RMA's Governance, Compliance, and Operational Risk Conference

April 10-11, 2019

Developed by practitioners for practitioners.

Developed by practitioners for practitioners.

FIRSTNAME LASTNAME

Title Goes Here
Learn More ›

FIRSTNAME LASTNAME

Title Goes Here
Learn More ›

FIRSTNAME LASTNAME

Title Goes Here
Learn More ›

FIRSTNAME LASTNAME

Title Goes Here
Learn More ›

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; and Aaron Klein, Fellow - Economic Studies and Policy Director - Center on Regulation and Markets, Brookings Institute. 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

Jennifer Aydelott

CAO Operational Risk & Compliance 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

Chuck Fannin

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

Alan Freeman

Director, Operational Risk Management, Discover

Philippa Girling

SVP, Chief Risk Officer, Investors Bank

Eric Holmquist

Managing Principal, Capco

Joe Iraci

Head of Financial Risk Management, TD Ameritrade

Mary Kapferer

Chief Enterprise & Operational Risk Officer, KeyBank

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

Jonathan Rosenoer

Blockchain Strategic Partnership Leader, IBM

Mark Schreiber, Esq.

Partner, McDermott Will & Emery LLP

 Bryce Stephens

Section Chief, Office of Research, Consumer Financial Protection Bureau

David L. Stone
Director-Financial Services Risk Management, KPMG LLP

Kevin Storm

EVP & Deputy Chief Risk Officer, BB&T

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

Blockchain & Cryptocurrencies Round Table

For senior executives responsible for the risk management of Blockchain and Cryptocurrencies including BSA/AML, cybersecurity, privacy, and regulatory considerations.

 

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 Sessions 


  1. Risk Appetite
    Risk tolerance; risk target; risk limits; communication throughout the organization.
    Kevin Storm, EVP & Deputy Chief Risk Officer, BB&T

  2. Insurance as a Risk Management Tool
    Erin Amerlan, SVP, Operational Risk & Insurance, Charles Schwab

  3. Culture and Escalation
    Developing a framework for an ethical culture and providing tools on “the art of effective escalation"
    David H. Wright, SVP & Director, Regulatory Services & Risk Governance, 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.

    Learning Objectives:

  • The Why: Discuss increased pressures for today’s risk and governance professionals in a changing regulatory environment, and the role risk management plays in supporting the board’s objectives.
  • The How: Share how to align operational activities with the strategic goals they impact in order to connect data from across the enterprise and deliver a meaningful picture of risk to the Board.
  • The What: Outline actionable steps to collect and integrate information across departments and adopt the common characteristics of today’s most successful risk presentations and dashboards.

    Steven Minsky, CEO, LogicManager

11:20 A.M. to 12:05 P.M.

Break Out Sessions 


  1. Effective Challenge: Risk Culture and Use Test
    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 Sessions 

 

  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, here 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
    Internal versus external; identifying potential risk exposures; establishing action plans; root cause analysis.
    Melinda L. (Mindy) Ball, Chief Operational Risk Officer, The Huntington National Bank

  3. Reputation Risk
    While culture and conduct are important considerations, each risk discipline must be positioned to safeguard and enhance reputation; if institutions do not pay attention to these inputs the end result is the assumption of operational risk.
    Joe Iraci, Head of 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

3:10 P.M. to 3:55 P.M.

Break Out Sessions 

 

  1. Privacy Update
    The impact of the GDPR and other privacy legislation.
    Mark Schreiber, Esq., Partner, McDermott Will & Emery LLP

  2. The Evolution of the RCSA: A Case Study
    Alan Freeman, Director, Operational Risk Management, Discover

  3. Managing Reputation: Establishing a Framework and Implementing Tools to Manage Reputational Consequences
    Mike Finlay, Chief Executive Officer, 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

3:55 P.M. to 4:15 P.M.

Break

4:15 P.M. to 5:00 P.M.

Emerging Risk Panel

Moderator: Phil Bray, Principal, KPMG; 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; Mark Weintraub, Chief Operational Risk Officer, Wells Fargo

5:00 P.M. to 6:00 P.M.

Networking Reception

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

Keynote: 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: 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 Sessions

 

  1. E2E Process Risk Assessment – Challenges & Innovations
    KPMG

  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. An Overview of Machine Learning & AI
    What it does and what it doesn’t do, how it can be useful for a risk organization, and the chain of events for a successful project.
    Chuck Fannin, CFA, Sr. Quantitative Risk Analyst, Modeling & Exposure Management, TD Ameritrade

11:20 A.M. to 12:05 P.M.

Break Out Sessions

 

  1. Third Party/Vendor Risk Management
    Inventory of all vendors, risks and controls; risk acceptance and escalation; treatment of evergreen contracts.
    Emily Nachlas, Executive Vice President, Director of Enterprise Risk Management, Iberia Bank

  2. Proactive Management of Non-Financial Risks
    Billy K. Murray, Global Risk Management, Director, US Non-Financial Risk, BBVA Compass

  3. Agile Risk Management
    How to innovate in the risk space.
    Philippa Girling, SVP, Chief Risk Officer, Investors Bank

  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 Sessions

 

  1. Linkage between Cyber Risk, BCP and Third Party/Vendor Risk Management
    Mary Kapferer, Chief Enterprise & Operational Risk Officer, KeyBank

  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
    David Diehl, SVP, Corporate & Institutional Bank Risk Manager, PNC

2:10 P.M. to 2:55 P.M.

Break Out Sessions

 

  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. TBD

  3. TBD

  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 

Early bird rates until 2/28/19.

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

$1,750  

Before 2/28/19

$2,000 Registration Fee

NONASSOCIATE FROM A MEMBER INSTITUTION AND PROFESSIONAL MEMBER

$1,950

Before 2/28/19

$2,300 Registration Fee

NONMEMBER

$2,500

Before 2/28/19

$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.

Sapphire
Gold
Gold
Gold
Silver
Lanyard Sponsor
© The Risk Management Association 2018-2019