When: April 18th 2008. 10am EST / 3pm BST
Duration: 1 hour 30 minutes
Cost: Free
Where: Your PC!
THIS EVENT IS NOW ARCHIVED & AVAILABLE ON-DEMAND
Overview
The latest in an ongoing series of thought leadership roundtables from OpRisk & Compliance, sponsored by Mantas.
Recent events in the global financial system—including the SocGen rogue trading scandal and subsequent similar losses at other firms—have made both regulators and firms focus on potential risks from their own employees’ bad practices.
Preventing these kinds of losses is not just about changing the culture of a firm—systems and processes must be in place to monitor activity, demonstrate compliance and catch employees who undertake fraud, market abuse or rogue trading activities.
This new webinar will be an exchange of ideas among top industry executives on how and where to find—and improve—the systems and processes within firms that can prevent those organizations from becoming another “headline casualty”.
How can executives create independent risk and compliance initiatives to help firms establish the most secure, preventative environment protecting against rogue traders, trading abuse, fraudulent employee activities, and other risk points?
How do firms implement a robust enterprise-wide risk and compliance system, to enable their financial institutions to succeed in reducing risks and monitoring trades, orders, positions, and behaviors?
Speakers
Philippa Girling, Global co-head of operational risk management, Nomura.
Philippa is director, and global co-head of operational risk management at Nomura Holdings America. Previously, she was a founder of the firm-wide operational risk department at Morgan Stanley. She has led many training programmes, including an Operational Risk Executive Education programme for Columbia University, NYC. She is also an attorney and is a certified Financial Risk Manager.
Sergio Scandizzo, Head of Operational Risk Section, European Investment Bank.
Sergio is head of the operational risk unit at the European Investment Bank in Luxembourg. Prior to his position at the EIB, he was a principal at the London office of PricewaterhouseCoopers. He is the author of "The Operational Risk Manager's Guide" and of "Validation and Use Test in the AMA."
Eric Holmquist, VP, Director of Risk Management, Operations and IT, Advanta Bank Corp.
Eric Holmquist has responsibility for design and oversight of the bank's operational risk management program. In addition, Mr. Holmquist serves as the bank's Information Security Officer as well as chair of the bank's MIS Council, its MIS governance body. Mr. Holmquist has over 25 years of experience working within the financial services industry both in management roles as well as a prominent industry consultant, author and speaker.
S Ramakrishnan, CEO, Mantas & Reveleus
A 23-year finance and technology veteran, S. Ramakrishnan (a.k.a SR) is currently the CEO of Mantas & Reveleus. Mantas and Reveleus are product offerings of iflex solutions which is a majority owned subsidiary of Oracle.
SR is widely quoted in the press, including American Banker, Op Risk and Compliance, Bank Technology News, Wall Street and Technology, Securities Industry News, The Banker and Risk UK among others. A compelling speaker, SR has addressed international finance and technology forums on industry trends surrounding regulatory compliance, risk management and business analytics. SR holds a Bachelor's Degree in Engineering from the Indian Institute of Technology - Delhi and an MBA from Indian Institute of Management - Ahmedabad, India.
Why attend?
Ideas on how, where to find and improve the systems and processes within your firm; the use of independent risk and compliance initiatives to help your firm establish the most secure preventative environment protecting against rogue traders, trading abuse, fraudulent employee activities, and other risk points. A robust enterprise-wide risk and compliance system will allow you and your financial institution to succeed in reducing risks and monitoring trades, orders, positions, and behaviors.
There are no extra software downloads required – just a broadband connection and speakers or headphones. You can access the event from your office or home with no travel or expenses – just one and a half hours out of your schedule.
By registering you will also be able to view the debate online for the next 12 months on www.opriskandcompliance.com
Just click on the link below and register now.
Who should attend?
• Chief Risk Officers
• Heads of Risk Management
• Heads of Risk Control
• Risk Managers
• Heads of Corporate Governance
• Global head/director/group head/heads of compliance
• Regulatory relations executives
• Compliance managers
• Heads of regulatory risk management
• Compliance officers
• Chief compliance officers (CCO)
• Chief operating officers
• Heads of investigations
• Chief legal officers
• Compliance system specialists
• Compliance monitoring analyst/executive/associates
• Global Heads of Operational Risk
• Heads of Group Operational Risk
• Heads of Operational Risk
• Managing Directors, Directors, Vice Presidents and Associates within Operational Risk
• Operational Risk Managers
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