regulatory requirements. Beth has built an extensive career in financial services establishing and leading internal control functions, including Global Head of Operational Risk and Corporate Compliance at Barclays Capital and various global roles at Lehman Brothers, including Global Head of Internal Audit and Controller leadership positions.
Beth holds a Bachelor's Degree in Industrial Engineering from Northwestern University and an MBA in Finance from Columbia University.

 

 

Paulomi Shah

Head of Operational Risk, Global Banking and Markets

BANK OF AMERICA MERRILL LYNCH

PAULOMI SHAH is the Global Banking and Global Markets Operational Risk executive for Bank of America. As the head of Global Banking and Global Markets Operational Risk, Paulomi is responsible for overseeing the identification, mitigation, monitoring and reporting of operational risk across the Global Banking and Markets businesses. She is based in New York.
Paulomi joined Bank of America in December 2014, after spending 18 years at HSBC where she held a variety of senior leadership roles in banking, risk management and corporate governance within the Global Banking and Markets arena. Most recently, she served as the head of HSBC Securities Services, Americas and prior to that as the Chief Operating Officer for HSBC Securities (USA) Inc., the firm's broker dealer division.
Before joining HSBC, Paulomi spent three years at the Federal Reserve Bank of New York as an International Bank Examiner within the Supervision division where she was responsible for assessing the risk management capabilities of U.S. money center banks and their overseas branches and subsidiaries.

Don Anderson Jr.

Senior Vice President & CIO

FEDERAL RESERVE BANK OF BOSTON

Don Anderson is the Senior Vice President and Chief Information Officer (CIO) at the Federal Reserve Bank of Boston. In this capacity, he is responsible for the Federal Reserve System's Internet Cyber and Network Security services and Financial Management Technology services the Bank's IT function, Real Estate Services, and Law Enforcement units. Don is currently a member of the Bank's Executive Committee and represents the Bank on the System's CIO committee.
Prior to joining the Federal Reserve, Don was a senior consultant with Hewlett Packard (HP) Enterprise focused on the development and execution of IT transformation strategies for Fortune 500 companies. While at HP, Don successfully managed a number of multi-million dollar international programs.
He holds a BS degree from the University of Connecticut and an MBA from Bentley University, is a founding member of the Advanced Cyber Security Center (ACSC), a Board Member of the Boston CIO Leadership Association and Wall Street Technology Association (WTSA) and is an active member of the Dana Farber Leadership Council (DFLC).

Nedim Baruh

Managing Director - Operational Risk Capital & Analytics

JPMORGAN CHASE

Nedim Baruh leads the Operational Risk Capital and Analytics function at J.P. Morgan Chase ("JPMC") and is responsible for the Operational Risk Capital and Stress Testing processes.

Most recently, Nedim has been leading JPMC's effort to enhance its Scenario Analysis program by developing factor based models to assess its material risks. This work will help JPMC bridge the gap between operational risk measurement and management.

Prior to joining JPMC, Nedim was part of the Algorithmics Operational Risk advisory function and led many client engagements in the operational risk space.

Nedim has a B.S. in Economics from the University of Pennsylvania.

 

Jeffrey M. Bandman

Founding Director, Special Counsel to the Chairman, FinTech Advisor

LABCFTC; U.S. COMMODITY FUTURES TRADING COMMISSION

Jeff Bandman is the Founding Director of LabCFTC and FinTech Advisor to the Acting Chairman. He is the CFTC's FinTech lead and chairs the CFTC staff FinTech working group. He leads coordination with other domestic and international regulatory authorities on FinTech issues. He also leads the CPMI-IOSCO Joint Working Group on Digital Innovation (JWGDI) workstream on use cases in reporting and data management. Jeff previously led the CFTC's Division of Clearing and Risk, which has responsibility for overseeing several of the world's largest central counterparty clearinghouses (CCPs). In this capacity he led the negotiations resulting in "Clearinghouse Equivalence" concluded between the CFTC and the European Commission in 2016. He joined the Commission as Special Counsel to the Chairman, Office of the Chairman, in 2014 and also served as Acting Director, Office of International Affairs.
Prior to joining the CFTC, Jeff worked for many years in the financial industry. He advised the Futures Industry Association on launching the "SEF Tracker" swaps data product. Before that he was Head of Partnerships and Alliances for LCH.Clearnet Ltd.'s SwapClear service. Jeff earlier worked on a variety of market structure and FinTech initiatives in New York and London, including LiquidityHub and the Project Rainbow consortium. Before that he rebuilt and managed Cantor Fitzgerald's financial market data business after the events of September 11. Jeff started his career as a corporate associate attorney at Cravath, Swaine & Moore in New York and then served as Americas General Counsel for Prebon Yamane. His undergraduate degree is a B.A. magna cum laude with honors in both History and English from Yale, and he holds a law degree from Stanford.

 

 

Speakers

Yakut Akman

Chief Third Party Management Officer

CITI

Yakut Akman brings 35 years of diverse banking experience to her role of Chief Third Party Management Officer. She has responsibility, authority and accountability for the end-to-end Third Party Management Program, and leads global efforts to strengthen Citi's organizational framework, as well as processes and tools to manage third party risk.

Yakut's Citi career started in Istanbul, Turkey, as a Management Trainee. She then managed several trading support groups in New York ranging from Capital Markets and Fixed Income to Foreign Exchange, and was instrumental in establishing Citi's Interest Rate Derivatives Operations in the early 1990s. In 1996 she transferred to London as Director of Trade Services in Europe, managing Citibank's main service delivery hub in London supporting Europe.

Yakut is known for her abilities to connect operational details to the strategic business vision and drive meaningful change - an approach sharpened by many years in Operation & Technology and her role as Program Director in in Citi's Internal Audit, overseeing critical Investment and Consumer banking businesses, and also serving as Deputy Chief Auditor of Citi's Student Loan Corporation.

Prior to her current role, Yakut served as Global Head of Risk Management for Citi's Enterprise Infrastructure. Her responsibilities covered all operational risk disciplines including Information Security, Continuity of Business, and Third Party Management.

Yakut is a member of the Information Systems Audit and Control Association (ISACA) and is certified in CISA (Certified Information Systems Auditor). She is a Magna Cum Laude graduate of Mount Holyoke College with a degree in Economics.

 

 

 

Carrie M. Barranca

Head of Audit, Operational Risk

STANDARD CHARTERED

Carrie is an Executive Director in Group Internal Audit based in New York. She has 25 years of regulatory, BSA/AML and sanctions compliance, internal audit and credit risk management experience. Carrie joined Standard Chartered Bank in 2012 and in 2013, completed a group-risk based audit of Operational Risk comprised of five audit reports. In January 2016, Carrie was appointed the Head of Audit - Operational Risk. In her new role she developed the audit plan and scope, including country operational risk audits, conducted Group Internal Audit trainings on the Bank's operational risk methodology, performs continuous monitoring and governance activities.
Prior to 2016, Carrie led many large and thematic audits and completed a BSA/AML Group Internal Audit training deck. She has also provided input to the audit plan, continuous monitoring, and introduced and led a bi-monthly US Audit Team meeting covering such topics as lessons learned.
Carrie joined Standard Chartered New York Branch from the New York State Department of Financial Services, where she was a Senior Bank Examiner in the Foreign and Wholesale Banks Division focusing in particular on BSA/AML/Sanctions examinations. Prior to that role, Carrie worked for a number of international banking organizations in various roles ranging from BSA/AML and sanctions compliance, credit risk management and internal audit. She started her career at the Federal Reserve Bank of New York.
Carrie participates in many speaking engagements and authored two articles that were published in leading industry publications. Carrie holds a BS from St. John's University.

