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3RD ANNUAL OPERATIONAL & ENTERPRISE RISK MANAGEMENT Assessing the remit of operational and enterprise risk management to increase efficiency between departments OCTOBER 19-20, 2017 | NEW YORK CITY HEAR FROM OVER 30 SENIOR OPERATIONAL & NEW FOR 2017 TWO FOCUSED STREAMS ENTERPRISE RISK PROFESSIONALS INCLUDING: OPERATIONAL RISK ENTERPRISE RISK Keynote Addresses from the OCC and Setting risk appetite Interpretation of ERM Federal Reserve Bank of New York Operational risk Driving business Ryan Zanin Scott Gyllensten parameters CEO, Strategic Ventures & Chief Operational ERM guidance Modeling Restructuring Group Risk Officer Lines of defense GE Capital People’s United Bank operational risk GRC RCSA Deborah Hrvatin Russell Kempf Model risk Americas Head of Non- Director, Operational risk validation Financial Risk Management Group Risk Stress testing Fraud Deutsche Bank UFG Technology in ERM Cyber security Non market risks Theresa Reynolds Joel Forbes Reputational risk Director, Operational Risk MD, Head of Operational Accountability Management Validation Risk Management Regulatory expectations The future of ERM Capital One NatWest Markets Business continuity enterprise risk subject Keri Gormley Fenton Aylmer Scenario generation matter areas Global Head of MD, Head of Operational Risk Assurance Operational Risk PLUS, PRE-EVENT MASTERCLASS | OCTOBER 18 BNY Mellon Citi Supercharging your ERM program LED BY CRAIG SPIELMANN CPE ACCREDITATION: CO-SPONSOR:

#OPERM17 www.cefpro.com/op-erm OPERATIONAL & ENTERPRISE RISK MANAGEMENT | OCTOBER 19-20, 2017 | NEW YORK CITY

EVENT OVERVIEW Overall, a very good The Center for Financial Professionals are proud to release the agenda for the 3rd Annual Operational conference, I look forward & Enterprise Risk Management Congress 2017, taking place October 19-20 at the New York Marriott to attending next year! Downtown. Federal Reserve Bank of New York With the broadening remit of operational risk and heightened focus and scrutiny into ensuring effective controls and risk mitigation practices, operational risk continues to be an area at the forefront of focus. With enterprise risk management teams utilizing a lot of these controls and frameworks, and an increasing focus on incorporating an effective ERM function into institutions, the 2017 edition of the event will feature a second stream addressing the challenges faced by enterprise risk professionals.

Attendees can still benefit from in depth sessions around topical areas seen at the New Generation Operational Risk event, alongside broader keynote sessions.

WHAT’S NEW FOR 2017

KEYNOTE DISCUSSIONS DEDICATED WORK STREAMS Join an audience of over 200 ERM and operational risk We have expanded upon the 2017 New Generation professionals and hear insight on critical topics including: Operational Risk Congress to incorporate the critical Conduct, culture & accountability, the role of the lines of elements of ERM within the agenda. The 3rd Annual defense, a regulatory review and identifying operational Operational & Enterprise Risk Management 2017 will risk as an essential part of ERM include individual work streams with the focus split across Join the keynote sessions with insight from: Operational Risk and Enterprise Risk Management. OCC, Federal Reserve Bank of New York, Goldman Sachs, Attendees have the opportunity to join a single stream Mizuho, Deutsche Bank, NatWest Markets, TD Bank and or create a tailor-made event by joining individual MUFG Union Bank sessions across each stream

PRE EVENT MASTERCLASS 2017 also features a pre-event Masterclass on ‘Supercharging your ERM program’ led by industry LUNCHEON ROUNDTABLES expert Craig Spielmann, Former Head of Enterprise Risk To be released! We will be holding luncheon roundtable Management Strategy, First Data. Craig brings over 30 discussions during the lunch break on the first day. These years of governance, enterprise risk management, business allow attendees to have an informal discussion with industry development, technology and audit experience to the leaders over the lunch break under Chatham house rules class, gained at institutions including: RBS, Citigroup, JP Morgan and Merrill Lynch – Join Craig on October 18 for an interactive and intensive one day Masterclass

#OPERM17 www.cefpro.com/op-erm OPERATIONAL & ENTERPRISE RISK MANAGEMENT | OCTOBER 19-20, 2017 | NEW YORK CITY

