RMA's Governance, Compliance, and Operational Risk Conference

April 10-11, 2019

Developed by practitioners for practitioners.

Developed by practitioners for practitioners.

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GCOR XIII 

GCOR XIII features four streams of programming, as well as Keynote addresses by Spyro Karetsos, CRO, TD Ameritrade; Edward P. Schreiber, CRO, Zions Bancorporation; Dean Yoost, Director, MUFG Union Bank and Pacific Life Insurance Company; Aaron Klein, Fellow, Economic Studies and Policy Director, Center on Regulation and Markets, Brookings Institute; Alice Wang, Managing Director and Global Head of CIB Operational Risk, JPMorgan Chase; and Katie Stewart, Senior Member of the CERT® Division at the Software Engineering Institute of Carnegie Mellon University. GCOR will also include a regulatory panel and an emerging risks panel featuring the chief operational risk officers of PNC, US Bank, Wells Fargo and TD Ameritrade.

Guarantee your seat at GCOR XIII before the event sells out. You'll enjoy panels and sessions featuring timely topics such as:

  • Risk Appetite
  • Culture and Conduct Risk
  • Operational Risk Loss Events
  • RCSAs
  • Payment System Risk
  • Cyber Risk
  • Third Party Risk
  • Privacy
  • Agile Risk Management
  • Blockchain
  • Machine Learning and AI
  • LIBOR Replacement

SPEAKERS

OPENING ADDRESS

Spyro Karetsos

Chief Risk Officer, TD Ameritrade

KEYNOTE ADDRESS

Edward P. Schreiber

Chief Risk Officer, Zions Bancorporation

KEYNOTE ADDRESS

Dean Yoost

Author “Illuminating Data in the Boardroom” and Member of the Board of Directors MUFG Union Bank and Pacific Life Insurance Company

KEYNOTE ADDRESS

Alice Wang

Managing Director, Global Head of CIB Operational Risk, JPMorgan Chase

KEYNOTE ADDRESS

Katie C. Stewart

Senior Member, of the CERT® Division at the Software Engineering Institute, a unit of Carnegie Mellon University

KEYNOTE ADDRESS

Aaron Klein

Fellow, Economic Studies & Policy Director, Center on Regulation and Markets, Brookings Institute

Michael Abriatis

EVP, Chief Operational Risk Officer, PNC

Erin Amerlan

Senior Vice President, Operational Risk, Charles Schwab & Co., Inc.

Jennifer Aydelott

SVP, HR Control Executive, Wells Fargo

Melinda L. (Mindy) Ball

Chief Operational Risk Officer, The Huntington National Bank

Krissy Blackwood

Senior Director, CapitalOne

Phillip M. Bray
Partner, KPMG LLP

Marianne Byrne

Managing Principal, Capco

Michael J. Colasso

CPA, CFE | SVP, Head of Enterprise Operational Risk Management, SunTrust Bank

Nathan Davis

EVP/Non Financial RM, Regions Bank

David Diehl

SVP, Corporate & Institutional Bank Risk Manager, PNC

Chuck Fannin

CFA, Sr. Quantitative Risk Analyst, Modeling & Exposure Management, TD Ameritrade

Alan Freeman

Director, Operational Risk Management, Discover

Philippa Girling

Chief Risk Officer, Varomoney

Michael Glotz

Chief Executive Officer, Strategic Risk Associates

Eric Holmquist

Managing Principal, Capco

Joe Iraci

Head of Financial Risk Management, TD Ameritrade

Mary M. Kapferer

Executive Vice President and Chief Enterprise and Operational Risk Officer, KeyCorp

Steven Minsky

CEO, LogicManager

Billy K. Murray

Global Risk Management, Director, US Non-Financial Risk, BBVA Compass

Emily Nachlas

Executive Vice President, Director of Enterprise Risk Management, Iberia Bank

Christopher Nestore

SVP and Head of Operational Risk Management, TD Bank

Jay Newberry

Managing Director, Global Head of Operational Risk Management Framework, Citi - Retired

Jonathan Rosenoer

Blockchain Strategic Partnership Leader, IBM

Mark E. Schreiber
Co-Chair, Global Privacy and Cybersecurity Group, McDermott Will & Emery LLP