 

 

Michael A. Barton

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

AIG

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

Brenda Boultwood

Senior Vice President of Industry Solutions

METRICSTREAM

Brenda Boultwood is responsible for a portfolio of key industry verticals, including Energy and Utilities, Federal Agencies, and strategic Banking and Financial Services customers. She also currently serves on the Board of the Committee of Chief Risk Officers (CCRO).
Brenda has a rich career in Risk Management. Most recently she served as Senior Vice President and Chief Risk Officer at Constellation Energy. Prior to that, she served as Global Head of Strategy, Alternative Investment Services at J.P. Morgan Chase & Company, where she developed the strategy for the company's Hedge Fund Services, Private Equity Fund Services, Leveraged Loan Services, and Global Derivative Services. During her tenure at J.P. Morgan Chase, Brenda also served as Global Head of Strategic Risk Management for its Treasury Services Group, and Global Business Head of Global Derivative Services for its Alternative Investment Services Group.
At Bank One Corporation, she served as Head, Corporate Market Risk Management and Counterparty Credit, and Head of Corporate Operational Risk Management, before advancing to Head, Global Risk Management for the company's Global Treasury Services Group.
Brenda has also worked with PricewaterhouseCoopers and Chemical Bank Corporation. Additionally, she taught the MBA program at the University of Maryland. Brenda was a member of the CFTC Technology Advisory Committee, and has also served on the Board of the Global Association of Risk Professionals (GARP).
Brenda graduated with honors from the University of South Carolina with a Bachelor's degree in International Relations. She also earned a PhD in Economics from the City University of New York City College.

Kresimir Marusic

Managing Director, US Financial Planning and Stress Testing Lead

DEUTSCHE BANK

Kresimir Marusic is US Head of Financial Planning and Stress Testing for Deutsche Bank Americas operations based in New York. He has twenty years of experience in the financial industry across variety of roles. He has managed teams spanning global locations and has held various management and leadership roles throughout his career. He has recently been leading DB's US efforts in financial technology developments in planning and stress testing areas, in coordination with various startups as well as large companies. He is a frequent contributor to industry conferences as a speaker and a panelist.

Richard Cech

Senior Bank Examiner, Operational Risk Governance, Financial Institution Supervision Group

FEDERAL RESERVE BANK OF NEW YORK

Rick is a Senior Bank Examiner. He joined the Operational Risk Governance unit at the New York Fed in December, 2011 in the Financial Institutions Supervisory Group (FISG).

Rick began his career as a municipal finance attorney, then joined J.P. Morgan & Co., where played a variety of roles in markets and investment banking. In the late 1990s, Rick joined J.P. Morgan's original operational risk development team. There, he was responsible for framework development tasks and loss data collection and reporting systems. While at J.P. Morgan, Rick chaired the IIF subcommittee that drafted the finance industry's recommendations for Basel II event type categories, and later participated in the definition of loss data recording standards for the Operational Risk data eXchange (ORX). Before joining the Fed, Rick was an operational risk framework consultant for RiskBusiness International, designing customized taxonomic models and structured risk management programs for institutional clients.

Rick has been a writer, speaker and business school instructor on operational risk topics. He received a B.A. (Economics) and M.A. (Organizational Behavior) from Yale University, and a J.D. from University of Connecticut School of Law (Law Review, lead articles editor).

 

John J. Doherty

Partner, Information Technology Advisory Services

EY

John Doherty is a partner in Ernst & Young's Information Technology Advisory practice with over 27 years of experience in the financial services industry managing information technology (IT) matters for international companies. He has extensive experience in IT risk management, information security, privacy, regulatory compliance, IT governance, technology operations, and project management. John is the Global leader of IT Risk Management for Ernst & Young.

Selected Major Projects

 John leverages advanced skills in business, accounting, and technology to bring valuable capabilities required for approaching information security, compliance, and other technology projects from a business perspective. He can understand and apply his regulatory insight to business processes, controls, compliance, risk management, governance, reporting, and technology.

 John has managed and overseen various BHC reporting initiatives. John has assisted newly approved BHCs in various capacities, including examination readiness projects such as product control and report specific examinations and gap assessments. He has lead a multi-year implementation of a vendor reporting tool for implementation of the FR Y-9C, FFIEC 031, and hundreds of entity reports (FR Y-11/ 2314).

 John has lead for several high-profile global banking and hedge fund projects designing technology architectures, information protection programs and capability maturity models (CMM) for security technologies based on ISO 17799, NIST 800 series, and FFIEC Information Security Guidelines. Developed a FSI Industry Benchmarks based on the CMM.

 He executed many regulatory and risk management engagements for broker dealers, investment banks, and banks and their subsidiary companies. He has been involved in assisting clients in their regulatory and industry compliance and control issues related to COSO, FDICIA, IEEE, SEC Automated Review Policy, SEC Derivatives Policy Group, FFIEC, Bank of England, Financial Supervisory Authorities (FSA) EBK Reporting, and other regulators within the financial services industry.

 Managed GRC technology enablement design and implementation effort for leadings global organizations. The project objectives are to streamline their global IT Governance Framework and the assessment processes that support the compliance efforts for the information technology division. The technical design encompasses the global footprint of the organization and the many challenges multiple language support and different cultures can present.

 Managing IT Risk Governance Assessment projects for broker dealers, investment banks, and banks. He has experience with IT Risk Management Program and framework; design of the IT Risk Management future state; development of a Strategic plan and roadmap for achievement of future state - including areas such as, business requirements, governance, policies and standards, risk identification, KRIs, risk processes risk tools and technology, compliance, monitoring and reporting, training and awareness programs. The risk and control framework component were based off of leading practices and a combination of standards (COSO, COBIT, ISO27001 & 17799, ITIL,SEI, GAPP,FFIEC Handbooks).

 He is experienced in performing technology assessments and remediation projects for organizations implementing new staffing models for the broker dealer and banking organizations. He has experience with outsourcing/out-tasking programs and frameworks; designing of the outsourcing future state; development of a implementations plans and roadmaps - including areas such as, business requirements, governance, policies and standards, risk identification, KRIs, monitoring and reporting, training, and awareness programs.

 

 

Viktor Grinberg

Head of Compliance and Regulatory Technology, US

DEUTSCHE BANK

Senior Compliance and Regulatory Technology subject matter expert with global capital market experience. In addition to education overseas, completed BBA in Finance and Investments and MBA in Computer Information Systems at Zicklin School of Business (CUNY, Baruch College). Worked for several sell side, banking, and consultancy firms as a developer, application development manager, and product owner.
Started to work with Compliance and Regulatory Technology in 1998, participating in pilot implementation of OATS by one of 30 pilot US broker dealers. Designed and build various trading and regulatory reporting systems, performed regulatory reviews and assessments. Recognized industry expert in front office regulatory reporting. Currently run US Compliance and Regulatory Technology for Equities, Derivatives, and Global Prime and Finance at Deutsche Bank.

Tom Hardin

Tipper X

The FBI's most productive cooperating witness in Operation Perfect Hedge

Tom Hardin is the CEO of Tipper X Advisors, LLC and previously spent much of his career as an investment analyst focused on equities in the technology sector, most recently as a junior partner in a long/short hedge fund seeded by a well-known billionaire investor. In 2008, as part of a cooperation agreement with the Department of Justice, Tom assisted the U.S. government in understanding how insider trading occurred in the hedge fund industry. Known as "Tipper X," Tom became one of the most prolific informants in securities fraud history, helping to build several of the 80+ individual cases in "Operation Perfect Hedge," a Wall Street house cleaning campaign that morphed into the largest insider trading investigation of a generation. Since resolving his case, Tom consults and speaks on human risk, ethics and compliance issues from the front line perspective to investment firms, corporations, business and law schools. As a complement to existing legal and regulatory compliance efforts, Tom highlights real-world emotions, temptations and rationalizations that are not often discussed, understood or addressed by compliance personnel and C-Suite occupants. Tom holds a B.S. in Economics with a Finance concentration from the Wharton School at the University of Pennsylvania and is the subject of an upcoming CNBC documentary.

Ni Kenney

Operational Risk AMA Framework, Governance, Capital & CCAR

CAPITAL ONE

Ni Kenney has over 15 years of Financial Services industry experience providing expertise in operations analysis, measurement strategy, and process enhancement. Most recently, she is responsible for leading AMA governance and oversight to strengthen and integrate AMA systems and the use of AMA elements in AMA Capital and Stress Testing process.
Ms. Kenney brings a wealth of analytical and strategic experience, and business insights to her AMA role from across her career.
In her current role, she has oversight of the overall Operational Risk AMA governance framework designed and implemented in coordination with the enterprise Basel program and other enterprise risk control programs. The governance framework ensures ongoing compliance with the qualification requirements and maintains the integrity, reliability, and accuracy of the Company's advanced systems. AMA Framework Governance & Capital Oversight team is accountable for ensuring consistent, repeatable, and verifiable implementation of the AMA program and systems across policies, standards, and procedures including roles, responsibilities and accountabilities; quality assurance and quality control framework, monitoring and reporting; change and issue management process monitoring; comprehensive and coordinated independent validation; risk reporting, monitoring and escalation; and process verification and approval of the health of the advanced systems. Ms. Kenney is also the process owner for the operational risk capital and the stress testing process. She maintains a sound process including effective challenge and governance for estimating operational risk losses and determines adequate capital for operational risk exposure.

