Risk & Compliance Leaders Summit 2020
November 6 - 7, 2020
Hilton Vienna Danube Waterfront
+44 (0) 207 368 9576
Day Two - Thu 7th November
8:00 am - 8:55 am Networking Breakfast
8:55 am - 9:00 am Chairperson’s Opening Remarks
8:00 am - 8:50 am Exclusive Women In Risk & Compliance Breakfast: How can buy side industry better attract, develop and retain top female risk and compliance talent?
9:00 am - 9:20 am BUY SIDE KEYNOTE: How to best prepare your operating model to the forthcoming regulatory challenges on international, European and national levels
- How should you be updating your R&C business models to ensure a consistent and timely response to regulators’ increasing requirements
- How to organize teams on global and local levels and balance available resources to face higher regulatory complexity
- What technology should you be putting in place that helps to manage regulatory risks across heterogeneous European space
- How to prepare your distribution strategy that ensures product access across Europe
9:20 am - 9:40 am INNOVATION KEYNOTE - Learning from the sell side: How to use robotics and data driven technologies as a control function for your KYC and AML processes to increase cost efficiency and the robustness of checks
9:40 am - 10:20 am ALL STAR PANEL - Creating an effective ESG monitoring strategy: How can you integrate sustainable risk factors into your investment processes to set a course for a sustainable future in ESG investing?
- How to define sustainability and what are the operational consequences for investment mangers?
- How can you ensure you have the right technology in place with the right filters to monitor sustainable investment portfolios?
- What checks to compliance need to put in place and what ethical considerations and constraints need to be included?
- How do sustainable factors play a role in MiFID II suitability and market target assessments?
- How to integrate sustainable risk factors into your ongoing risk and compliance monitoring programs to ensure compliance of your portfolios while avoiding “green wash”
10:20 am - 10:40 am REGULAORY KEYNOTE - Live Q&A with the European Commission: The ESG and sustainable finance action plan- What role does capital markets have to play in tackling climate crisis and what steps are the European Commission taking to foster growth and investments in this area?
- What steps are the European Commission taking to bring high economies in line with the Paris Agreement to help redirect money towards more sustainable investing?
- What is next on the ESG roadmap and potential implications on following new guidelines?
- How will the new Head of the European Commission impact the action plan within their first 100 days?
- New frontiers in investing- How to identify sustainable economic activities and implications for the banking industry
- What are the current disclosure rules you should be adhering to in order to best manage ESG risk?
Marco Zwick
DirectorCommission de Surveillance du Secteur Financie
10:40 am - 11:20 am Morning Networking Break
11:20 am - 11:40 am SPOTLIGHT ON BREXIT - Evaluating the consequences of Brexit on a national and European level: How can you prepare for an era of political instability, currency volatility and regulatory uncertainty to ensure you thrive?
RISK
- How can you prepare for broader, more complex market risk scenarios that can factor in the current driving forces of change and the wider political climate?
COMPLIANCE:
- How will passport holder rule impact compliance monitoring programs and what organisational set up you should be working on now in order to secure the access to the whole European market?
- How can compliance teams best manage compliance in a post Brexit world?
R&C:
- Perspectives of national regulators: What are the consequences of Brexit regarding AIFMD and passport rights?
- A decade on- what will be the long term impact of Brexit on the UK and European investment landscape?
11:40 am - 12:20 pm ALL STAR PANEL - Building business resilience across the buy side: What people, processes and technology do risk and compliance officers need to put in place to minimise cyber threats?
- Mitigating cyber risk across the enterprise: What steps can you take to take to implement cyber security that protects the business?
- How to establish effective security processes and develop IT systems that reflect your organizational structure and operational processes
- Focusing on risk identification and solutions How to develop new skill sets among risk officers that involve IT knowledge and different approaches to risk
- What projects can you put in place in order to learn, assess and mitigate cyber risk better without impacting business?
- How to make sure that your employees are adequately trained to identify cyber risk when it’s in front of them
- Developing an effective risk model to quantify cyber risk: What risk indicators and events you should be including?
12:20 pm - 12:40 pm CASE STUDY - Building an effective information security management process: How to increase your information security and data protection to keep up with the pace of technology, cloud solutions and data deployment
- What is the best way to implement information security across all data and data carriers in the firm?
- Data and the cloud: How can you ensure you have robust data protection controls to manage your data and intellectual property?
- Bridging the gap between compliance and IT- How should compliance officers influence data security to ensure the controls are robust enough to meet regulatory mandates? What is a role of compliance officers in data security and how this responsibility can be shared with IT department?
- How can you ensure you have the data protection security you need in cloud technologies on contractual basis?
Antonio Giannino
Group Chief Risk & Compliance OfficerAmagis Capital
12:40 pm - 1:40 pm Drill Down Roundtables - Risk
Roundtable 1. How risk teams can prepare to support investment portfolios towards ESG mandates
Antonello Russo, EMEA head of Investment Risk Management – ETF and Index, BlackRock
Roundtable 2. Assessing key macroeconomic risks in 2019: What will be the key drivers and how can Risk Managers best support the front office to enable them to facilitate their mandates?
Piotr Chmielowski, Chief Risk Officer, Fulcrum Asset Management
Roundtable 2. Business resilience: What actions and procedures should you have in place in the case of a cyber attack?
Roundtable 3. What quantitative and qualitative factors do you need to include in your model to create accurate model for measuring and monitoring conduct risk?
Roundtable 4. How to develop an effective model risk for more complex strategies when working with small data samples
Roundtable 5. Model risk: How to find the right balance between meeting the regulatory requirements for bank-holding asset managers and a tailored MRM framework
Roundtable 6. What is the best practice process to change your portfolio management teams perception of using new data visualization tools?
