Dec 17, 2012 - Workshop 1: Managing operational risk in a retail bank ..... Know your customer: effective new client due
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Stress testing
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Beyond regulation: how operational risk best-practice is adding value to the business Join the OpRisk community at the flagship OpRisk North America conference. Now in its 15th year, this event has firmly established itself as the pre-eminent meeting place for operational risk executives. With the uncertainty of the Eurozone and in the face of massive regulatory change, it is now more important than ever to remain up-to-date with complex industry developments and share experiences on how to combat these challenges.
Conference highlights for 2013: Meet the regulators, providing you with the most recent regulatory developments and what to expect in the year ahead Get practical advice from experienced professionals on how to overcome current market challenges Strengthen your links with decision makers, your peers and leaders in the industry Understand how to limit the impact of a social media event Network with over 200 leading operational risk professionals at the largest event of this kind in the year Learn how to protect your business from capital losses Compare and benchmark your operational risk framework against other successful institutions Prepare your business for new threats and develop business resiliency and continuity plans Hear from operational risk’s most influential figures on how to address the challenges they expect in 2013
PLUS – Six separately bookable workshops: Pre-conference workshops on March 18th, 2013 Workshop 1: Managing operational risk in a retail bank Workshop 2: Introduction to operational risk modeling Workshop 3: Stress testing operational risk for capital planning and capital adequacy
Post-conference workshops on March 21st, 2013 Workshop 4: Effective use of key risk and control indicators in managing operational risk
Workshop 5: Scenario analysis and its usage in operational risk management
Workshop 6: AML at your institution: Developing a
comprehensive anti money laundering framework – implementation strategies, best practice and industry case studies
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Dear Executive, The storms and floods that Hurricane Sandy brought to the US east coast in the autumn of last year underlined the importance of preparing for tail risks. The response from the authorities – and their preparation beforehand – was hugely better than the disaster of Hurricane Katrina in 2005, but the disruption and damage was still significant. The next threats to surface may be less telegenic but will still require the same degree of commitment and forethought in response. In New York, delegates to OpRisk North America 2013 will again have an unmissable chance to meet and hear from leading regulators, senior colleagues and groundbreaking researchers on the future of operational risk. High on the agenda is regulatory change – the DoddFrank Act and the Basel III rules in particular – but we’ll also be looking at the state of the art in operational risk measurement and modeling, threats from the
Eurozone crisis to fraud and financial crime, and the equally important topic of relations between the op risk function and the rest of the business. The future of operational risk management has never been so uncertain, and it has never been so easy for a single operational risk failure to cause crippling – or even terminal – damage to an institution. OpRisk North America will give you the knowledge and insight to deal with this uncertain future, and the opportunity to talk to your colleagues facing the same challenges. I hope to see you there.
Alexander Campbell Editor, Operational Risk & Regulation
Speakers:
Eva Leighton
Gus Felix
Beth Rudofker
Steven Benyo,
Spyro Karetsos
Jodi L. Richard
Managing Director, Head of Operational Risk Management, MORGAN STANLEY
Vice-President, Retail and Business Banking Operational Risk Management, BMO FINANCIAL GROUP
Managing Director, Global Head of Operational Risk Management, CITIGROUP
Head of Enterprise Risk Management and Control, VANGUARD
Managing Director Head of Operational Risk, JP MORGAN CHASE
EVP, Regional Head of Operational Risk and Control, HSBC NORTH AMERICA
Who should attend? Chief Risk Officers Global Heads of Operational Risk Heads of Group Operational Risk Heads of Operational Risk Operational Risk Managers Operational Risk Analysts Heads of Risk Management Heads of Risk Control Risk Managers Heads of ERM Heads of Compliance Managing Directors, Directors, Vice Presidents and
Associates within Operational Risk