She joined Capital One's Real Estate and Human Resources Division in 2001 providing planning, analytical and measurement, through the corporate portfolio footprint strategy and customer/associate experience surveys. Through these roles, she worked directly with senior executives to understand and deliver on business strategy by developing and implementing effective People and Location Strategies.

Ms. Kenney transitioned to the Operational Risk Management Division in late 2012 and was instrumental in designing, developing and deploying the enterprise-wide Scenario Analysis (SA) portfolio management process and processes for workshop identification and estimation, library maintenance, and workshop data pack creation.
Ms. Kenney obtained a Masters of Business Administration from Rensselaer Polytechnic Institute and BA in Architecture from North China University of Technology. She holds a variety of certifications including Business Process Manager Certification and International Architecture and Engineer Development Program from Lund University in Sweden. She has been recognized for her significant contributions with Capital One's 2014 Circle of Excellence Awards and the 2013 Financial Services Diversity Leadership Initiative Award.

 

Prasad Kodali

Head of Operational Risk, Risk Management

CIT

Prasad Kodali is the head of Operational Risk at CIT Group. He oversees the design and implementation of the Operational Risk framework to assess and manage Operation Risk across CIT.

Prior to CIT, Prasad was at Morgan Stanley where he built the Operational Risk measurement framework that includes policies, procedures, systems and statistical models. He was instrumental in building the Basel II Advanced Measurement Approach (AMA) based Operational Risk regulatory and economic capital models for all areas of Morgan Stanley. He also designed and managed the execution of the Scenario Analysis program globally.

In addition to his experience at Morgan Stanley, Prasad held senior positions at BNP Paribas where he developed hedge fund trading systems and Algorithmics where he built credit risk models and systems. Prior to that, Prasad worked in the software industry building products for aerospace manufacturing, network infrastructure and e-commerce.

Prasad earned a degree in mathematics from Osmania University in Hyderabad, India, a graduate degree in computer applications from National Institute of Technology in Rourkela, India, and is a GARP certified Financial Risk Manager.

 

Joshua A. Kotok

Chief Risk and Compliance Officer

First Savings Mortgage Corporation

Joshua Kotok is the Chief Risk and Compliance Officer at First Savings Mortgage Corporation. Joshua is an accomplished executive with demonstrated performance in leading operational and technology risk management and compliance initiatives. In addition, Joshua has identified and assessed operational and information technology risk from the regulatory and audit perspectives.
Prior to joining First Savings Mortgage Corporation, Joshua was the lead examiner for ongoing monitoring and targeted examinations of Freddie Mac's Operational Risk program for the Federal Housing Finance Agency (FHFA). Joshua also served as the Senior Manager of Operational and Technology Risk for the Making Home Affordable program where he led the development of the ORM framework and all supporting components. Joshua also has prior experience as a Big Four management consultant where he led several engagements for Financial Services clients specializing in operational, technology and compliance risk reviews, governance and supporting technology implementation (GRC).
Joshua holds a Bachelor of Science degree in Information Systems from Florida State University. Joshua is a Certified Fraud Examiner (CFE) as well as a Certified Information Systems Auditor (CISA). In addition, Joshua has held numerous industry association board positions including serving as the President and Education Director of the ISACA South Florida chapter and Vice President of the iCoast CIO council. Joshua is also a past presenter for the Global Association of Risk Professionals (GARP) and the Operational Risk North America conferences.

Janet Lerch

Chief Continuity and Technology Risk Officer

U.S. BANK

Janet Lerch has over 25 years of experience in the information technology and financial services industries. Janet joined U.S. Bank in May 2006 as Vice President in the Information Technologies group. She is currently the Senior Vice President, Chief Continuity & Technology Risk Officer responsible for Enterprise Business Continuity, Disaster Recovery, Crisis Management and Technology Risk.

She earned an undergraduate degree from the University of Minnesota. She is currently on the Board of Directors of Hammer Residences, and the Greater Minneapolis Crisis Nursery. She lives in Edina, MN with her husband and two children.

 

Gordon G Liu

EVP US Head of Global Risk Analytics

HSBC NORTH AMERICA

Mr. Gordon Liu is currently EVP, regional head of Global Risk Analytics, HSBC. He is responsible for the development and implementation of models used for calculating wholesale credit, and market and counterparty credit risk metrics; financial crime compliance including anti-money laundering and sanctions analytics, as well as regulatory compliance and operational risk analytics in the region. Additionally he is responsible for interacting with regulatory agencies in the region to ensure HSBC's compliance in quantitative aspects with the relevant risk and compliance regulations.

Before joining HSBC, Mr. Liu was a market risk model developer and manager at Citi Group and Merrill Lynch, responsible for VaR model development and systems implementation, and at Solomon Smith Barney for muni-bond trading systems development. Prior to that Mr. Liu had spent three years developing network management software in the telecommunication industry.

Mr. Liu received a Ph.D. in electrical and systems engineering from University of Connecticut, and his undergraduate and master degrees from Huazhong University of Science and Technology, Wuhan, China.

 

Joseph Lodato

Global Head of Compliance Technology and Surveillance

GUGGENHEIM PARTNERS

As a professional with more than two decades of leadership experience in the Financial Services industry, Joe Lodato offers a comprehensive understanding of the issues, trends, challenges and solutions facing CCOs in today's dynamic and volatile financial services organizations.
Joe's career success is based on strong and decisive leadership, combined with the ability to bridge the divide between technology and business and ensure alignment with corporate objectives delivered through technology. In Chief Compliance Officer and Chief Operating roles, Joe led the successful integration of technology to ensure compliance and drive productivity across all levels of the organization, and in a variety of settings, from startup organizations to large global services organizations, including Bank of America, Lehman Brothers, Barclays Capital and Alliance Bernstein.
Joe earned his degree in finance from the Lublin School of Business at Pace University in New York City and presently is the Global Head of Compliance Technology and Surveillance at Guggenheim Partners.

Kevin D. Mahn

President & Chief Investment Officer

HENNION & WALSH ASSET MANAGEMENT

Kevin D. Mahn is the President and Chief Investment Officer of Hennion & Walsh Asset Management, Mr. Mahn is responsible for all of the Wealth and Asset Management products and services offered at the Firm including the portfolio creation and portfolio supervision of the various portfolio strategies within the SmartTrust® series of Unit Investment Trusts (UITs). Mr. Mahn also was the Portfolio Manager of the family of SmartGrowth® Mutual Funds. These mutual funds were target-risk oriented "mutual funds of ETFs" designed to track the Lipper Optimal Indices. Mr. Mahn is the author of the quarterly "ETF and CEF Insights" and "Market Outlook" newsletters as well as a co-author of the book, Exchange Traded Funds: Conceptual and Practical Investment Approaches, © 2009 Riskbooks. Mr. Mahn is a member of the Forbes Investor team and a frequent contributor to the Forbes Intelligent Investing blog and the Seeking Alpha website. Prior to Hennion & Walsh, Mr. Mahn was a Senior Vice President at Lehman Brothers where he held several senior management positions, including CAO of the High Net Worth Product and Services group within Lehman's Wealth and Asset Management division as well as COO of Lehman Brothers Bank, during his eleven year tenure with the Firm. Mr. Mahn received his Bachelor's degree in Business Administration from Muhlenberg College and his M.B.A. in Finance from Fairleigh Dickinson University. Mr. Mahn has also served as an adjunct professor at Fairleigh Dickinson University within the Department of Economics, Finance and International Business. In 2015, Mr. Mahn received the "50 Under 50" award, which recognizes the College's top alumni business leaders under the age of 50, from the Silberman College of Business at Fairleigh Dickinson University. Mr. Mahn currently serves as Co-Chair of the NICSA UIT Industry Committee and won the 2014 NICSA MVP Award for his accomplishments in this role as well as the Rising Stars of Mutual Funds Award from Institutional Investor in 2009. Interviews with, as well as byline articles and insights from, Mr. Mahn have appeared in/on CBS News, CNBC, Fox Business News, Wall Street Journal, Investor's Business Daily, Fortune, Forbes, New York Times, Financial Times, USA Today, Bloomberg, Business Week, Reuters, Wall Street Week, CNNMoney.com, SmartMoney, Investment News, The Street.com and MarketWatch.