 Bryce Stephens

Section Chief, Office of Research, Consumer Financial Protection Bureau

David Stone
Director, Risk and Compliance, KPMG

Kevin Storm

Deputy Chief Risk Officer, BB&T

Andy Smith

CTO, RiskBusiness

Mark A. Twerdok

Partner, KPMG LLP, and Khuram Babar, Director, KPMG LLP

Mark Williams

Chief Operational Risk Officer, Zions Bancorporation

David H. Wright

SVP & Director, Regulatory Services & Risk Governance, U.S. Bank

AGENDA

Pre-GCOR & Post-GCOR Round Tables
Add more enrichment to your time spent at GCOR by participating in one or more of our round tables taking place before GCOR on April 8 and 9 and after GCOR on April 12. Round tables are attended by invitation only, so please contact the RMA staff member indicated below to request an invitation. You can attend one or more round tables and the conference or just a round table at a reduced price.

  • Pre-Conference
  • Tuesday, April 9
  • Wednesday, April 10
  • Thursday, April 11
  • Post-Conference
Monday, April 8

Privacy & Information Security Round Table

For privacy officers, data officers and operational risk managers to discuss the impact of the GDPR, California Privacy law, pending India “GDPR” bill and related risk matters.

 

For pricing and registration, contact Sylwia Czajkowska at sczajkowska@rmahq.org.

 

Agenda

Monday, April 8

Culture and Conduct Round Table

For the senior risk leaders to discuss frameworks for managing culture, conduct violations, conduct risk, and link to reputation.

 

For pricing and registration, contact Stacy Germano at sgermano@rmahq.org.

Tuesday, April 9

Incentive Compensation Round Table

For executives responsible for compensation and performance management. Discussions will focus on framework for managing incentive compensation, pool adjustments, and data gathering and score-carding.


For pricing and registration, contact Bernie Mason at bmason@rmahq.org.

5:00 P.M. to 7:00 P.M.

Registration & Reception

Avoid the lines on Wednesday morning; pick up your conference materials and enjoy a refreshment compliments of SAI Global.

8:00 A.M. to 8:30 A.M.

Registration & Breakfast

8:30 A.M. to 8:45 A.M.

Welcome & Introductions

8:45 A.M. to 9:30 A.M.

Opening Address

Spyro Karetsos, Chief Risk Officer, TD Ameritrade

9:30 A.M. to 10:00 A.M.

Keynote Address

Edward P. Schreiber, Chief Risk Officer, Zions Bancorporation

10:00 A.M. to 10:30 A.M.

Break

10:30 A.M. to 11:15 A.M.

Break Out Session 1 

 

  1. Review of Risk Appetite
    Join us for a review of the implementation of risk appetite at a bank and how the use of risk appetite has grown and matured.
    Kevin Storm, Deputy Chief Risk Officer, BB&T

  2. Insurance as a Risk Management Tool
    Learn how to leverage operational risk information to optimize insurance programs.
    Erin Amerlan, SVP, Operational Risk & Insurance, Charles Schwab & Co., Inc.

  3. Corporate Culture and the Art of Effective Escalation
    This session will explore the attributes of an ethical corporate culture as well as regulatory expectations for a financial institution’s risk culture. An important component of a healthy risk culture is effective escalation. Learn how employees can properly escalate (and receive) concerns.  
    Davie H. Wright, Senior Vice President, Director of Regulatory Services, U.S. Bank

  4. The Why, How, and What of Effective Risk Reports
    Increases in corporate scandals across industries have signaled a need for effective risk management. Because of this, boards of directors are calling on risk professionals to show them where their companies stand. The challenge for practitioners is analyzing data across functions and levels, while portraying one comprehensive picture of risk. Join us to get answers on the most critical questions on risk analysis and reporting, and get current case studies and examples you can use in your next presentation.
    Steven Minsky, CEO, LogicManager

 

11:20 A.M. to 12:05 P.M.

Break Out Session 2 

 

  1. Framework for Challenge: Demonstrating Effective Challenge and Influencing Risk Management 

    Are you being asked to demonstrate “credible challenge”? Does your risk management team provide value in their oversight role as the second line of defense? This session will discuss creating a risk officer brand that includes expertise, diagnostic and influencing skills, and a challenge framework built on formal challenge, advisory challenge and joint risk reviews.