Operational Risk Policy and Support Basel Project Managers/ Co-ordinators Heads of Corporate Governance Senior Bank Examiners Bank Supervisors Fraud Managers and Directors Risk and Compliance Directors Fraud Examiners Fraud Inspectors Threat and Fraud Assessment Directors
Register now
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REGISTER EARLY AND BENEFIT FROM OUR EARLY BIRD DISCOUNT
Pre-conference workshops Monday, March 18th, 2013, New York
Workshop 1 Managing operational risk in a retail bank
A full day with the JPMorgan Chase Consumer Operational Risk Assessment and Advisory Team Led by: Penny Cagan, Head of Consumer Operational Risk Assessment and Advisory, JPMORGAN CHASE Jerry Biederman, Lead, Mortgage Banking Operational Risk Assessment and Advisory, JPMORGAN CHASE Jessica Comus-Loh, Lead, Analytics, Consumer Operational Risk Assessment and Advisory, JPMORGAN CHASE Mary Ignudo, Lead, Credit Card Operational Risk Assessment and Advisory, JPMORGAN CHASE Lisa Peternel, Lead, Consumer Banking Operational Risk Assessment and Advisory, JPMORGAN CHASE 8:30
Registration and breakfast
9:00
Introduction to consumer operational risk Penny Cagan, Head of Consumer Operational Risk Assessment and Advisory, JPMORGAN CHASE
10:30
Morning coffee break
11:00
Consumer operational risk practices Jessica Comus-Loh, Lead, Analytics, Consumer Operational Risk Assessment and Advisory, JPMORGAN CHASE
12:00
Lunch
1:00
Managing operational risk in a consumer bank Lisa Peternel, Lead, Consumer Banking Operational Risk Assessment and Advisory, JPMORGAN CHASE
2:00
Managing operational risk in a credit card organization Mary Ignudo, Lead, Credit Card Operational Risk Assessment and Advisory, JPMORGAN CHASE
3:00
Afternoon coffee break
3:30
Managing operational risk in a mortgage bank Jerry Biederman, Lead, Mortgage Banking Operational Risk Assessment and Advisory, JPMORGAN CHASE
4:00
Wrap-up: Penny Cagan, Head of Consumer Operational Risk Assessment and Advisory, JPMORGAN CHASE
5:00
End of workshop
Workshop 2 Introduction to operational risk modeling
Led by: Anna Chernobai, Assistant Professor, Department of Finance, Martin J. Whitman School of Management, SYRACUSE UNIVERSITY 8:30
Registration and breakfast
9:00
Basel II capital accord and operational risk basics
10:30
Morning coffee break
11:00
Operational risk modeling – Part I: building the foundation and exploring the two building blocks – frequency and severity
12:30
Lunch
1:30
Operational risk modeling – Part II: Developing a robust operational risk capital charge measurement technique
3:00
Afternoon coffee break
4:00
Operational Risk modeling – Part III: Things about operational risk that excite academics and what industry can learn from them
5:00
End of workshops
Workshop 3 Stress testing operational risk for capital planning and capital adequacy
Introduction to stress testing operational risk
Speaker to be confirmed, please visit oprisknorthamerica.com for updates
Empirical models for stress testing operational risk Alexander Cavallo, Senior Vice President, Operational Risk and Risk Analytics, NORTHERN TRUST Model validation issues for operational risk projection models in CCAR/CapPR Mark Weber, Vice President, NORTHERN TRUST Wrap up session: Speaker to be confirmed, please visit oprisknorthamerica.com for updates
Sponsorship opportunities To find out how your organization can benefit from sponsoring and exhibiting at this event, contact: Rob Mannix | E:
[email protected] | T: +44 (0) 207 316 9697
Day One Tuesday, March 19, 2013, New York 8:00 8:50 9:00
Registration and breakfast Welcome address: Alexander Campbell, Editor, OPERATIONAL RISK & REGULATION
9:40
Regulatory panel: What Dodd-Frank means for operational risk managers PANEL Pain points for oprisk managers in the new regulation Regulatory scrutiny: where banks might fall down A priority check-list for oprisk managers The impact of Dodd-Frank on day-to-day operations and model stress testing Unintended consequences of the regulation Moderator: Jitendra Sharma, Partner, Global Head, KPMG FINANCIAL RISK MANAGEMENT PRACTICE Stacy L. Coleman, Head of Operational Risk Department, THE FEDERAL RESERVE BANK OF NEW YORK Kenneth Fulton, Operational Risk and Basel Advisor to Deputy Comptroller - Operational Risk, OFFICE OF THE COMPTROLLER OF THE CURRENCY Adrienne Haden, Assistant Director, Operational & IT Risk Policy, Banking Supervision and Regulation, Board of Governors of the FEDERAL RESERVE SYSTEM Alfred Seivold, Senior Examination Specialist – Basel II Coordinator, FDIC Morning coffee break Stream one: Building an oprisk framework that adds value Stream two: Forecasting and mitigating tail events
10:30
Keynote address: Speaker to be confirmed, please visit oprisknorthamerica.com for updates
11:00
Chairman’s opening remarks
Chairman’s opening remarks
11:10
