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Embed Compliance at the heart of The Business - Accountability, Systems and Incentivisation

See our full agenda below. The agenda is also available in the conference brochure, downloadable here

09:00 - 09:45
First Line Compliance Keynote: Own the risk, embedding compliance in the first line

Compliance is a role performed traditionally by the 2nd line, which can be limiting on its impact and influence on the customer facing part of the business. How to move the responsibility for developing metrics and embed compliance into the first line for optimum operational effectiveness

Commerzbank Gunnar Stangl CFA, Director Compliance Strategy & Coordination Commerzbank

Moderator: Clientele Yurika Pistorius Group Compliance Officer Clientele

09:45 - 10:30
Technology Keynote: Bringing compliance to the first line

Making the first line more responsible for their conduct and to follow compliance initiatives requires new systems and technology. Hear from businesses that are using new technologies to ensure compliance across the first line

Clientele Yurika Pistorius Group Compliance Officer Clientele

Moderator: Willis Towers Watson Jagdev Kenth Director of Risk & Regulatory Strategy Willis Towers Watson

10:30 - 11:00
Coffee Break
11:00 - 11:30
Creating a Culture of Compliance

More information coming soon...

Gallup Leslie Rowlands Partner Gallup

Gallup Maria Semykoz Workplace Analytics Architect Gallup

Moderator: Velador Associates Robin Poynder Associate Velador Associates

11:30 - 13:00
Training from the top to the bottom on good conduct

Saying to do the right thing is no longer good enough. So how can firms ensure tone from the top really permeates right down the organization? How does the compliance officer successfully communicate this message across the business to both current and new recruits?

Aviva Kimon Deridder UK Compliance Oversight Director Aviva

AIB Martin McKeogh Group Head of Conduct AIB

Willis Towers Watson Jagdev Kenth Director of Risk & Regulatory Strategy Willis Towers Watson

Moderator: Velador Associates Robin Poynder Associate Velador Associates

1:00 - 2:00
Lunch
2:00 - 3:30
Control only goes so far: Changing behaviours, changing culture

A strong ethical culture is characterised by a readiness of employees to speak-up, either directly or confidentially. How should organisations support and incentivise their staff to do this?

State Street Peter Massey-Cook Managing Director, Regional Head of Ethics State Street

Balockheed_martinrings Steven Pegg Senior Ethics Officer Lockheed Martin Corporation, EMEA

Société Générale Corporate Investment Bank Derek Hammond Head of Culture and Conduct UK Société Générale Corporate Investment Bank

3:30 - 4:30
Networking Drinks

Chairman: ACIFXC David Woolcock Vice Chair ACIFXC

09:30 - 10:30
Senior Management Regime: Holding individuals accountable

With the Senior Management Regime evolving and encompassing more and more each year, what do firms need to do to ensure they don’t incur huge financial penalties? What’s the next step on the trend to holding individuals more accountable?

Arbuthnot Latham & Co Olinka Kelcikova Compliance Manager Arbuthnot Latham & Co

EFG Private Bank Russell Hornsby-Clifton Head of Compliance EFG Private Bank

10:30 - 11:00
Coffee
11:00 - 11:45
Regulatory updates

Hear the latest updates from the regulatory bodies themselves on the future of compliance and conduct, and what you’ll need to focus on for 2018 and beyond

Financial Conduct Authority Ted MacDonald Advisor, Wholesale Banking
Supervision – Investment, Wholesale and Specialists Division
Financial Conduct Authority

11:45 - 12:15
Understanding financial crime risks part A: Anti-Money-Laundering

As the FCA continues to shine a spotlight on Financial Crime, firms need to respond to an increasing array of regulatory financial crime risks and threats. In this session learn how to:

  • Optimize AML monitoring whilst maintaining compliance
  • Understand where the risks lie and ensure risk assessment reflects the risk

BNY Mellon Moazzam Tariq EMEA Financial Crime Monitoring Officer (VP) BNY Mellon

12:15 - 1:15
Lunch
1:15 - 2:30
Workshop: Changing behaviours, changing culture

Under the Chatham-House rule participants will debate a number of scenarios that occur within financials services. With the assistance of expert witnesses (session speakers) groups will identify ways to spot unethical behaviour and ways to prevent it from occurring in the future.

AIB Martin McKeogh Group Head of Conduct AIB

IBLF Global Jan Dauman Chairman IBLF Global

2:30 - 3:10
Coffee Break
3:10 - 3:40
Investor Keynote: Engaging institutional investors to think long-term

Even with the rise of SRI most investments are still driven by short-term wins and goals. Publicly listed businesses need to engage institutional investors to invest for 5-10 years. How can this be achieved?

Allianz Capital Partners Jürgen Gerke CEO Allianz Capital Partners

Hermes Investment Management Saker Nusseibeh CEO Hermes Investment Management

Moderator: Share Action Catherine Howarth CEO Share Action

3:40 - 4:20
Closing Keynote: The quest for inclusive capitalism

The divide between rich and poor is only increasing. For the world to truly be a more responsible, sustainable and fair place for all we have to work together to ensure we deliver inclusive growth and wealth. Hear how business, Government, investors and NGOs are working together to ensure a more equal future for all.