SPONSORSHIP & EXHIBITION

Great line up of bright, mostly dynamic speakers, very beneficial – thank you! FDIC

Advance your branding, awareness, industry expertise, risk professionals from around the world. Whether you want thought-leadership and lead-generation at the 3rd Annual full branding across the event or simply a well positioned Operational and Enterprise Risk Management Congress. exhibition stand, our business development team will tailor the Sponsorship and exhibition with the Center for Financial right package for you. We do everything we can to help you Professionals offers unique networking, brand recognition get your marketing message across and also to benchmark and thought-leadership deliverance opportunities with senior return on your investment.

Call us on +1 888 677 7007 or email [email protected] to find out more

CO-SPONSORS Governor Software- Enhanced Oversight, maps that clearly communicate the obligations that require Proven Communicate your obligations, oversight and then to be able to track the changes as they are understand your status and prove your made to the obligations. compliance - A key component of good Governance is good oversight. The key challenge to good oversight for medium and large institutions in heavily regulated Opus was founded on a simple premise: industries is the communication of the obligations set out by that faster, better decisions in compliance external and internal stakeholders, and the subsequent proving and risk management could give of adherence to those same stakeholders. businesses an extraordinary advantage in the marketplace. We have a simple to use solution that enables financial services Today, the world’s most respected, global corporations rely on companies to enhance their oversight capabilities by 1) Opus to free their business from the complexity and uncertainty effectively communicating their internal and external obligations of managing customer, vendor, and third-party risks. and 2) minimising the cost/time of collating and presenting By combining the most innovative SaaS platforms with proof of compliance. unparalleled data solutions, Opus turns information into action Governor Software provides clients with the ability to so your business thrives. deconstruct regulations, frameworks and policies into visual

#OPERM17 www.cefpro.com/op-erm OPERATIONAL & ENTERPRISE RISK MANAGEMENT | OCTOBER 19-20, 2017 | NEW YORK CITY

PRE-EVENT MASTERCLASS - FULL DAY OCTOBER 18 SUPERCHARGING YOUR ERM PROGRAM

Hear from and network with Craig Spielmann, former Global Head of OVERVIEW OF THE DAY Enterprise Risk Management Strategy, First Introduction Data who will be leading the masterclass. ERM Defined Opportunities & Challenges A walkthrough of ERM processes leading Evaluating your ERM function as a business up to and during the financial crisis and Developing a perspective on product and services how the function has evolved, hear practical and value they bring examples, case studies and experiences ERM’s Lesson Learned in the Financial Crisis from the course leader alongside interactive Major Causes group activities to provide an in depth Culture & Behavior Role of Compensation understanding of the objectives, processes Frameworks & Tools – Quick Review and requirements for an effective ERM RCSA, Scenario Analysis, Internal & External Loss Data, framework. Issue Management, Risk Appetite, Culture, Philosophy Evaluating your ERM function as a business Developing a perspective on ERM’s product and services ABOUT THE LEADER and value they bring to the business Define ERM’s Place in the organization and master the below Major Processes such as: Business Strategy Management; Compensation Craig Spielmann Management; Client Relationship Management; Former Head of Enterprise Regulatory Management; Technology Management; Risk Management Strategy, Staffing – Capabilities, Required Skills & Career Path First Data Work shop to Super Charge your ERM team

Craig has over 30 years of governance, enterprise risk OBJECTIVES management, business development, technology and audit experience gained from working with the world’s top Build an ERM function that will effectively compete for institutions (First Data, RBS, Citigroup, J.P. Morgan, Dean funding Witter, & Merrill Lynch). Currently, Craig is Former Head of Create a point of view on of major processes that drive Enterprise Risk Management Strategy at First Data and is successful firms and business also the CEO & Founder of RiskTao, LLC which specializes in Learn to evaluate your ERM function as a business Enterprise Risk Management training. Gain an understanding of the financial crisis to guide Prior to these roles, Craig was RBS’s Global Head of businesses through normal and stressed conditions Operational Risk Systems & Analytics and was responsible Identify the products and services that are value added to for providing strategic direction and oversight. In addition, Craig was Head of Operational Risk Management for RBS - the businesses Americas where he was responsible for driving the buildout Build your conceptual view of an ideal ERM team. of Americas ORM practice, Compensation Initiative, 2nd line Develop your sense of linking business goals through a challenge and managing regulatory relationships. In addition, strategic business perspective. Craig co-chaired the Americas Compliance and Operational Create a view of the best skills and expertise to staff a Risk Committee and represented ORM on several domestic successful ERM function. and international senior risk committees. Working with others, develop your own game plan for “Super Charging” your ERM function.