Daniel McKinney

Partner, Financial Services

ERNST & YOUNG LLP

Daniel McKinney is a New York-based Partner in Ernst & Young's Advisory Services practice. Dan leads the Operational Risk Management practice based in New York. He has approximately 25 years of industry experience in capital markets, banking and broker/dealer operations and operational risk management, compliance and audit. Dan has been responsible for leading engagements related to all aspects of operational risk framework development for major global financial institutions. This includes helping banks, asset managers, and insurance companies with the establishment of appropriate governance and oversight structures in support of their operational risk framework

Engagement experience
•Dan played an integral role in the development and deployment of Ernst & Young's operational risk management framework and approach in the US, including the development and integration of a suite of supporting tools and methodologies as part of Ernst & Young's Basel II service offering.

•He has led projects to develop and improve business processes making sure that adequate controls are maintained and key risks identified are managed in an effective manner.

•He has provided advisory assistance helping clients to enhance their risk reporting processes to both the Board of Directors and Senior Management

•Dan has also assisted clients with the development of revised processes to streamline and leverage existing risk and control focused efforts to develop more efficient approaches and support a risk convergence framework

•He has led projects designed to integrate Operational Risk Management into broader Enterprise Risk Management programs including working closely with other risk/ control functions such as IT Risk, Compliance,

•Dan has on numerous engagements developed a common enterprise risk framework including the development of risk appetite and thresholds, risk governance and escalation processes, as well as common process, risk and control taxonomy and data structures to facilitate improved enterprise wide risk reporting

Marco Migueis

Economist, Department of Banking Supervision and Regulation

BOARD OF GOVERNORS OF THE FEDERAL SYSTEM

Marco is a principal economist at the Banking Supervision and Regulation division of the Federal Reserve Board. Marco represents the Board at the Basel Committee's Working Group on Operational Risk (WGOR) and led analytical work on the development of the Standardized Measurement Approach (SMA). His operational risk experience also includes the examination of AMA and CCAR models of large US banks. Prior to working at the Board, Marco worked at the FRB of Richmond and Fannie Mae. Marco earned his PhD in Economics from the Massachusetts Institute of Technology."

Dolores (Lori) Miller

Managing Director, Head of Operational Risk

AIG INVESTMENTS

Dolores (Lori) Miller, CFA is Managing Director, Head of Operational Risk for AIG Investments. Lori is responsible for executing the Operational Risk framework for Investments including RCSAs, risk assessment, and governance. Lori works to promote a proactive risk culture through key processes around new business, model risk, and risk event reporting.
Prior to joining AIG, Lori was Head of Client & Operational Risk for Deutsche Bank GTB Americas region with responsibility for the development and implementation of methodologies, processes, and tools to measure, report, and mitigate key operational risks and emerging risk. Prior to Deutsche Bank, Lori was the Head of Bank Operational Risk Oversight for the Americas region at Credit Suisse. Before her Operational Risk roles, Lori was Managing Director and Head of Asset Management at AMBAC; head of Taxable Fixed-Income portfolio management at American Express; and was a private placement portfolio manager with AIG. Lori has her Bachelors in Finance and her MBA in Finance from The Ohio State University, and is a CFA.

Lourenco Miranda

Managing Director, Head of CCAR

SOCIÉTÉ GÉNÉRALE CORPORATE AND INVESTMENT BANKING

Dr. Lourenco Miranda joined Société Genérale Corporate & Investment Bank in February last year as Managing Director Head of Capital Assessment, Planning & Review. At the present moment, besides Capital Planning, Dr. Miranda is Regional Head of Capital Management & Resolution. Within his 20+ years of experience, Dr. Miranda has held multiple leadership roles in Risk Management at internationally active Financial Institutions in multiple regions and different regulatory jurisdictions in more than 40 countries. Apart from that, Lourenco is a published author, either as a sole writer of books in Risk and Quantitative Finance or as an author of numerous articles in professional and academic peer-reviewed journals. Lourenco himself is a peer reviewer of professional and academic Journals in Finance as well as a regular contributor to the prestigious Risk Magazine (Incisive Media). For the past 25 something years, he has held faculty positions in several academic centers worldwide and he has been a regular speaker at major international conferences or seminars. He holds a PhD is Statistical Physics applied to Finance and Risk Measurement. Most importantly, though, Lourenco is the proud father of 11-year old triplets.

Ladd Muzzy

Principal

NASDAQ BWISE

Ladd is a principal and subject matter expert at Nasdaq BWise - an industry leading Governance, Risk, and Compliance (GRC) solutions and services organization. Leveraging more than 20 years of experience specializing in the development, implementation, and coordination of risk management curriculums - including enterprise, operational, compliance, information technology, human resources, processing, strategic, reputation, regulatory, business continuity and resiliency, vendor, and internal audit risk - he assists customers with the challenge of implementing tools to support an automation risk strategy to meet stakeholder requirements.

Ladd has held senior risk management leadership positions as a consultant across a variety of industries in some of the world's largest and most complex organizations (former clients include: Citigroup, JPMorgan Chase, Bank of America, Wells Fargo, Deutsche Bank, OCC, Freddie Mac, Microsoft, Google, Pfizer, Johnson & Johnson, Duke Energy, Blue Cross & Blue Shield, General Motors, Ford, and Northwestern Medical Center). He has also lead risk management practices at Barclays Plc, Capital One, and the Bank of Montreal.

Ladd has worked closely with many internal (Board of Directors, executives, audit and risk committees, the business) and external (regulators, shareholders, advocacy groups, customers, and suppliers) constituents to understand and provide value-added risk insights to solve business and functional challenges. Select qualifications and expertise include:

•Evaluation and oversight of GRC and risk management software and system solutions
•Multi-functional experience with process integration and rationalization
•Diversified industry and global experience
•Board and executive advisory and support
•Identification mechanisms for the identification, assessment, evaluation, and prioritization of risk
•Method and process creation
•Policy creation and rationalization
•Regulatory and advocacy group relations
•Capital modeling and allocation
•Development and implementation of tailored business solutions
•Executive and management facilitator

 

Patrick Naim

CEO

ELSEWARE

Patrick Naim is the CEO of ELSEWARE and is widely recognized as an expert for operational risk modelling and quantification.

Patrick has an extensive experience in advising banks, insurance and energy companies for over 20 years in Continental Europe, UK, and North America.
Patrick is a frequent speaker on operational risk management, such as Oprisk USA & Europe in 2016. He is also the author of "Risk Quantification: Management, Diagnosis and Hedging" (Wiley, 2006), "Bayesian Networks" (Eyrolles, 2007) and "Bayesian Networks: a Practical Guide to Applications" (Wiley, 2008).

Patrick graduated from Ecole Centrale de Paris (M.Sc.) in economics and applied mathematics, and is Associate in Risk Management (ARM).

 

 

Brian Neary

Vice President, Chief Operational Risk Officer

THE HARTFORD

Brian currently serves as Vice President, Chief Operational Risk Officer at The Hartford. In his current role, he manages the company's overall operational risk practices, and also oversees the business resiliency and model risk management functions for the company.

Brian has over 25 years of experience in the insurance industry and has been with The Hartford since 2002. At The Hartford, along with his risk management roles, Brian has worked in leadership roles in the Group Benefits division and the Technology organization, and also led both acquisition and divestiture efforts for the company's wealth management businesses.

Prior to his career at The Hartford, Brian worked at Prudential Financial in a number of leadership roles in both Finance and the Retirement Services division. He graduated from Cornell University.