    Michael Abriatis, EVP, Chief Operational Risk Officer, PNC

  2. TBD
  3. People Risk? What you need to know to take a strategic approach to understand, measure, and mitigate this risk type for your organization.
    People are touted as a company’s greatest asset; however people can also create significant risk for the organization if not understood, managed, and measured.  This session will provide a different way of thinking about people risk through culture, conduct, and the full employee lifecycle. 
    Jennifer Aydelott, SVP, HR Control Executive, Wells Fargo

  4. Risk Appetite and KRIs at the Business Unit Level
    Monitoring and tracking the drivers of risk in daily business unit operations.
    Krissy Blackwood, Senior Director, CapitalOne

12:05 P.M. to 1:30 P.M.

Lunch

1:30 P.M. to 2:15 P.M.

Keynote Address

Dean Yoost, author “Illuminating Data in the Boardroom” and Member of the Board of Directors MUFG Union Bank and Pacific Life Insurance Company

2:20 P.M. to 3:05 P.M.

Break Out Session 3 

 

  1. How to Defraud a Company in Three Easy Steps
    Kevin Sasser realized there was a problem in his company’s third-party risk management program just as soon as the FBI called him. With the increasing scrutiny on third-party vendor relationships, could you organization survive the fraudsters’ “three-step plan”?  Come hear Kevin’s first-hand account of how a fraudster defeated his team’s internal safeguards, created thousands in losses, and earned Kevin an invitation to the witness stand. In addition, hear the latest in industry trends, common mistakes, and what you can do to protect your organization.
    Kevin Sasser, Director of Sales and Strategic Initiatives, Argos Risk

  2. Operational Risk Loss Events
    This session examines the governing idea of the capture and use of both internal and external loss events. We will discuss challenges of complete/accurate data capture; regulatory requirements; and risk management opportunities. We will explore how integrated use of common risk platforms can have an impact on quantitative analysis.
    Melinda L. (Mindy) Ball, Chief Operational Risk Officer, The Huntington National Bank

  3. Reputation Risk

    Reputation risk is a derivative that is based on how a firm manages its overall risk profile. Culture and conduct are key elements that need to be in place to safeguard and enhance reputation risk, but it is equally important to have a values-based culture that all associates can align with to enhance performance. Each risk discipline should be positioned well to safeguard and enhance reputation. Learn why firms who do not pay attention to these inputs jeopardize their reputations.
    Joseph Iraci, Managing Director, Financial Risk Management, TD Ameritrade

  4. Payment System Risk
    Considerations associated with managing, monitoring, assessing and governing the risk of payment systems from all channels (mobile, online, in person).
    Mark Williams, Chief Operational Risk Officer, Zions Bancorporation

3:05 P.M. to 3:20 P.M.

Break

3:25 P.M. to 4:10 P.M.

Break Out Session 4 

 

  1. GDPR Risk Management and Common Dilemmas
    This session will explore GDPR benchmarks and company risk concerns, including the recent McDermott-Ponemon GDPR study of U.S. and E.U. companies. We will review company risk perception in GDPR, priority steps, visible compliance, and common GDPR dilemmas. These include frequent questions of when GDPR applies to U.S. companies, the scope of GDPR coverage within the company, privacy notice choices, and criteria for appointment of a data protection officer and/or a representative in the E.U. We will also address data breach reporting in the E.U.
    Mark E. Schreiber, Co-Chair, Global Privacy and Cybersecurity Group, McDermott Will & Emery LLP

  2. The Future of the RCSA: Going Above and Beyond
    With RCSAs now entering their 26th year in our industry, we will be discussing where we can go and how to best leverage what has become muscle memory for many of us in new and exciting ways.
    Alan Freeman, Director, Operational Risk Management, Discover

  3. Managing Reputation: Establishing a Framework and Implementing Tools to Manage Reputational Consequences
    Andy Smith, CTO, RiskBusiness

  4. LIBOR Risk Management
    What could go wrong? A discussion of program readiness; customer impact risks and considerations; Impact assessment – how and where does LIBOR affect your business activities; contract management; operational risk – LIBOR impact to systems, operations, and models; and Accounting change considerations.
    Mark A. Twerdok, Partner, KPMG LLP, and Khuram Babar, Director, KPMG LLP

4:15 P.M. to 5:00 P.M.