For more information on the Masterclass and agenda, visit www.cefpro.com/erm-masterclass

#OPERM17 www.cefpro.com/op-erm OPERATIONAL & ENTERPRISE RISK MANAGEMENT | OCTOBER 19-20, 2017 | NEW YORK CITY AGENDA | DAY ONE | OCTOBER 19

8:10 MORNING REGISTRATION & COFFEE

8:50 CHAIR’S OPENING REMARKS

KEYNOTE ADDRESS KEYNOTE PANEL DISCUSSION 9:00 The importance of managing company conduct and 9:40 Reviewing the role of the lines of defence in ERM culture and incentivizing behaviour accordingly to limit and operational risk to better identify and mitigate risk • Aggregating into first line and reporting metrics to risk reputational risk • Dodd Frank requirement to manage risk culture committee • Reporting metrics to risk committee • Blurred lines with good business and product • Establishing communication with 1st and 2nd lines • Enterprise wide values, controls and ethics • Forward looking view of most recent activities • Wells Fargo and United Airlines case study • Accountability: self-identifying risks in the first line • Senior management approach • Identifying, monitoring and measuring risk • Role of ERM in identifying issues • Using RCSA as a tool Laz Barreiro, Director of Governance and Operational • Identifying controls specific to risk Risk Policy, OCC Deborah Hrvatin, Managing Director, Americas Head of Non-Financial Risk Management, Deutsche Bank Christopher Nestore, Head of US Operational Risk Management, TD Bank Russell Kempf, Director Group Risk Manager, MUFG

10:30 MORNING REFRESHMENT BREAK & NETWORKING

STREAM ONE STREAM TWO NEW GENERATION OPERATIONAL RISK ENTERPRISE RISK MANAGEMENT 11:00 Setting risk appetite for operational risk and aligning 11:00 Governance of your Enterprise Risk Management: with enterprise risk statement How to stay in control of your ERM Programme and Prove it • Quantifying risk appetite for people, processes and technology • Communicating your obligations (internal & external) to • Heat maps and processes to make informed decisions stakeholders • Understanding the status of your ERM Programme • Probability and impact • Proving your compliance to Internal and External Stakeholders • Improving communication of operational risk Richard Pike, CEO, Governor Software Ann Caruso, SVP and Head of Operational Risk, Investors Bank PANEL DISCUSSION PANEL DISCUSSION 11:40 Using ERM to drive business effectiveness and 11:40 Setting parameters for operational risk as areas evolve increasing value beyond the traditional scope • Seeing ERM as a strategy asset and defining to lines of • Vendor, cyber etc. business • Aggregating results and activities • Communicating to the Board • Reporting to senior management • Identifying, monitoring and assessing risk Theresa Reynolds, Director of Operational Risk Management • Risk appetite of Board and senior management Validation, Capital One Gus Ortega, Head of Corporate Operational Risk Management, AIG Clarice Carotti, Head of Market, Liquidity and Operational Risk Scott Gyllensten, Chief Operational Risk Officer, Management, Intesa Sanpaolo People’s United Bank Joel Forbes, MD, Head of Operational Risk Management, Ryan Zanin, CEO Strategic Ventures & Restructuring Group, NatWest Markets GE Capital

12:30 LUNCH BREAK, NETWORKING & LUNCHEON ROUNDTABLE DISCUSSIONS

The role Preparation of operational The benefits Value add for cyber security Leveraging risk in setting of event reporting beyond regulatory events RCSA corporate strategy Gustavo Ortega Craig Spielmann expectations Theresa Reynolds Scott Gyllensten Head of Corporate Former Global Head, Hafsteinn Gislason Director of Operational Chief Operational Operational Risk Enterprise Risk Analytics Head of Enterprise Risk Management Risk Officer Management First Data Risk Technology Validation Peoples United AIG CIT Bank Capital One Bank