 

Christopher Nestore

SVP and Head of Operational Risk Management

TD BANK

Nineteen years of banking experience with an emphasis on risk and controls. Mr. Nestore was recently appointed as the Head of US Operational Risk. He has been with TD for five years and has held a variety of roles in Risk and Finance including previous work leading the Segment Risk team in Operational Risk. Most recently, he was providing strategic oversight and assisting in the execution of the CCAR strategy.
Mr. Nestore initially joined Operational Risk Management in November 2013 as SVP- Segment Risk Director responsible for leading the Segment Risk Lead team that provides second line challenge to the major revenue producing US business lines. Business lines include: Retail Products and Distribution, Regional Commercial, Corporate & Specialty Banking, Wealth, Epoch and TDAF. He joined TD in April 2011 as the Head of Finance Governance and Shared Services where he led teams responsible for: Governance, Controls & Risk, Project Management Office, FDIC Liaison Team, Reconciliation Control Unit, General Accounting and Fixed Assets/ Accounts Payable.
Prior to TD, Mr. Nestore spent 10 years at Deutsche Bank as a Director in the Group Audit function where he covered a variety of areas within the Corporate and Investment Bank. He also held positions at JP Morgan, KPMG Consulting and Neuberger & Berman.

Vincent R. Pinelli

Managing Director, COO & Head of Audit Professional Practices

MUFG AMERICAS

Vince Pinelli is Managing Director, COO & Head of Audit Professional Practices for Internal Audit for the Americas (IAA) at MUFG Americas. In his role, Vince is responsible for influencing and driving the overall strategy and objectives for Internal Audit across MUFG Americas Holdings Audit function, including Audit Practice direction, globally. He leads the teams responsible for Audit Professional Practices, Audit Governance, Audit Analytics, and Head Office Reporting. Vince is a member of both the Americas Audit Executive Leadership Team and Global Audit Leadership Team.
Under his leadership, Vince led the integration strategy and implementation of a holding company level Americas Internal Audit function, and has been recognized as a global leader across the global MUFG Affiliate Audit Offices in driving industry best practices in audit methodology, operations, GRC technology and risk-based taxonomies to meet heightened regulatory expectations. Before assuming this role in July 2014, he served as Chief Administrative Officer for the Bank of Tokyo-Mitsubishi UFJ Internal Audit Office for the Americas since 2010.
Prior to joining MUFG Americas, Vince served as Chief of Staff for the Internal Audit organization at Fannie Mae where he led Audit Practices and Operations. Vince also spent 5 years within the Internal Audit Department at American Express, where he held roles as an Audit Director and member of the Audit Leadership Team. He began his career as an auditor at Morgan Stanley
A CRMA, Vince holds a B.S. in Applied Economics and Management from Cornell University and is a member of the Institute of Internal Auditors (IIA), the Thomson Reuters GRC Customer Advisory Board, and a member of the IIAs North American Advocacy Committee.

Karthik Ramakrishnan

Senior Manager, Financial Services

ERNST & YOUNG

Karthik is a New York-based Senior Manager in the Advisory Services practice of Ernst & Young LLP. Karthik has advised several banks and insurers on different enterprise and operational risk topics including risk governance, capital modeling and stress testing, scenario analysis and risk assessments, metrics, governance, risk appetite and reporting.

Prior to joining EY, Karthik was a vice president in the Operational Risk department at Morgan Stanley, responsible for the development and implementation of several aspects of the Advanced Measurement Approach framework and Stress Testing for operational risk.

Karthik holds an MBA from New York University
and an undergraduate degree from the Indian Institute of Technology.

 

Frederick Spencer CGEIT, ICBRR

US Chief Data Risk Officer

SOCIÉTÉ GÉNÉRALE

Fred Spencer is the US Chief Data Risk Officer at Societe Generale where he is leading an effort to establish a data risk management concentration in operational risk. Fred is a senior technologist, data architect and risk manager whom has held leadership roles in data management, risk management platforms, merger integration, vendor management and infrastructure at JP Morgan Chase, Bank of America and the Federal Reserve Bank of NY. Fred holds an MBA from Farleigh Dickinson University and recently earned CGEIT and ICBRR certifications.

Philip Petrosky

Head of US Risk Data Governance

DEUTSCHE BANK

Philip joined Deutsche Bank mid 2015 as Head of US Risk Data Governance to implement the newly formed FBO IHC function responsive to US regulator's enhanced prudential standards and the ECB BASEL 239 adherence. For 26 years prior to Deutsche Bank, my career followed the growth and evolution of Greenwich Capital Markets through various acquisitions and ultimately RBS ownership. My roles over this period ranged from data analysis and design, risk and finance technology manager, Head of Credit Administration, regional Risk COO and lastly in model validation governance. My career growth and the opportunities afforded to me can be closely coupled with the industry and regulatory demands for controls efficacy and data veracity with each role a new challenge for efficiency and accuracy within the context of commercially acceptable solutions. My education and preparation for a career in the securities and banking industry is unconventionally liberal arts with undergraduate and graduate studies in Literature and Music Theory and Composition, and my professional life started as a high school teacher.

 

 

Fenton Aylmer

MD, Head of Operational Risk

CITI

Fenton earned a BA in Literature and Philosophy from the University of Concordia in Montreal, Canada and an MBA from Trinity College Dublin, Ireland.

Fenton is the senior operational risk officer in charge of Business Practices and Conduct. In this capacity, he partners with regional and business ORM colleagues, other control functions, and Citi business counterparts, to identify, assess, and mitigate risk exposures that give rise to some of the industry's most significant operational losses. Fenton also leads cross functional initiatives aimed at addressing root causes of internal fraud in the both payments and the trading processes and infrastructure.

Prior to this role, Fenton has held various senior risk management roles at Citigroup. Including: Operational Risk Head for Citibank N.A., Citigroup's largest legal vehicle; Head of Enterprise Risk Management, North America; and Head of Citi's Regulatory Capital Risk Group. In this latter role, Fenton's team oversaw the calculation and control processes of Risk Weighted Assets (RWA) and reported on associated RWA impact of data quality, GAAP movement, and risk exposures. At this time, he was also a key advisor to the firm's business strategies and capital optimization efforts under the Basel II, IIa, and III regulatory capital regimes.

Prior to joining Citigroup, Fenton worked for four years as a consultant with Ernst & Young LLP. He managed projects for large US banks focusing on Basel II implementation and Credit Risk Management related issues. Before consulting, he worked for eleven years at the Bank of Montreal (BMO). He began his career with the Bank as a retail and then wholesale credit officer. He spent his last three years at BMO managing the Treasury Credit Department.

 

Gayle Woodbury, CIA, CISA, CCSA, CTPRP

Managing Director

CROWE HORWATH

Gayle Woodbury is an experienced operational risk executive with expertise in governance, risk and compliance (GRC), third-party vendor management, and control design and assessment, with a demonstrated track record for driving collaboration and organizational change. She is recognized for using a unique blend of business, audit, communication, and technology skills to transform business requirements into effective and efficient enterprise-wide solutions. Woodbury has more than 15 years of experience leading audit, risk management, compliance, and process improvement initiatives within the financial services, manufacturing, telecommunications, and technology industries. Most recently, prior to joining Crowe Horwath, she was a Senior Vice President at U.S. Bank, where she led both the third-party risk management and enterprise GRC programs.

Mike Dempsey

Director, Financial Services Advisory

KPMG

Mike Dempsey is a Director at KPMG specializing in ERM, Operational Risk, and third party risk management. He has more than 20 years of risk management, regulatory, and governance expertise developed through his experience at the Federal Reserve Bank, Depta Bank / Hypo Real Estate Group, Credit Suisse, and UBS PaineWebber. Mike joined KPMG from the Federal Reserve Bank of Richmond where he was the lead examiner and team leader for Large Bank Supervision based in Charlotte. Prior to the Fed, Mike was regional head of Operational Risk / IT Risk & Security and global head of business continuity at Hypo Real Estate Group based in Munich, Germany and Depfa Bank based in Dublin, Ireland from 2007-2009. Mike also managed investment banking operational risk and BCP teams during his tenure at Credit Suisse (2000-2007).