Emerging Risk Panel

Join us for a discussion on emerging operational risk exposures facing the industry including cyber and information security threats, resiliency challenges, increased reliance on third parties and fintech, model and LIBOR exposures, geopolitical concerns, increased market volatilities, and drivers for automation and efficiency.

Moderator: Phil Bray, Principal, KPMG

Panelists: Michael Abriatis EVP, Chief Operational Risk Officer PNC; Joe Iraci Head of Financial Risk Management TD Ameritrade; Janet Lerch, Chief Operational Risk Officer, US Bank; David L. Stone, Director - Financial Services Risk Management, KPMG LLP

5:00 P.M. to 6:00 P.M.

Networking Reception

8:30 A.M. to 9:15 A.M.

Keynote Address: LIBOR Replacement – The Countdown Begins

Alice Wang, Managing Director, Global Head of CIB Operational Risk, JPMorgan Chase

9:15 A.M. to 10:00 A.M.

Keynote Address: Cybersecurity – Lessons Learned from the Department of Defense

Katie C. Stewart, Senior Member, of the CERT® Division at the Software Engineering Institute, a unit of Carnegie Mellon University

10:00 A.M. to 10:30 A.M.

Break

10:30 A.M. to 11:15 P.M.

Break Out Session 5

 

  1. E2E Process Risk Assessment: Challenges and Innovations
    Learn about emerging operational risk exposures facing the industry including cyber and information security threats, resiliency challenges, increased reliance on third parties and fintechs, model and LIBOR exposures, geopolitical concerns, increased market volatilities, and drives for automation and efficiency.

    Moderator: David Stone, Director, Risk and Compliance, KPMG
    Panelists: Michael Abriatis, Executive Vice President/Chief Operational Risk Officer, PNC Bank

    Michael J. Colasso, CPA, CFE | SVP, Head of Enterprise Operational Risk Management, SunTrust Bank

    Nathan, Davis EVP/Non Financial RM, Regions Bank

  2. The Risk Management Implications of M&A Transactions
    Michael Glotz, Chief Executive Officer, Strategic Risk Associates

  3. The Role of Operational Risk in New Product Development
    Christopher Nestore, SVP and Head of Operational Risk Management, TD Bank

  4. Essential Features of Successful Machine Learning
    Learning algorithms are only a small piece of the machine learning value chain. In this non-technical session we will review the process of extracting value from data, specifically focusing on conditions that are ideal for optimum outcomes. Learn about hurdles that must be overcome to foster a data-centric organization and the drawbacks of not doing so.
    Chuck Fannin, CFA, Sr. Quantitative Risk Analyst, Modeling & Exposure Management, TD Ameritrade

11:20 A.M. to 12:05 P.M.

Break Out Session 6

 

  1. Third Party/Vendor Risk Management
    Third-party risk management (TPRM) continues to evolve and mature in today’s regulatory environment. The process of analyzing and controlling risks presented to your company, your data, your operations, and your finances by parties OTHER than your own company is extremely important and at times highly complex. Every organization needs to ensure their program identifies, monitors, and mitigates risk posed by third parties. Join us to learn about TPRM at the enterprise level and get effective steps to develop a new program. You will gain insight into the required core elements and program governance requirements of TPRM to ensure compliance with regulatory standards.
    Emily Nachlas, Executive Vice President, Director of Enterprise Risk Management, Iberia Bank

  2. Proactive Management of Nonfinancial Risks
    With the changing business environment confronting financial institutions, nonfinancial risks such as cybersecurity, fraud, third party, and regulatory risks are an increasing concern for banks of all sizes. We will explore ways to increase awareness, knowledge, and ongoing identification of key nonfinancial risks by the first line of defense while also addressing how to create and govern ongoing action plans to actually do something about these risks before they are a problem (or a bigger problem) for the institution.
    Billy K. Murray, Global Risk Management, Director, US Non-Financial Risk, BBVA Compass

  3. Agile Risk Management
    In the evolving world of digital transformation, agile techniques, and growth mindset approaches, how can a risk manager lean in and take advantage of these exciting new paradigms and apply them to the risk space? Philippa will share case studies including how agile sprints have been used to manage risk activities and how a risk function can embrace a growth mindset.
    Philippa Girling, Chief Risk Officer, Varomoney

  4. Machine Learning and Model Risk Management
    How do institutions balance the ability to exploit technological advances which may lead to strategic advantages, without sacrificing strong risk governance and control?
    Eric Holmquist, Managing Principal, Capco

12:15 P.M. to 1:15 P.M.