#OPERM17 www.cefpro.com/op-erm OPERATIONAL & ENTERPRISE RISK MANAGEMENT | OCTOBER 19-20, 2017 | NEW YORK CITY AGENDA | DAY ONE | OCTOBER 19

STREAM ONE | NEW GENERATION OPERATIONAL RISK STREAM TWO | ENTERPRISE RISK MANAGEMENT 1:30 Modeling operational risk: Quantitative methods 1:30 Developing a successful Business Driven RCSA for a qualitative disciple • Business adoption approach • Quantifying risk appetite for people, processes and • Business Risk Framework technology • Execution approach • Heat maps and processes to make informed decisions • Transformation and skill development • Probability and impact Craig Spielmann, Former Head of Enterprise Risk Strategy, • Improving communication of operational risk First Data

2:10 2nd Line oversight responsibilities 2:10 Reviewing business continuity management and internal • Role of the second line for effective challenge procedures to bring the right teams together • 2nd line challenge across the lifecycle of products and execution • Idiosyncratic events • Becoming a trusted advisor while maintaining independence • Business continuity management group as first line • Control testing and validation with examples of solid • Bringing in relevant teams business practices • No common standard response Theresa Reynolds, Director of Operational Risk Management • Preparation for known and unknown events Validation, Capital One 2:50 Operational Risk Management: Verification & Validation 2:50 Automating the process to improve data and reporting • Regulatory Drivers practices • Independence • Modernizing GRC platforms • Essential Elements of a Sound V&V Program • First line data • Five Steps for Reviewing an Operational Risk Management • KPI’s Framework • Transforming data into quality reporting • Governance & Oversight • Management use to make decisions • Modernizing systems vs. shared data models Keri Gormley, Global Head of Operational Risk Assurance, • Providing data for first line decisions BNY Mellon Mihir Trivedi, VP, Operational Risk Management, Nuveen (tbc)

3:30 AFTERNOON REFRESHMENT BREAK AND NETWORKING

4:00 Reviewing internal and external fraud weaknesses 4:00 Model risk management and validation best practices and identifying prevention tools available • Regulatory expectation • Sophistication of social engineering techniques • London whale example • KYC: Educating staff to identify customers at risk and • Change log and inventory of model understanding behaviours • Defining a model • Implementation of biometrics and secondary authentication • Reputational risk • Internal procedures to handle electronic information • Using data to detect internal fraud

PANEL DISCUSSION PANEL DISCUSSION 4:30 Exploring the increasing threat of cyber security 4:30 Bringing teams together for efficient stress test and practices to mitigate the risk and protect sensitive reporting and reviewing alternate approaches across the information industry • Intensifying effort to get into systems • Milestones and timelines for institutions • Move to cloud operations and the implications of cloud • Signs of failure computing • First hurdle for FBO’s • Improving automation • The future of CCAR and stress testing • Data privacy and security • Scenario analysis and developing idiosyncratic scenarios • Direct and net impact • Bringing in the first lie • Customer data breaches • Advanced modelling approaches • Future of technology and payments • Approaches in large Vs. smaller financial institutions • Scoping the size of the topic • Materiality thresholds exceeded with increased risk Sachin Sharma, Director, Operational Risk Management, Bank of Montreal Ken Jones, Head of Fraud Risk Management and Financial Lyndsay Byun, Head of Operational Risk Assurance, Santander Intelligence Unit, UBS Greg Maslov, CRO Change, Credit Suisse Sandeep Maira, Head of Enterprise Risk Technology, BNY Mellon

5:20 CHAIR’S CLOSING REMARKS

5.30 END OF DAY ONE & DRINKS RECEPTION

#OPERM17 www.cefpro.com/op-erm OPERATIONAL & ENTERPRISE RISK MANAGEMENT | OCTOBER 19-20, 2017 | NEW YORK CITY AGENDA | DAY TWO | OCTOBER 20 8:10 MORNING REGISTRATION & COFFEE