Ihab Dana, CBCP

Head of Business Continuity Management US

RBC

Ihab Dana is responsible for U.S.-based operations in Capital Markets, Wealth Management International. A dynamic leader with 15 years of experience in multiple aspects of the financial industry including business resilience, crisis management, corporate security, disaster recovery, risk and control of operational risk. Ihab has a proven track record in implementing organizational strategies, operational planning and training programs. Specializing in crisis management; assessment of potential business impact, definition of critical, time-sensitive business functions, design and development of work area business continuity plans. Prior to joining RBC in May 2010, Ihab held leadership positions at Morgan Stanley, Credit Suisse, and Bank of America.

Ihab have served as the liaison officer to local, state, federal and international authorities for contingency planning on Pandemic Influenza and during actual crisis events such as September 11th 2001, SARS Outbreak in Hong Kong, Northeastern U.S. Blackout of 2003, Southeast Asia Tsunami, Hurricane Katrina, NYC Transit Strike of 2005, Hurricane Ike in August 2008, and Hurricane Sandy in October 2012.

In addition, Ihab received national recognition for assisting in saving 3,500 Morgan Stanley employees from 2 and 5 World Trade Center on September 11th 2001.

Ihab volunteered as an advisor to multiple UN agencies and am a member of the New York University's International Center for Enterprise Preparedness to increase collaboration between the private and public sectors on business resiliency and crisis management practices.
Ihab hold a Master's Degree in Business Administration (MBA in Finance) from Fairleigh Dickinson University, a Bachelor's Degree in Mathematics and a Bachelor's Degree in Business Administration, Concentration in Marketing from Ramapo College of New Jersey.

In addition to speaking at many financial services industry conferences, Ihab have been quoted in articles in industry publications including "Wall Street Journal", "New York Times,", "New Yorker", "Washington Post", and "American Society of Industrial Security" (ASIS) and in published books such as "Heart of a Soldier", and "Out of The Blue".

 

 

Tonia Durfee

Director ORM Capital

CREDIT SUISSE

Tonia Durfee, PhD, is a director of Operational Risk Capital at Credit Suisse, New York. She spent over 10 years in operational risk leading loss collection, training, policy development, quantification, scenario analysis and risk identification efforts. Prior to joining CS, Tonia was Senior Vice President in different risk management and advanced analytic roles at Citizensbank. Her former training is in advanced modeling, information systems and economics. She co-authored more than 30 research papers. Her recent interests include the use of artificial intelligence in finance, cybersecurity, and data analytics for decision support.

Heyna Deepa Patel

Senior Vice President, Senior Segment Risk Manager

THE HUNTINGTON NATIONAL BANK

Senior Vice President with 25+ years experience in the Banking & Finance Industry:
Strengths: Compliance & Risk Management, BSA-AML Compliance, Policy Development and Management, Profitability Analysis & Product Development, Audit and Internal Control development and assessment,.
Selecting and establishing an Enterprise Risk Management system, developing Risk register, Key Risk Indicators and designing and evaluating control effectiveness.
25 years includes experience at Big 4 CPA firm, International bank and US Regional Bank (The Huntington National Bank) and Global Bank (JPMC) as Risk Manager, Auditor, Product Manager and Finance Manager.

Beale Opsahl-Ong

SVP Operational Risk Insights

WELLS FARGO

Beale Opsahl-Ong is a Senior Vice President, Operational Risk at Wells Fargo & Company in McLean, VA. He leads the Operational Risk Insights team, which is responsible for risk identification, risk appetite, key risk indicators, scenario analysis, and predictive analytics. Beale is active in operational risk industry forums especially around scenario analysis.

Beale started his career working as a scientist for GE Global Research and later worked in different roles for GE Capital, Wachovia, Freddie Mac and Capital One focused on operational risk, credit risk, and process improvement.

Beale is a certified Six Sigma master black belt and holds a Ph.D. in physics from University of California, San Diego and B.S. and A.B. degrees in physics and mathematics from Duke University.

 

Joe Peddle

Third Party Risk Leader, SVP Operational Risk

GE CAPITAL

Joe Peddle has been with GE Capital since December of 2004 and is the Third Party Risk Leader and SVP of Operational Risk.

In this role, Joe has been responsible for developing the third party operational risk framework across the GE Capital business units. This includes development of risk assessment procedures and key risk indicators, integration of third party monitoring and controls, and oversight of third party business disposition activities. Most recently, Joe has been responsible for unwinding certain Operational Risk elements as GE Capital is the first financial institution to receive FSOC approval for SIFI de-designation.

Prior to his current role, Joe has held various leadership roles within GE Capital and General Electric including Productivity Leader, Global Sourcing Finance Leader, and Global Sourcing and Real Estate Manager. In these positions, Joe was responsible for negotiating direct and indirect sourcing opportunities, leading the financial planning cycles, and implementing Sourcing compliance and performance metrics. Joe was also responsible for the digital technology implementation of GE Capital's Records & Information Management program. Additionally, Joe was the Controller for GE's Global Business Services division, implementing Sarbanes-Oxley internal controls and controllership enhancements from 2002 through 2004.

Prior to GE, Joe was with Hewitt Associates in Norwalk, CT and Lincolnshire, IL as Project Leader, managing Fortune 100 clients' Defined Contribution plan mergers and leading quality initiatives. He was also Director of Client Services and Vendor Relations for FM Facility Maintenance, a national commercial property maintenance and construction management firm.

 

Gary D'Aquilla

VP Operational Risk, ERM

MASSACHUSETTS MUTUAL LIFE INSURANCE

Gary leads the operational risk management program oversight across the MassMutual enterprise, specializing in information risk management, third party risk management, risk modeling, and predictive analytics. Prior to joining MassMutual, Gary held the position of Vice President of Risk Management at Genworth Financial as well as a variety of operations positions at GE spanning defense systems, aircraft engines, environmental quality, facilities management, product distribution, and process quality.

In addition to over 17 years as a risk professional, Gary earned a M.S. in Applied Statistics from Union College and a BS in Mathematics from Fairfield University. Gary is a certified GE Six Sigma Master Black Belt. He currently holds memberships with Risk Management Association and the Risk Management Society and is the former chairperson for the Insurance Operational Risk Roundtable group.

 

 

Craig Spielmann

Former Global Head of Enterprise Risk Management Strategy

FORMERLY FIRST DATA

First Data - Craig is Global Head of Enterprise Risk Management Strategy and is responsible for developing and implementing the ERM Framework Elements, Integrating Risk Management into the Business Strategy, executing Top Risk Assessments, developing and driving the RCSA and Scenario Analysis Programs, ERM Training, Bank Sponsorship Risk Analysis, collecting and reporting External Events and leading the ERM Technology Program's Strategy and Architecture.
RBS - MD - Head of Operational Risk Management for the Americas where he was responsible for driving risk practices and governance to comply with the Federal Reserve's Cease & Desist Order over America's businesses. Craig designed major changes to RBS's risk framework and compensation program to align with the Federal Reserve's Compensation Initiative and Dodd -Frank. He also implemented regional level scenario analysis on major industry exposures such as DDOS, foreclosures practices, and Model Risk Management program. He also co-chaired the Americas Compliance and Operational Risk Committee and was a member of the IT Risk Committee, ORM Capital and Vendor Management Committees. In addition, Craig was also the
RBS - MD - Global Head of ORM's Systems and Analytics where he developed advanced analytical risk systems and ran the Global Risk Data Aggregation Initiative for ORM.
Citigroup - SVP/ CAO and Head of Risk Management for Global Technology Operations. Craig created and developed the firmware IT Risk Management Approach and Culture Initiative, developed a business approach to application risk classification, led the Executive Committee member and key driver of Citi's IT Risk Reengineering Initiative, Chaired the business wide Electronic Communications Committee.
J.P. Morgan - Head of JPM's Horizon Risk & Advisory Business. Craig created JPMorgan's Horizon GDC Solution deployed at J.P. Morgan and throughout the top institutions in the financial industry. Won several risk and technology awards including "Best Operational Risk Assessment Software," Received a Patent on "Measuring and Managing Operational Risk". Closed 26 major deals with top financial companies and regulators such as: The Federal Reserve Bank, Merrill Lynch, Credit Suisse, Prudential, The World Bank, Bank of China, Hong Kong Monetary Authority, Swiss Re, Bank of Tokyo - Mitsubishi, ABSA, Bradford& Bingley, British Petroleum, Kasikorn Bank, Developed an industry standard methodology for operational risk convergence .
J.P. Morgan - Head of Information Technology Risk Management . Craig built J.P. Morgan's first Global IT Risk Department and initiated significate changes such as forming and chairing the Global IT Governance Committee, rolling out RCSA ‘s globally, defining key performance metrics and creating regular dialogue with regulators around the world.
RiskTao, LLC - Craig is the CEO & Founder of RiskTao, LLC which specializes in Enterprise Risk Training and Advisory Services.
Education: Graduated from Iona College with a Double Major in History and Communications

Glenn Peters

Global Solution Architect

IBM

Glenn Peters leads the global IBM Watson FSS Solutions Architects group. Glenn and his team have extensive experience implementing risk management enabling technology globally leveraging the flexibility and capability of IBM OpenPages GRC Solutions and the Watson Cognitive Solutions.