International Integrated Reporting Council Richard Howitt CEO International Integrated Reporting Council

Global Witness Bennett Freeman Chair, Advisory Board Global Witness

Nordea Sasja Beslik Head of Group Sustainable Finance Nordea

09:00 - 09:45
First Line Compliance Keynote: Own the risk, embedding compliance in the first line

Compliance is a role performed traditionally by the 2nd line, which can be limiting on its impact and influence on the customer facing part of the business. How to move the responsibility for developing metrics and embed compliance into the first line for optimum operational effectiveness

Commerzbank Gunnar Stangl CFA, Director Compliance Strategy & Coordination Commerzbank

Moderator: Clientele Yurika Pistorius Group Compliance Officer Clientele

09:45 - 10:30
Technology Keynote: Bringing compliance to the first line

Making the first line more responsible for their conduct and to follow compliance initiatives requires new systems and technology. Hear from businesses that are using new technologies to ensure compliance across the first line

Clientele Yurika Pistorius Group Compliance Officer Clientele

Moderator: Willis Towers Watson Jagdev Kenth Director of Risk & Regulatory Strategy Willis Towers Watson

10:30 - 11:00
Coffee Break
11:00 - 11:30
Creating a Culture of Compliance

More information coming soon...

Gallup Leslie Rowlands Partner Gallup

Gallup Maria Semykoz Workplace Analytics Architect Gallup

Moderator: Velador Associates Robin Poynder Associate Velador Associates

11:30 - 13:00
Training from the top to the bottom on good conduct

Saying to do the right thing is no longer good enough. So how can firms ensure tone from the top really permeates right down the organization? How does the compliance officer successfully communicate this message across the business to both current and new recruits?

Aviva Kimon Deridder UK Compliance Oversight Director Aviva

AIB Martin McKeogh Group Head of Conduct AIB

Willis Towers Watson Jagdev Kenth Director of Risk & Regulatory Strategy Willis Towers Watson

Moderator: Velador Associates Robin Poynder Associate Velador Associates

1:00 - 2:00
Lunch
2:00 - 3:30
Control only goes so far: Changing behaviours, changing culture

A strong ethical culture is characterised by a readiness of employees to speak-up, either directly or confidentially. How should organisations support and incentivise their staff to do this?

State Street Peter Massey-Cook Managing Director, Regional Head of Ethics State Street

Balockheed_martinrings Steven Pegg Senior Ethics Officer Lockheed Martin Corporation, EMEA

Société Générale Corporate Investment Bank Derek Hammond Head of Culture and Conduct UK Société Générale Corporate Investment Bank

3:30 - 4:30
Networking Drinks

Purchase the Post-Conference Materials

Event Presentations • Event Audio • On Demand Subscription

Chairman: ACIFXC David Woolcock Vice Chair ACIFXC

09:30 - 10:30
Senior Management Regime: Holding individuals accountable

With the Senior Management Regime evolving and encompassing more and more each year, what do firms need to do to ensure they don’t incur huge financial penalties? What’s the next step on the trend to holding individuals more accountable?

Arbuthnot Latham & Co Olinka Kelcikova Compliance Manager Arbuthnot Latham & Co

EFG Private Bank Russell Hornsby-Clifton Head of Compliance EFG Private Bank

10:30 - 11:00
Coffee
11:00 - 11:45
Regulatory updates

Hear the latest updates from the regulatory bodies themselves on the future of compliance and conduct, and what you’ll need to focus on for 2018 and beyond

Financial Conduct Authority Ted MacDonald Advisor, Wholesale Banking
Supervision – Investment, Wholesale and Specialists Division
Financial Conduct Authority

11:45 - 12:15
Understanding financial crime risks part A: Anti-Money-Laundering

As the FCA continues to shine a spotlight on Financial Crime, firms need to respond to an increasing array of regulatory financial crime risks and threats. In this session learn how to:

  • Optimize AML monitoring whilst maintaining compliance
  • Understand where the risks lie and ensure risk assessment reflects the risk

BNY Mellon Moazzam Tariq EMEA Financial Crime Monitoring Officer (VP) BNY Mellon

12:15 - 1:15
Lunch
1:15 - 2:30
Workshop: Changing behaviours, changing culture

Under the Chatham-House rule participants will debate a number of scenarios that occur within financials services. With the assistance of expert witnesses (session speakers) groups will identify ways to spot unethical behaviour and ways to prevent it from occurring in the future.

AIB Martin McKeogh Group Head of Conduct AIB

IBLF Global Jan Dauman Chairman IBLF Global

2:30 - 3:10
Coffee Break
3:10 - 3:40
Investor Keynote: Engaging institutional investors to think long-term

Even with the rise of SRI most investments are still driven by short-term wins and goals. Publicly listed businesses need to engage institutional investors to invest for 5-10 years. How can this be achieved?

Allianz Capital Partners Jürgen Gerke CEO Allianz Capital Partners

Hermes Investment Management Saker Nusseibeh CEO Hermes Investment Management

Moderator: Share Action Catherine Howarth CEO Share Action

3:40 - 4:20
Closing Keynote: The quest for inclusive capitalism

The divide between rich and poor is only increasing. For the world to truly be a more responsible, sustainable and fair place for all we have to work together to ensure we deliver inclusive growth and wealth. Hear how business, Government, investors and NGOs are working together to ensure a more equal future for all.

International Integrated Reporting Council Richard Howitt CEO International Integrated Reporting Council

Global Witness Bennett Freeman Chair, Advisory Board Global Witness

Nordea Sasja Beslik Head of Group Sustainable Finance Nordea


Purchase the Post-Conference Materials

Event Presentations • Event Audio • On Demand Subscription