8:50 CHAIR’S OPENING REMARKS

KEYNOTE ADDRESS KEYNOTE PANEL DISCUSSION 9:00 Regulatory review: Understanding regulatory risk and 9:40 The blurred lines between ERM and operational risk: future changes Identifying operational risk as an essential part of ERM • Impact of change to capital • Using operational risk practices under ERM heading • Business resiliency to regulatory change • Roles of each • Reporting standards and changes • Reporting, monitoring and controls • AML: enhanced diligence Brian Goldman, Head of Enterprise Risk Management, • Requesting up to date ID Goldman Sachs • Changes to account origination system Dominique Benz, Director, Mizuho • Regulatory push surpassing level of risk? Viktor Grinberg, Head of Compliance and Regulatory Senior Executive, Federal Reserve Bank of New York Technology US, Deutsche Bank Joel Forbes, MD, Head of Operational Risk Management, NatWest Markets

10:30 MORNING REFRESHMENT BREAK & NETWORKING STREAM ONE STREAM TWO NEW GENERATION OPERATIONAL RISK ENTERPRISE RISK MANAGEMENT 11:00 Reputational risk Appetite 11:00 Understanding Enterprise IT Incidents, downstream • Defining Reputational Risk appetite impacts, and how it relates to ERM • Beyond operational risk • Capturing business impact across the different lines of business • How to approach a framework and aggregating impact at an enterprise level I• mpact of technology and Social media • Mapping incidents to metrics, controls, and risks in order to Fenton Aylmer, ORM Head of Business Practices and effectively challenge Conduct, Citi • Determining downstream and/or indirect impacts from an IT incident • Using trending analysis of IT Incidents as a prioritization tool and aid in determining criticality • Facilitate communication between IT and the business to drive effective remediation Ian Lassonde, Senior Associate, ERM IT Risk Management, TIAA

PANEL DISCUSSION PANEL DISCUSSION 11:40 Understanding regulatory expectations for ongoing 11:40 Utilizing stress testing and ERM as a function for monitoring and management of third parties for increased increased risk identification across the enterprise security • Identification of risk • Protecting customer data • Quantifying risk • Vendor financial health and implications of closure • How the likelihood of risk is assessed • Adequate diligence on back end on a regular basis • Utilising stress tests • Vendor systems and safeness to same level as internal Daniel Ward, Head of Risk Independent Review and Control, • Access to customer data and systems (US CIB), BNP Paribas • Design, implementation and ownership of program Dominique Benz, Director, Mizuho Viktor Grinberg, Head of Compliance and Regulatory Technology US, Deutsche Bank

12:30 LUNCH BREAK & NETWORKING

1:30 Developing RCSA techniques and aligning teams 1:30 Evaluating, measuring and mitigating against non- for a granular review of risk market risks • Department communication and collaboration • Accounting for political risks, natural disasters and terrorism • Participation and resources across business lines • How much to attribute to potential losses • Building and utilizing time with business • Lack of data • Emergence of risk lines: Sharing RCSA • Recognition of risks and determining key indicators • Creating one risk map to manage without losing focus • Taking action when indicators meet trigger point Sachin Sharma, Director, Operational Risk Management, • Procedures to action trigger point Bank of Montreal

#OPERM17 www.cefpro.com/op-erm OPERATIONAL & ENTERPRISE RISK MANAGEMENT | OCTOBER 19-20, 2017 | NEW YORK CITY AGENDA | DAY TWO | OCTOBER 20 STREAM ONE STREAM TWO NEW GENERATION OPERATIONAL RISK ENTERPRISE RISK MANAGEMENT PANEL DISCUSSION 2:10 Reviewing business continuity management and 2:10 Reviewing scenarios for operational risk and internal procedures to bring the right teams together improving quantitative aspects • Idiosyncratic events • Capital scenarios • Business continuity management group as first line • Loss projections under CCAR • Bringing in relevant teams • Systemizing and putting in processes to stress operational risk • No common standard response • Running structured workshops • Preparation for known and unknown events Hafsteinn Gislason, VP Operational Risk, ERM, CIT Bank NA David Lamar, Managing Director, Scenario Design, BNY Mellon

3:00 AFTERNOON REFRESHMENT BREAK AND NETWORKING

3:30 Operational risk and compliance: Reviewing the 3:30 Establishing a clear line of accountability from the increasing interrelation and aligning departments to ensure top down risk mitigation • Board, senior management and regulatory accountability • Internal alignment • Diversity and the roles of Non-Executive Directors • How risk and compliance work together • Review and Challenge mechanisms • Managing risk across the enterprise • Cultural implementation across the enterprise Azlina Wetmore, Head of Regulatory Risk Management, Scott Gyllensten, Chief Operational Risk Officer, People’s Credit Suisse (tbc) United Bank