Glenn has delivered many IBM OpenPages solutions globally for large customers and, along with product deployment and process redesign expertise, provides strategic consulting for organizations to develop an actionable risk management strategy.
Glenn has a strong technology and data integration background and is experienced in delivering solutions that can leverage the broader risk data required for advanced risk analytics.
Glenn is a regular presenter at risk industry events, leads regular risk strategy discussions with IBM's many customers, and is often involved in kicking off new risk solution implementations to develop a forward looking approach.

 

Evan Sekeris

Partner, Finance & Risk

OLIVER WYMAN

Evan G. Sekeris is a Partner in the Financial Services practice of Oliver Wyman, based in Washington, D.C.. His areas of focus are operational risk, stress testing and model risk management. Evan's background is in the measurement and quantification of credit risk and operational risk.  His primary focus is currently on supporting institutions in building operational risk modeling for stress testing, developing their risk identification process and developing their model risk management frameworks.
Some of his recent client engagements include:
For a foreign global bank, helped them develop a comprehensive operational risk framework for their US based IHC. Ensured both integration of the framework in their international framework as well as US regulatory compliance.
For a large internationally active US bank: supported major change of course in CCAR operational risk stress estimates a few months prior to submission in reaction to regulatory guidance.
For a large regional bank: built their CCAR loss projection model and wrote the documentation for the full CCAR operational risk submission.
For a global bank conducted a validation of their operational risk modeling framework for CCAR
  Prior to joining Oliver Wyman, Evan was the Head of Risk Consulting for Financial Institutions for Aon in Columbia, Maryland. He was in charge of building Aon's risk consulting practice for financial institutions and managed multiple teams based in North America and Europe to deliver services to clients worldwide. Previously, Evan was an Assistant Vice President of the Federal Reserve Bank of Richmond, where he created the center of excellence for operational risk which served the System needs for operational risk related matters. The team was in charge of the supervision of all AMA and CCAR banks in the US and developed the Fed's CCAR model for operational risk.
Evan earned a B.A. and M.A. in Economics from the Université Catholique de Louvain in Belgium. He received an additional M.A. as well as his Ph.D. in Economics from the University of California at Los Angeles.

Edward Hida

Global Leader, Risk & Capital Management, Partner | Deloitte Advisory

DELOITTE

Edward is the Global Leader of Risk & Capital Management and Partner in Deloitte Advisory. He has over 30 years of experience and serves some of our largest clients in various financial services sectors including banking, insurance, securities and asset management. Edward has substantial experience consulting on a variety of financial risk management and capital markets issues, including: enterprise risk management, economic and regulatory capital, stress testing including CCAR, credit risk management, market risk, systemic risk, model validation, trading and risk management systems, operational risk, treasury and investment operations and internal control and risk management infrastructure including risk data aggregation. He has completed a wide range of risk management consulting assignments for major banks, derivatives and securities dealers, insurance companies, finance companies, hedge funds, exchanges, clearinghouses and payments providers internationally. These assignments have spanned the range of risk management issues from policies, procedures, governance and infrastructure to methodology, quantitative techniques and systems.
He has been editor of our series of global risk management surveys including Deloitte's Global Risk Management Survey, 10th Edition, was author of Systemic risk: an overview of forthcoming systemic risk information requirements in PRMIA's Premia member publication, was co-author of Deloitte's The value killers revisited; A risk management study, Improving Bank Board Governance: The bank board member's guide to risk management oversight and Getting Bank Governance Right: The bank board member's guide to risk management oversight, and was co-author of Deloitte's Risk Management in the Age of Structured Products. He authored the chapter Systemic Risk Information Requirements in the Handbook on Systemic Risk by Cambridge University Press, and co-authored several chapters in the book by Institutional Investor, Asset/Liability Management of Financial Institutions: Maximizing Shareholder Value through Risk-Conscious Investing.

 

 

Jitendra Rathod

Senior Examiner

FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC)

Jitendra Rathod works at the Federal Deposit Insurance Corporation (FDIC), having previously been at the Federal Reserve Bank of New York, J.P. Morgan Chase, Freddie Mac, National City Bank and ABN AMRO. He has worked in various areas of risk management functions, including risk policy and governance, stress testing, Comprehensive Capital Analysis and Review (CCAR), Dodd-Frank Act Stress Testing (DFAST), Basel II and economic capital, model risk management, modelling and performance measurement. Rathod was a key member of the Basel qualification team and the examiner in charge for risk, credit risk, operational risk, model risk, stress testing, CCAR and DFAST. He has spoken at various risk management conferences around the world

Colleen Graham

Chief Supervisory Officer

SIGNAC

Colleen Graham holds the top title (Chief Supervisory Officer) at Signac, a 50/50 joint venture between Credit Suisse and Palantir. Signac is a Silicon Valley based data integration company based in NY and London.
Signac is tasked with building a holistic solution based on state of the art Palantir technology and designed to mitigate Operational Risk and reduce the associated Operational Risk Capital.
Colleen previously worked at Credit Suisse in a variety of control, compliance, and COO functions including as the Head of Compliance Americas, the Chief of Staff for Private Bank Americas and the Chief Control Officer for the Global Investment Bank.
Colleen joined Credit Suisse in 1996 from the law firm Thacher Proffitt and Wood where she focused on Mortgage and Asset Backed Securities, Corporate and Securities Laws. Before that, she practiced law at Hughes Hubbard and Reed with a focus in Mergers & Acquisitions.

Deniz Senturk, PhD

Head of Model Risk Management

STATE STREET

Deniz is a Senior Vice President in State Street Corporation, and the head of Model Risk Management since March 2015. Prior to joining SSC, she has been heading Model Risk Management in GE Capital for 3+ years. She has been with GE for 15 years where she led marketing analytics teams and also research teams in GE Global Research Center (where she has published 15+ patents and 20+ research papers on advanced statistical techniques used in risk and finance.) Her areas of functional expertise include compliance and control functions (Model Governance), credit and model risk management (Consumer and Commercial Credit Risk, Stress Testing, Allowance/Reserve, and Capital modeling) as well as risk analytics, marketing analytics and business strategy management. Deniz also served as an adjunct professor at Graduate School of Business, Fordham University for three years. She has a Ph.D. in Applied Statistics from University of California, Santa Barbara and a B.S. in Physics from Bogazici University (Turkey)

Shelly Martin

Vice President Operational Risk

STATE STREET

Shelly Martin is a Vice President in Enterprise Risk Management at State Street Corporation where she is responsible for Operational Risk Management programs, including the Scenario Analysis, Risk and Control Self-Assessment (RCSA), and Key Risk Indicator (KRI) programs. She also is responsible for the firm's Operational Risk issues management and remediation effort. Additionally, Shelly oversees State Street's Risk and Control Taxonomies. Prior to State Street, Shelly held positions in Market and Operational Risk at Morgan Stanley based in New York. Previously, Shelly managed risk for Department of Defense satellite communication programs with Booz Allen Hamilton. Shelly currently serves as a Major in the United State Air force Reserves.

Ivan Pooran

Head of Operational Risk

GUARDIAN LIFE

Ivan is a seasoned Risk Manager, with diverse Business and Geographical experiences.