Lunch Keynote: Marijuana Policy and the Banking Industry

Aaron Klein, Fellow, Economic Studies & Policy Director, Center on Regulation and Markets, Brookings Institute

1:20 P.M. to 2:05 P.M.

Break Out Session 7

 

  1. Interconnections of Cyber, Business Resiliency, and Third-Party Risk
    Learn about the harmonization required between third-party programs, cybersecurity frameworks, and regulatory expectations as organzations are confronted with a changing buisness landscape, increased cyber threats, and evolving third-party relationships.
    Mary M. Kapferer, Executive Vice President and Chief Enterprise and Operational Risk Officer, KeyCorp

  2. CFPB Update
    Fair lending data analysis methodology; AI/ML - impact on fair lending monitoring and analytics; and New HMDA data, impacts on analysis.
    Bryce Stephens, Section Chief, Office of Research, Consumer Financial Protection Bureau

  3. Where is Blockchain headed?
    A discussion of developments including being able to run blockchain on premises and the interoperability of different blockchains (where the core may not be technology but the particular blockchain governance agreements) with the promise of transfer/exchange of assets across blockchains.
    Jonathan Rosenoer, Blockchain Strategic Partnership Leader, IBM

  4. Operational Risk Management: A Business Line Perspective
    This session will discuss lines of defense (LoD) structure, oversight of risk, ownership evolution, escalation of risks, and emerging risks. Learn about the first LoD and where business unit managers fit in, who owns execution, and the ownership evolution (third party, technology risk, compliance risk). Learn about the escalation of risk through the first, second, and third lines of defense and emerging risks. What does 2019/2020 look like?
    David Diehl, SVP, Corporate & Institutional Bank Risk Manager, PNC-Certified Women’s Business Advocate, The PNC Financial Services Group

2:10 P.M. to 2:55 P.M.

Break Out Session 8

 

  1. How to Best Manage Nonfinancial Risk Across the Organization
    Risk management must be a core competency of all firms. Nonfinancial risks (operational risk, cyber risk and regulatory change management) are of growing importance but still not fully developed at many organizations today. This session will discuss the best practices for processes, tools and techniques for understanding non-financial risks, and the elements of risk management. By enabling trusted, aggregated and transparent risk data, we can make more informed, confident and effective business decisions. 
    Andrew Vesay, General Manager, US Operations, Iceberg Networks

  2. Faster, Better, and Risk Free or Not! Digitalization Roadmap: Merging Digitalization and Risk Mitigation

    Consider this roadmap before, during, and post implementation of digital services. In the industry the majority of financial institutions are looking for ways to speed up banking, provide a better customer experience, increase “stickiness,” and increase profits all while decreasing the cost related to servicing customers and staying in the good graces of regulators. This is a high bar for many institutions, especially given the regulatory environment and limited budgets. Join this session to get energized about identifying, measuring, and managing the risks. 

    Marianne Byrne, Esq*, Managing Principal, Community Bank Segment, Capco

    *Not representative of Capco corporate legal team.

  3. Scenario Analysis: Implementing One Program for Multiple Uses
    A well-designed scenario analysis program should be integrated into the ORM framework and executed consistently to ensure that a single process can support many critical uses and risk management objectives. Join us to learn about program design considerations, uses, what is needed to ensure sustainability.
    Jay Newberry, Managing Director, Global Head of Operational Risk Management Framework, Citi - Retired

  4. TBD

3:00 P.M. to 3:45 P.M.

Regulatory Panel

Nida Davis, Federal Reserve Board; Martin Henning, FDIC; Lazaro Barreiro, OCC

Friday, April 12
8:00 A.M. to 4:30 P.M.