4:10 Fraud and Cyber-fraud Risk Management 4:10 The future of ERM: Reviewing uncertainty surrounding • Establishing a cross-functional fraud risk management regulatory and technological updates program (key functions and members) • Convergence of cyber, fraud and AML intelligence and analytics • Cyber-fraud crisis incident response

Ken Jones, Head of Fraud Risk Management and Financial Intelligence Unit, UBS

4:50 CHAIR’S CLOSING REMARKS

5:00 END OF CONGRESS

The speakers did a great job with relevant and useable information. Several takeaways for discussion at the bank and reinforcement of practices already in place Flagstar Bank

50% BRING 1 2 OFF

THE 3RD ATTENDEE GETS 50% OFF TEAM when registering at the same time

#OPERM17 www.cefpro.com/op-erm OPERATIONAL & ENTERPRISE RISK MANAGEMENT | OCTOBER 19-20, 2017 | NEW YORK CITY

HEAR FROM OVER 30 SENIOR OPERATIONAL & ENTERPRISE RISK PROFESSIONALS, INCLUDING: KEYNOTE ADDRESSES FROM THE OCC & FEDERAL RESERVE BANK OF NEW YORK

FENTON AYLMER SCOTT GYLLENSTEN CHRISTOPHER NESTORE MD, Head of Chief Operational Risk Officer Head of Operational Risk

Operational Risk People’s United Bank Management Citi TD Bank

Fenton earned a BA in Literature and Philosophy Nineteen years of banking experience with from the University of Concordia in Montreal, Scott is the Chief Operational Risk Officer at an emphasis on risk and controls. Mr. Nestore Canada and an MBA from Trinity College Dublin, People’s United Bank N.A.; a northeast based Ireland. regional financial services company with over was recently appointed as the Head of US Operational Risk. He has been with TD for five Fenton is the senior operational risk officer in $40 billion in assets, offering commercial, years and has held a variety of roles in Risk and charge of Business Practices and Conduct. In this retail, insurance, and wealth management capacity, he partners with regional and business services. Scott is a licensed attorney, who Finance including previous work leading the ORM colleagues, other control functions, and holds a Bachelor’s Degree, Graduate Segment Risk team in Operational Risk. Most Citi business counterparts, to identify, assess, Certificate in Tax, and Juris Doctorate from the recently, he was providing strategic oversight and mitigate risk exposures that drive 90% of the University of Connecticut. and assisting in the execution of the CCAR industry’s operational losses. strategy.

DEBORAH HRVATIN Americas Head of DOMINIQUE BENZ Non-Financial THERESA REYNOLDS Director, Mizuho Americas Risk Management Director, Operational Risk Operational Risk Deutsche Bank Management Validation Management Key Risk Officer Capital One Mizuho Americas LLC Deborah Hrvatin is a Managing Director and Dominique has over 20 years of financial services Head of Operational Risk Management (ORM) Theresa Reynolds has over 18 years of Financial industry experience and deep expertise in for the Americas, reporting to the Chief Risk Services industry experience with time spent in Officer. Ms. Hrvatin is responsible for improving Operational Risk, Technology, and Process both the First and Second Lines. Today she is risk management, strengthening controls, and Transformation. Dominique is a Director at responsible for the Operational Risk Management Mizuho Bank in the Americas Risk Department enabling profitable growth within the Americas validation program at Capital One. providing 2nd line of defense services to all regional risk appetite. Ms. Hrvatin also holds business lines across Mizuho’s U.S. operations. global second line ORM responsibilities for various business and control functions.