Presentation: NPD – controlling risk without killing innovation Establishing a structured process Common pitfalls How to manage risks without discouraging creativity and innovation A case study Jack Gomez, Head of Operational Risk for Asset Servicing Americas, BNY MELLON Presentation: New approaches to loss data collection Overcoming data gaps What the regulator expects How much data is enough? Lou Santamaria, Director, Global Operational Risk, SCOTIABANK Lunch Presentation: Building an AMA model on budget Effective processes for measuring and allocating capital under AMA Building AMA models with restricted budgets What to do after you qualify for AMA How to sustain a successful and robust framework Speaker to be confirmed, please visit oprisknorthamerica.com for updates Presentation: How much operational risk is too much? Eva Leighton, Managing Director, Head of Operational Risk Management, MORGAN STANLEY
Panel discussion: Business continuity planning and lessons learnt from hurricane Sandy Moderator: Peter Poulos, Managing Director, CITIGROUP
11:50
12:30 1:30
2:10
2:50
3:30 3:50
4:40
5:00
KEYNOTE
PANEL
Further speakers to be confirmed, please visit oprisknorthamerica.com for updates
Alternative view: Risk management in a non-financial institution Speaker to be confirmed, please visit oprisknorthamerica.com for updates
Presentation: Current priorities for operational risk managers Key unresolved problems and challenges for operational risk managers Lessons learned – what have we got right and what have we got wrong Charlie Beach, Head of IB ORC, UBS Presentation: Psychology and sociology of fraud What is it that makes conmen (and women) tick What are the behavioral root causes of WCC Understanding misrepresentation How to use your understanding of human behavior to maintain professional skepticism, and avoid becoming a victim of psychological manipulation and fraud Why white collar crime is a global growth industry and why it won’t go away soon… Sridhar Ramamoorti, Associate Professor, School of Accountancy Director, Corporate Governance Center, KENNESAW STATE UNIVERSITY and Coauthor, “ABCs of Behavioral Forensics: Using Psychology to Prevent, Deter, and Detect Fraud” Presentation: The dangers of social media Controlling social media How to prevent security breaches and loss of data What can you do to limit the impact of a social media event Paul Michaud, Director Global Social Media, CITI
Presentation: The use of predictive analysis to price operational risk Regulatory perspective of operational risk Who owns risk? How are oprisk losses predicted? Risk appetite Gus Felix, Managing Director, Global Head of Operational Risk Management, CITIGROUP Afternoon coffee break Panel discussion: Embedding operational risk in the front office PANEL How do you raise risk awareness of operational risk within business units? Changes in organizational structure due to regulation: what is acceptable going forward? Adapting to new business needs: comparing experience Getting the business ready for new regulation Beth Rudofker, Managing Director Head of Operational Risk, JPMORGAN CHASE James Fisher, Executive Director, Operational Risk Control, UBS GLOBAL ASSET MANAGEMENT Thomas E. McGahey, Operations Risk Manager, Wealth, Retail Brokerage and Retirement, WACHOVIA Further speakers to be confirmed, please visit oprisknorthamerica.com for updates Best practice roundtables roundtables Roundtable 1 How can you effectively identify, monitor and report KRIs led by Dolores (Lori) Miller, Director of Operational Risk, BORO Americas, CREDIT SUISSE Roundtable 2 Dodd-Frank regulation (Speaker to be confirmed) Roundtable 3 Managing legal risk and litigation led by Christian Mittelberg, Director, Head ORBCM Americas, DEUTSCHE BANK Roundtable 4 Know your customer: effective new client due diligence procedures (Speaker to be confirmed) Roundtable 5 Operational risk management in outsourcing led by Marina Roesler, Managing Director, Global Head of O&T Risk Management Strategy and Enterprise Supplier Risk Management, CITI Roundtable 6 Audit of Operational Risk/Risk Management led by Daniel Varghese, SVP, Corporate Audit- Operational Risk, BANK OF AMERICA Roundtable 7 BUY-SIDE roundtable: oversight portfolio management for risk departments: practical oprisk reporting, oversight risk triggers and limits identification (Speaker to be confirmed) Roundtable 8 Governance: how should we manage change as the company evolves? Roundtable 9 Quantifying reputational risk led by Diane R. Maurice, Senior Analyst - Operational Risk, Division of Banking Supervision - Wells Fargo, FEDERAL RESERVE BANK OF SAN FRANCISCO Roundtable 10 Rogue trading indicators led by David Keenan, Managing Director, Operational Risk Department, MORGAN STANLEY Cocktail reception sponsored by Ernst and Young. End of day one