Roundtable 7. In-house vs. outsourcing technology- How to strike the right balance with your technology architecture that combines current in-house solutions and is able to harness new technological innovations
Patrick Trew, Chief Risk Officer, Partner, CQS
Roundtable 8. Eliminating technology risk while gaining trading efficiencies: How to develop an effective risk oversight processes to manage automated decision making when using algorithmic trading systems
+6 Speakers
Antonello Russo
EMEA Head of Investment Risk Management – ETF and Index InvestmentsBlackrock
12:40 pm - 1:40 pm Drill Down Roundtables - Compliance
Roundtable 1. How to establish effective governance of your RPA to prevent the possibility of a system breakdown
Andreas Uremovic, Global Head of Investment Portfolio Compliance, Director, Allianz Global Investors GmbH
Roundtable 2. How to ensure the IT security of your collaboration tools for compliance in order to gain maximum efficiency in your data sharing process
+1 Speaker
Roundtable 3. What is the role of compliance officers in ensuring prevention of reputation risk and what strategy should they be choosing when reputation is compromised?
Renata Hoes, Chief Compliance Officer, Generali Investments
Roundtable 4. Cultural aspect of whistleblowing: How to deal with those who report and what is the best practice to secure their rights while protecting company’s interests
Paul Martin, Head of Legal Compliance and Risk, LGT Vestra
Roundtable 5. What are the most effective systems to use to monitor sanctions across multiple asset classes, customers and time zones in global firms?
Jean-Charles Delcroix, Chief Compliance Officer, Amundi Asset Management
Roundtable 6. What the 5th AML Directive means for the buy side- How can you best balance risk, manage regulatory inconsistencies, and smartly mitigate the impact within your firm?
Andreas Deister, Head of Compliance/AML, Compliance Coordinator Europe, Amundi Asset Management
Andreas Uremovic
Global Head of Investment Portfolio Compliance, DirectorAllianz Global Investors GmbH
1:40 pm - 2:40 pm Networking Lunch
TRACKS
TRACK A - RISK Implementing Next Generation Risk Tech
2:40 pm - 3:20 pm CASE STUDY REVOLUTION - Employing a risk data management strategy: How can you develop and execute a cutting edge strategy to give you a competitive edge?- How to take data management to the next level: Establishing robust processes for your data analytics
- What is best practice when managing data systems in timely manner to ensure its relevance for meaningful analysis?
- How to set up strong testing process of data usage for modelling and content production
- Data analytics: Exploring your different solutions for data mining and analysis
- What are the next steps you should be taking to implement AI and ML into your risk processes?
TRACK A - RISK Implementing Next Generation Risk Tech
3:20 pm - 3:40 pm FIRESIDE CHAT - AI, ML and risk management: How are the buy side implementing this now to drive operating and cost efficiencies?- What are the current barriers to entry for AI in risk and how can they be overcome?
- How can you use AI and ML now to boost the effectiveness of your risk management
- What is the role of risk team in challenging AI process throughout the full learning cycle?
- How to develop AI & ML for credit and market risk monitoring processes rather than quantitative models
- How can you develop an AI model that will be able to predict future patterns for complex investment strategies
TRACK B - COMPLIANCE Mastering AML, KYC and Due Diligence
2:40 pm - 3:00 pm CASE STUDY - Strengthening AML through AI: How to reduce false positives and negatives and increase the efficiency of existing resources- What are the 5 steps you need to take to implement AI for AML and how can you reap the benefits?
- How to create a digital roadmap for AI in AML to achieve total automation of the process
- How to get immediate benefits of AI implementation: Dealing with legacy technology and processes
- What criteria should you be using to assess absolute high risk that must be monitored across wide customer base and a high amount of transactions?
Antonio Giannino
Group Chief Risk & Compliance OfficerAmagis Capital
TRACK B - COMPLIANCE Mastering AML, KYC and Due Diligence
3:00 pm - 3:20 pm FIRESIDE CHAT - Everything you need to know about the 5th EU Anti-Money Laundering Directive: Defining an effective structure for ALM and KYC processes- How to tailor buy side investment firms’ operating models: Overcoming challenges of cross boarder distribution, multiple counterparties and intermediaries
- What is the best practice to on-board investors and properly identify them by KYC?
- How to streamline internal processes for portfolio managers’ investment decision making
- Defining best structure for ALM and KYC processes: Is it responsibility of compliance, legal or front office?
- How to avoid counterproductively: Balancing between additional benefits of the regulation versus cost
Massimiliano Mazzocchi
Head of ComplianceAzimut Holding
TRACK B - COMPLIANCE Mastering AML, KYC and Due Diligence
3:20 pm - 3:40 pm FIRESIDE CHAT - How can you establish an effective controlling and monitoring process for your delegation risk management to avoid data leaks, low performance and regulatory incompliance?- What is the best practice of 3rd party due diligence process: Identifying systems, processes and regulation compliance of your providers
- How to create robust risk oversight model to deal with multiple counterparties as well as distribution providers with more negotiating power
- Delegating within a group: How to ensure the best fit and service provided
- What are the best monitoring tools for delegation processes?.
TRACK C - WORKSHOPS
2:40 pm - 3:20 pm SYNERGY WORKSHOP - A year of GDPR implementation in review: How to ensure the security of your organization form information and cyber perspective- How GDPR impacted capital has markets where are there room for future improvements?
- How can you ensure ongoing maintenance of GDPR and correct interpretation of its impacts on the business?
- What security controls can you put in place to meet GDPR rules while managing the complexity of the regulation itself?
- How can you ensure you are consistently meeting GDPR standards while remaining a customer centric organisation