DANIEL WARD LYNDSAY BYUN KEN JONES Head of CIB US Model Risk Head of Operational Risk Head of Fraud Risk Management Assurance Management & Financial BNP Paribas Credit Suisse Intelligence Unit, UBS Americas Region UBS Daniel Ward heads the Risk-IRC (Independent Lyndsay Byun will be presenting at Operational & Review and Control) function for BNP Paribas Enterprise Risk Management 2017 Ken Jones joined UBS in 2014, he is currently North America CIB/IP. This encompasses the Head of Fraud Risk Management and the both Model Independent Review and Financial Intelligence Unit for the UBS Americas Model Governance. His responsibilities Region. Ken is leading efforts to improve include establishment of a robust Model Risk fraud deterrence, detection and UBS Americas response to a variety of potential cyber and Management framework within the region JOEL FORBES financial crime incidents. working with the Global and IHC heads of Risk- MD, Head of Operational IRC to ensure global and transversal alignment. Risk Management NatWest Markets

Joel Forbes will be presenting at Operational & RUSSELL KEMPF Enterprise Risk Management 2017 Director, AZLINA WETMORE Group Risk Head of Regulatory Risk UFG Management, Governance & Strategic Transformation, Global Markets & Americas KERI GORMLEY Russell Kempf is a seasoned Financial Services Credit Suisse Global Head of Opertational Executive with over 20 years of experience Risk Assurance primarily in managing Operational Risk within Azlina Wetmore will be presenting at Operational the first line of defense. He currently works at BNY Mellon & Enterprise Risk Management 2017 MUFG as a Group Risk Manager responsible for executing embedded risk management Keri Gormley will be presenting at Operational & responsibilities for the Risk, Legal, and Chief of Enterprise Risk Management 2017 Staff divisions.

#OPERM17 www.cefpro.com/op-erm OPERATIONAL & ENTERPRISE RISK MANAGEMENT | OCTOBER 19-20, 2017 | NEW YORK CITY

ESSENTIAL INFORMATION

VENUE LUNCHEON ROUNTABLES New York Marriott Downtown, Join one of the 10 roundtable discussions to further 85 West St, New York, NY 10006 engage, discuss and interact with peers on topical issues within the industry

ACCOMMODATION We have a preferential rate for our attendees starting COCKTAIL RECEPTION from $319++. To book your accommodation please Immediately following the end of day one, there click the link below, if you are experiencing any will be a drinks reception to wrap up the first day. problems please call +1 877 303 0104 and quote ‘the Unwind in a more informal setting with drinks to carry Center for Financial Professionals program’ on the days discussions with colleagues and peers Please click HERE for booking information.

BRIEFINGS Closed-door briefings will be held with like-minded DRESS CODE professionals (By Invitation Only), numbers are limited to bring together more intimate groups to Business Attire discuss key subject matters. If you would like more information, or the opportunity to host a Briefing, contact us at [email protected]

RISK INSIGHTS NETWORKING Be sure to bring a cellphone, tablet or laptop to Ample networking opportunities are available make the most of our technology benefits at the throughout the two days; breakfast, lunch and event. Search Risk Insights on your app store and refreshments will also be served across both download to access speaker insights, presentations, days to allow for further interaction, discussion and agenda and interact at the event networking

#OPERM17 www.cefpro.com/op-erm REGISTRATION FORM PLEASE REGISTER THE FOLLOWING DELEGATE(S) DELEGATE 1: Miss Ms Mrs Mr Dr Other Name Position VENUE: MARRIOTT DOWNTOWN, Organization 85 WEST ST, NEW YORK, NY 10006 Address

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In all cases payment prior to the event is required. Fee includes DELEGATE 3 3RD DELEGATE 50% OFF attendance at sessions, refreshments and course documentation of GROUP RATES AVAILABLE FOR 3+ DELEGATES registered event. 3rd delegate gets 50% OFF when registering from the same company, at the same time. Call Confirmation: you will receive confirmation and joining instructions from or email for further information. us within two working days of registering. If this is not the case, please Name telephone us to ensure we have received your booking. Please note that credit cards will be debited within 7 days of your Position registration. Payment must be made within two weeks to ensure that Telephone E-mail discounted rate is retained. To ensure access to the event, payment must be made prior to the event.

SELECT EVENT OPTIONS SUPER EARLY BIRD EARLY BIRD STANDARD RATE

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OPERATIONAL & ENTERPRISE $1,299 $1,599 $1,999 RISK MANAGEMENT SAVE $700 SAVE $400 OCTOBER 19-20

SUPERCHARGING YOUR ERM $799 $899 $999 MASTERCLASS | OCTOBER 18 SAVE $200 SAVE $100

CONGRESS & MASTERCLASS OCTOBER 18-20 $1,998 $2,398 $2,898 save an extra $100 when registering for both! SAVE $900 SAVE $500

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