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Day Two Wednesday, March 20, 2013, New York 8:30 8:50 9:00 9:40
10:30
11:00
Registration and breakfast Welcome address: Alexander Campbell, Editor, OPERATIONAL RISK & REGULATION
KEYNOTE Keynote address: Speaker to be confirmed, please visit oprisknorthamerica.com for updates Panel discussion: Operational risk in an ERM framework PANEL Integrating operational risk within ERM Identifying gaps in functionality Identifying trouble spots where the framework is not working The value of oprisk management within ERM Moderator: Daniel McKinney, Partner, Financial Services, ERNST & YOUNG LLP Mairtin Brady, Senior Managing Director, Head of Operational Risk, TIAA-CREF Spyro Karetsos, Head of Enterprise Risk Management and Control, VANGUARD Eva Leighton, Managing Director, Head of Operational Risk Management, MORGAN STANLEY Further speakers to be confirmed, please visit oprisknorthamerica.com for updates Morning coffee break Stream one: Cutting edge approaches to oprisk measurement Stream two: Good governance and risk oversight and modeling Chairman’s opening remarks Chairman’s opening remarks Presentation: Regulatory developments and adapting new risk governance across all risk types : directions and its meaning
11:10
Presentation: Model validation and governance Gagan Agarwala, Partner, Financial Services, ERNST & YOUNG LLP
11:50
Presentation: How to optimize risk management activities in light of the big data we now have from banks across the world Jonathan Rosenoer, SVP, Head of Operational Risk, BANK OF THE WEST
12:30 1:30
Lunch Presentation: Operational risk modeling and meeting regulatory expectations Evan Sekeris, THE FEDERAL RESERVE BANK OF RICHMOND
Speaker to be confirmed, please visit oprisknorthamerica.com for updates
2:10
2:50 3:20
4:10
5:00
Presentation: Creating and implementing an intertwined operational risk and ERM framework Development/rollout/on-going program management Meeting governance and other control expectations Turning ERM and operational data into clear action Brandon Joel, Enterprise Risk Management, WESTERN ASSET MANAGEMENT Presentation: Linkage between firm-wide risk appetite and a granular system of limits and controls Identifying controllable vs. non-discretionary risks and measuring their contributions to risk profile Calibrating limits to risk appetite Operational risk: inherent risks and effectiveness of mitigants and controls Steven Benyo, Vice-President, Retail and Business Banking Operational Risk Management, BMO FINANCIAL GROUP Presentation: Strong internal culture and the LIBOR crisis: how to prevent similar events in future Other events of the same nature – what are the common themes? How to implement sanctions and controls A market risk or an oprisk event?
Presentation: Latest techniques for modeling and managing operational risk Using business and control factors in OR modeling OR Stress Test: CCAR and further How can OR measurement improve OR management? Aggregating different types of data into a single measure Marcelo Cruz, Global Head of Operational Risk Analytics, Speaker to be confirmed, please visit oprisknorthamerica.com for updates MORGAN STANLEY Afternoon coffee break Panel discussion: What’s your worth? Progress in measuring the value of operational risk PANEL Adding true value to the business and to integrate into their decision making process Methods of demonstrating value to the business How to add value when under budget pressure How to price oprisk? The short- versus long-term value of oprisk Demonstrating value to the board Efficiency management and operational risk inefficiencies Moderator: Christopher J. Haines, Vice President, Risk & Information Management, Senior Staff Lead Operational Risk Officer - GABM / Publishing / DPD / CA&C, AMERICAN EXPRESS Marcelo Cruz, Global Head of Operational Risk Analytics, MORGAN STANLEY Further speakers to be confirmed, please visit oprisknorthamerica.com for updates Panel discussion: The year ahead for operational risk PANEL How the industry has changed Current developments in operational risk Priorities for operational risk and areas of focus for 2013 Top risks to watch out for this year Craig Spielmann, Head of Operational Risk, RBS AMERICAS Jodi L. Richard, EVP, Regional Head of Operational Risk and Control, HSBC NORTH AMERICA Further speakers to be confirmed, please visit oprisknorthamerica.com for updates Closing remarks. End of the OpRisk North America conference
Sign up for your complimentary trial of Operational Risk & Regulation at www.risk.net/static/operationalrisk-and-regulation-trial and see for yourself how Operational Risk & Regulation can keep you informed of all the important regulatory developments.