Hyatt Regency Cambridge
Room: TBD

Business Resiliency/Disaster Recovery Round Table

For executives responsible for business continuity, and disaster recovery. Discussion will focus on due diligence, testing of vendors, recovery planning, and data corruption.

 

For pricing and registration, contact Sylwia Czajkowska at sczajkowska@rmahq.org.

Agenda

8:00 A.M. to 8:30 A.M.

 

Continental Breakfast

8:30 A.M. to 8:45 A.M.

 

Welcome from RMA and Participant Introductions

8:45 A.M. to 10:15 A.M.

 

General Roundtable Discussion – top of mind issues and challenges

Individual participant introductions, each taking a few minutes to talk about what is “top of mind” in business resiliency management, their role as leaders, posing any questions that they would like to have addressed during the day.

10:15 A.M. to 10:30 A.M.

 

Break

10:30 A.M. to 11:15 A.M.

 

Industry Disruptions & Implications for Business

Crisis Management/ Incident Response/ Disaster Recovery

Concept of Availability

Managing Business Resiliency Globally

11:15 A.M. to 12:00 P.M.

 

Drivers of business continuity risk.

Framework and Governance

12:00 P.M. to 1:00 P.M.

 

Lunch

1:00 P.M. to 2:00 P.M.

 

Role/Impact of Technologies

Use of cloud-base storage

Emerging technologies

Work from Home

2:00 P.M. to 2:45 P.M.

 

Business Continuity Assessments

Scenarios (incl. Cyber)

Testing for Critical Processes and Non Critical processes

Working with Legal (attorney-client privilege)

2:45 P.M. to 3:00 P.M.

 

Break

3:00 P.M. to 3:45 P.M.

 

Strategies to maintain business resiliency.​

Preparing for potential data corruption and data loss events

3:45 P.M. to 4:15 P.M.

 

Third Party Risk Management

Testing with Third Parties (FFIEC Appendix J)

Third Party Risk Assessments

4:15 P.M. to 4:30 P.M.

 

Summary: recap, action items and next steps.

REGISTRATION FEES 

ASSOCIATE MEMBER

$1,500  

Before 1/31/19

$1,750 Before 2/28/19

$2,000 Registration Fee

NONASSOCIATE FROM A MEMBER INSTITUTION AND PROFESSIONAL MEMBER

$1,700

Before 1/31/19

$1,950 Before 2/28/19

$2,300 Registration Fee

NONMEMBER

$2,250

Before 1/31/19

$2,500 Before 2/28/19

$2,750 Registration Fee

ASSOCIATE MEMBER

$2,000

Registration Fee

NONASSOCIATE FROM A MEMBER INSTITUTION AND PROFESSIONAL MEMBER

$2,300

Registration Fee

NONMEMBER

$2,750

Registration Fee

VENUE

Our conference hotel is the Hyatt Regency Cambridge, 575 Memorial Drive, Cambridge, MA 02139. For accommodations during the conference, please call the hotel at 1-402-592-6464 and identify yourself as an RMA registrant or make your hotel reservations using the link above. 

 

Situated along the scenic Charles River, our contemporary hotel in Cambridge, MA offers one of the most impressive meeting venues in the area. Featuring over 25,000 square feet of indoor and outdoor space, Hyatt Regency Cambridge, Overlooking Boston is the perfect place for hosting a conference, wedding, meeting or event that you want to make special. Business travelers will enjoy state-of-the-art meeting facilities, a 24-hour business center and easy access to downtown Boston, major highways, Logan Airport and The Hynes and BCEC Convention Centers.

 

The RMA room rate is $259. The cut-off date for the group rate is March 11, 2019. Please note that RMA can only guarantee rate and room availability until the cut-off date or the date the RMA block sells out, whichever comes first. After the cut-off (or date the block sells out, if that happens earlier than the cut-off), RMA cannot ensure you getting a room at the meeting hotel. We encourage you to book early to secure a room at the RMA rate.

SPONSORS

For sponsorship and exhibiting opportunities, please contact Keara McGlynn, Associate Manager, Marketing, at 1-215-446-4110 or kmcglynn@rmahq.org.

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