See our full agenda below. The agenda is also available in the conference brochure, downloadable here
The compliance role is becoming more business critical by the day. With the increasing regulations, focus on data-management, pressures on all corporate actions and products are just a few of the risks and pressures that a compliance officer has to tackle and navigate. Our 4th Annual Compliance and Conduct Risk Forum will host a two-day forum under Chatham-House rule where the key challenges are discussed by 70+ senior practitioners from the financial services industry
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
Gunnar Stangl CFA, Director Compliance Strategy & Coordination Commerzbank
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
Financial incentives can lead to corner cutting when it comes to being compliant. A more holistic approach is required to encourage individual accountability, increase customer satisfaction and change employee conduct
Good conduct starts at the beginning, with the product that the client is being offered – identifying the products requirement to the customer is paramount. Hear how firms are now involving compliance in the whole lifecycle of a product and the positive impact that is having on the business
Barbara Falero Chief Compliance Officer Credicorp
The impeding legislation poses many challenges, one of them being the sheer amount of data held across different systems. How do you bring a joined-up approach across the business, and Know Your Customer, whilst complying with the new GDPR?
Technology is evolving at a rapid pace and the role artificial intelligence has to play in all industries is still a large unknown. Hear innovative ways that AI will be used to improve the future compliance function
Mitigating risk by implementing controls will only go so far, if employees want to collude they’ll find a way to do so. Understand the latest thinking in behavioural analytics and what needs to be done to educate and make people think differently
Rob Knight Managing Director, Global Head of Operational Compliance Barings
Gerry Harvey CEO FMSB (FICC Markets Standards Board)
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?
Olinka Kelcikova Compliance Manager Arbuthnot Latham & Co
Hear from European counterparts on the implications of the current Brexit negotiations on business and how this could impact the role of a compliance officer in financial services
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?
Kimon Deridder UK Compliance Oversight Director Aviva
Martin McKeogh Group Head of Conduct AIB
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
To demonstrate leadership and a truly responsible approach requires full transparency. Sometimes it involves communicating failures or oversights. How do you achieve the right balance with the amount of quality data you share with stakeholders and competitors alike? How do you convince the business of this approach?
The impending legislative changes need to be addressed. In this 120-minute roundtable conducted under Chatham House rules, learn how to navigate the change and understand what measures you need to put in place
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.
Grainne Mannion Compliance Manager AIB
Jan Dauman Chairman IBLF Global
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:
Tariq Moazzam EMEA Financial Crime Monitoring Officer (VP) BNY Mellon
Russell Hornsby-Clifton Head of Compliance EFG Private Bank
Cyber security and crime prevention is a fast-changing environment. Business’ needs to be agile and prepared for the increased inventiveness of attackers to protect the data under attack. Hear solutions to manage that risk
Complete speaker line-up • Program for all tracks & sessions • Audience breakdown