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Post-conference workshops Thursday, March 21st, 2013, New York
Workshop 4
Workshop 5
Effective use of key risk and control indicators in managing operational risk Led by Theresa O’Rourke, Managing Director, Operational Risk Management
Scenario analysis and its usage in operational risk management
led by Gene Álvarez, Executive Director, CIB Risk Management, JPMorgan Chase
8:30
Registration and breakfast
9:00
Setting the foundation
10:30
Morning coffee break
11:00
Usage of indicators in operational risk framework (part I)
12:30
Lunch
1:00
Panel discussion: KRIs – case studies, practical advice and success stories
3:00
Afternoon coffee break
3:30
Usage of indicators in operational risk framework (part II – continuation)
Operational risk scenario analysis – part II: implementation and sustainability
4:00
Challenges & developing a robust ongoing program
Challenges & developing a robust ongoing program
5:00
End of workshops
Setting the foundation
PANEL
Operational risk scenario analysis – part I: exploring the styles of scenario analyses OpRisk scenario analysis – case studies, practical advice and success stories
Workshop 6 AML at your institution: Developing a comprehensive anti money laundering framework - implementation strategies, best practice and industry case studies 8:30
Registration and breakfast
9:00
AML in theory and in practice Sterling Daines, Compliance Surveillance Strategy Group, Anti-Money Laundering, Managing Director, GOLDMAN SACHS Renata Santos, Executive Director, Head of Anti-Money Laundering Compliance Americas, MORGAN STANLEY
10:30
Morning coffee break
11:00
The grey areas in AML rules Nerissa P. Hall, Director, Head of US AML Compliance, CREDIT SUISSE
12:30
Lunch
1:30
Lessons from recent enforcement actions John Kancans, Head of AML, Asset Management, DEUTSCHE BANK
3:00
Afternoon coffee break
3:30
AML best practice Denise M. Wright, Head of AML and Sanctions Compliance, RABOBANK INTERNATIONAL - North America Wholesale
5:00
End of workshop
Stream sponsor:
Presentation & cocktail sponsor:
KPMG is a global network of professional firms providing Audit, Tax, and Advisory services. We operate in 152 countries and have 145,000 people working in member firms around the world. With more than 22,000 people, including more than 1,700 partners, KPMG LLP is a leader among professional services firms in the United States. We provide services from 87 offices covering clients in all 50 states
Ernst & Young is a global leader in assurance, tax, transaction and advisory services. Worldwide, our 167,000 people are united by our shared values and an unwavering commitment to quality. We make a difference by helping our people, our clients and our wider communities achieve their potential.
Our high-performing people mobilize around our clients, using our experience and insight to cut through complexity and deliver informed perspectives and clear methodologies that our clients and stakeholders value. Our client focus, commitment to excellence, global mind-set, and consistent delivery build trusted relationships that are at the core of our business and reputation.
Ernst & Young refers to the global organization of member firms of Ernst & Young Global Limited, each of which is a separate legal entity. Ernst & Young Global Limited, a UK company limited by guarantee, does not provide services to clients.
In essence, our competitive advantage is high-performing people cutting through complexity. kpmg.com
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11-14 June 2013, London To be used in bottom-left placement
Regulation ALIGN WITH BOTTOM TRIM EDGE
Stress-testing
KRIs
Governance & ERM
Financial crime
Oprisk appetite
Business value
Loss data
Join OpRisk in London on 11-14 June 2013 The 15th annual OpRisk Europe conference will take place on 11-14th June 2013, so save the date now in your diaries. Held in London, the conference will bring together leading operational risk practitioners who will discuss the challenges the industry is facing. Attend and get up-to-date with the latest regulatory developments whilst taking part in discussions on embedding oprisk in front office and the function of operational risk in the ERM framework.
Our 2013 keynote speaker will be: Scott O’Malia, Commissioner, US COMMODITY FUTURES TRADING COMMISSION
Leading practitioners will include: Charlie Beach, Head of IB ORC, UBS John Wertheim, EMEA Head of Operational Risk, MORGAN STANLEY Michael Paisley, Head of Operational Risk Unit, IT & Operational Risk, SANTANDER Petra Merl, Head of Operational Risk, HypoVereinsbank - Member of UNICREDIT
Sponsorship
Registration
For sponsorship opportunities please contact: Rob Mannix E:
[email protected] T: +44 (0) 207 316 9697
For registration enquiries please contact: Yasna Mostofi E:
[email protected] T: +44 (0) 207 004 7563
Be the first to receive details of the 2013 agenda, complete a remind me form at: opriskeurope.com Hosted by:
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Please select which pre-conference and or post-conference seminars you wish to attend: Pre-Conference Workshop 1: Managing operational risk in a retail bank Pre-Conference Workshop 2: Introduction to operational risk modeling Pre-Conference Workshop 3: Stress testing operational risk for capital planning and capital adequacy Post-Conference Workshop 4: Effective use of key risk and control indicators in managing operational risk Post-Conference Workshop 5: Scenario analysis and its usage in operational risk management Post-Conference Workshop 6: AML at your institution: Developing a comprehensive anti-money laundering framework – implementation strategies, best practice and industry case studies
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