Ivan is currently VP at Guardian Life of America, where he leads the firms Operational Risk function. He is a member of the Corporate Risk Committee and is also responsible for Third Party Risk and Business Resiliency. More recently he was Chief Operational Risk Officer at Santander Bank US Holdings, where he had responsibility for the Operational Risk, Third Party Risk, Business Continuity and Information Management Programs. His primary focus at Santander was developing a Risk program in preparation for the Regulatory CCAR exam.

Prior to his role at Santander he was at GE Capital for close to four years as Managing Director-Head of Enterprise and Operational Risk for GE Capital Americas. In this role he had responsibility for Operational Risk, Governance, Risk & Control Assessments and Records Management. His primary objective was to develop a program that would make meaningful impact towards a cultural shift in Operational Risk Management.

Before GE he was at Citigroup for close to 21 years in multiple roles. His last role at Citi was as Global Head of Operational Risk for the Consumer and Commercial bank and was directly accountable for defining the framework and strategy for Operational Risk and in preparing the Bank for Basel AMA Compliance.

During the period of 2003-2010, Ivan held several roles in Europe and the Middle East, first as Audit Director for the Consumer Bank (based in Belgium), then as Country Risk Officer for Spain (based in Spain) and also Regional Credit Officer for Spain and Portugal. As a Senior Credit Officer he successfully managed the prelude and 1st phase of the economic crisis in Spain and Portugal.

Prior to his time in Europe, Ivan was with Banco Santander in Sao Paolo Brazil, where he was Business Manager for the Mid-Small Market segment. Other roles include Citi Bank CRO in Brazil, Venezuela and Colombia.

Ivan is married with 2 children. He is an Economist with an MBA and also holds degrees from Duke University and the London Business School. He is fluent in Spanish and Portuguese.

 

 

Fan Gao

Head of Operational Risk Management and International Compliance

CREDITEASE

Dr. Gao joined CreditEase in October 2015 from Citigroup, New York, where she held various leadership positions for more than 13 years. Most recently, she was Global Head of Operational Risk Management for Citi Private Bank.

From 2011-2013 Dr. Gao was Regional Head of Operational Risk Management for APAC at Citi, overseeing all Citi's business in APAC region.

Before starting her career in Operational Risk Management, Dr. Gao was Senior Credit Officer at Citi's North America Credit Card business. Positions she held include Chief Risk Officer for North America Affluent Market. A $50B portfolio includes its famous AAdvange portfolio; Head of credit policy at Citi NA Cards.
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Dr. Gao also worked at JPMorgan Chase and American Express company.

Dr. Gao earned her Ph.D. in Mathematics from University of Michigan, Ann Arbor. She has BS in Applied mathematics and Mechanical Engineering from Tsinghua University, Beijing.


Dr. Gao is married with a son and a daughter.。

 

Mason Karrer

Principal GRC Strategist

RSA

Mason is one of the strategists responsible for the direction and design of RSA's Archer GRC offerings. Prior to joining RSA in 2010, Mason spent 20 years as a practitioner in software development, information security, compliance, and audit roles. With a diversified background in business process and technical disciplines, Mason knows firsthand the responsibilities and global challenges organizations are facing with their information security, compliance, and operational risk programs. Mason holds a BS in Aerospace Engineering, and the CISSP and CISA professional certifications

Sid Medappa

Head of Operational Risk & Model Risk Officer - Commercial Line

AIG

Sid is currently responsible for oversight of operational risk across the Commercial product lines and is also responsible for ensuring compliance to AIG's Model Risk Policy as the Model Risk Officer for Commercial product lines. Over the past 16 years, Sid has developed a sound track record in the General Insurance sector and his experience encompasses positions as Chief Risk Officer (AIG Singapore), Regulatory Supervisor at the Australian Prudential Regulation Authority (APRA, Sydney), Insurance Consultant at Deloitte Sydney and Underwriter at Atradius, Sydney.

Apart from work, Sid enjoys watching sport, running, cooking, movies and a good coffee.

 

Lester Joseph

Manager, Global Financial Crimes Intelligence Group

WELLS FARGO

Lester Joseph is the Manager of the Global Financial Crimes Intelligence Group at Wells Fargo & Company. The primary mission of this Group is to provide intelligence on money laundering activity and financial crime trends to all parts of the company. Les joined Wells Fargo in March 2010 as the International Investigations Manager.

Prior to joining Wells Fargo, Les worked for the U.S. Department of Justice from 1984 to February 2010. From 2002-2010, he was the Principal Deputy Chief of the Asset Forfeiture and Money Laundering Section (AFMLS). He was a Deputy Chief in the Section since October 1991.

Les began his career with the Department of Justice in 1984 as a Trial Attorney in the Organized Crime and Racketeering Section. From 1981-1984, he was an Assistant State's Attorney in Cook County (Chicago), Illinois. He received his J.D. from The John Marshall Law School in Chicago and his B.A. from the University of Michigan.

 

Ed Kim

Operational Risk Expert

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Rock Rockefellar

Director

KPMG

Rock is an experienced Director within KPMG's Operations Risk Management practice. For over a decade, he has been supporting First (Front) Line and Second Line (Risk, Compliance) leaders to define, report, and monitor risk profiles of business units, corporate/shared-services functions, and third parties. He has led / supported multiple risk-capital infrastructure transformation projects, advising on - financial institutions' board and C-suite risk reporting; design, construction, and rollout of operational / enterprise risk management (ORM/ERM) capabilities, e.g., Risk Appetite, Taxonomy, Risk Control Self-Assessment, key risk indicators (KRIs); stress testing, capital and regulatory reporting (NAIC ORSA, DFAST, and CCAR).

Most recently, he has been assisting clients with risk data aggregation (RDA), risk governance, and CCAR-CFO Attestation data lineage / data dictionary design, testing, and reporting. Rock has served clients at US, Hong Kong-China, and Australia-based financial services industry companies.


EXPERIENCE HIGHLIGHTS
Risk-Control Infrastructure Transformation
 Designed, helped to deploy ERM function for new ventures, business transformation/reorganization
 Advised Chief Risk Officers (CROs) to build ERM capabilities Taxonomy, Risk Control Self-Assessment (RCSA), Stress Scenario Analysis and Modeling, Risk Policy, Risk Appetite, Limit, and Breach monitoring
 Developed Key Risk Indicators (KRIs) for use by board, management risk committees, and Risk function personnel to maintain effective challenge over business (risk owners)
 Guided multiple banks and insurance Internal Audit teams on design/review of ERM programs
 Evaluated or developed enterprise and operational risk taxonomies, mapping detailed level-3 risks to GRC (BWise, MetricStream) database hierarchies
 Refreshed the Operational Risk Management (ORM) assessment framework, maturity continuum.
 Responsible for surveying US companies in the ORX Association and KPMG (member firms in US, UK, EU) joint global research project on Operational-Insurance Boundary Risks

Risk Data & Technology Enablement
 Assessed adequacy of risk-control data quality, given leading practices, privacy regulations
 For a middle market bank, led the development of IT Risk Taxonomy (using NIST and CoBIT standards); advised on Cyber security program design
 Reported on effectiveness of controls to mitigate risks to data and relational databases
 As IT Auditor, assessed the design and operational effectiveness of Business Continuity Plan and Disaster Recovery (BCP, DR) programs
 Assessed data completeness and controls-integrity for operational risks (loss event) tracking

Risk-Capital Planning & Reporting
 Insurance company's risk-capital analysis and reporting:
- Guided multiple insurers' Finance and Risk teams in design, development, or refresh of stress testing and capital planning processes for Own Risk & Solvency Assessment (ORSA) regulatory filing
- Advised on leveraging annual budgeting and forecasting processes to estimate risk capital, stress capital, and to design stress scenarios
- Supported insurer to refine its risk appetite and risk reporting frameworks, assess gaps in scenario analysis and stress testing methodologies
 Basel: Assisted in design of Basel II diagnostic tool to identify gaps in regulatory capital framework; reviewed effectiveness of internal controls within risk-capital reporting process of a Hong Kong firm
 Assisted in running and reviewing output of European Embedded Value (EEV) models, presenting modelled results, and drafted model user guide
 Founded a virtual community of interest (KPMG Hub) on risk-capital stress testing

Technical skills
CCAR Data Lineage/Data Dictionary, CFO Attestation Framework Design/Instructor,
Audit Command Language (Data Analytics software), MS Office tools, Project Management