Cutting Edge Developments in Risk Management: 

Machine Learning, AI and RPA

 

Date: Wednesday, September 12th 2018

Location: PricewaterhouseCoopers, 300 Madison Avenue, Auditorium, New York, NY

Time: Registration & Cocktails 5:30 PM – Program Start 6:15 PM 

 

Financial institutions are increasingly incorporating the use of advanced technologies such as artificial intelligence, machine learning and robotics into their business and risk management activities. Regulators are likewise leveraging  such technology in undertaking their own supervisory activities, such as trade surveillance, as well keeping a close eye on the use and impact of such technologies on firms. 

 

Panelists will be invited to address key topics such as:

  • How does a a firm go about developing a strategy for using advanced technologies? 
  • How does the firm decide to what activities or processes such technologies will be applied? 
  • What are the benefits and challenges that firms have encountered? What are the key risk considerations?
  • Panelists will also have an opportunity to discuss specific use cases as well as discuss current and emerging  industry trends.
 
Panelists:
 

Antonio Baldaque da Silva, Managing Director, Chief Risk Strategist and Head of the Financial Modeling Group, BlackRock Solutions

Antonio Baldaque da Silva, Managing Director, is the Chief Risk Strategist and the Head of the Financial Modeling Group at BlackRock Solutions. As Chief Risk Strategist, Mr. Silva is partnering with clients on risk-related approaches, models and strategies. As Head of the Financial Modeling Group, he is responsible for the research, implementation and surveillance of all single security pricing and portfolio models delivered through the BlackRock Aladdin platform. Examples of these models are: Prepayment Behavior, Yield Curve, Risk, Scenario Analysis, Return Attribution and Portfolio Construction. The models are widely used both internally at BlackRock as well as by external clients, that represent some of the largest Asset Managers, Banks, Insurance Companies, Pension Funds, Hedge Funds and Endowments in the world.

 

Mr. Silva joined BlackRock in July 2015. Previously he was the Head of Portfolio Modeling at Barclays POINT. Mr. Silva published extensively on portfolio quantitative models across many different asset classes, contributing, namely to the "Handbook of Fixed Income" by Frank Fabozzi. He presented his research at major Official Institutions (such as the European Central Bank), Academic Institutions (such as MIT Sloan) and Conferences (such as the GARP Annual Convention). Mr. Silva is a member of the Editorial Board of the Journal of Portfolio Management.

 

Mr. Silva has a MA and PhD in Economics from Northwestern University.

 

Carlo di Florio, Chief Risk Officer & Head of Strategy, Financial Industry Regulatory Authority (FINRA)

Carlo di Florio joined FINRA in June 2013 as Chief Risk Officer and Head of Strategy. In this capacity, he leads the Office of Risk & Strategy, which includes Strategic Planning, Emerging Regulatory Issues, Enterprise Risk Management and Operational Risk. These functions support FINRA's mission of investor protection and market integrity by teaming across the organization to define and align strategy, monitor emerging regulatory issues, promote enterprise risk management and support ongoing program improvement and quality assurance.

 

Prior to joining FINRA, Mr. di Florio served as the Director of the SEC's Office of Compliance Inspections and Examinations. In that role, he oversaw the SEC's nationwide examination programs for, among other entities, investment advisers, broker-dealers, mutual funds, securities markets and clearing agencies. Before joining the SEC in 2010, Mr. di Florio was a partner in the Financial Services Risk & Regulatory Practice of PricewaterhouseCoopers, advising financial services clients across banking, capital markets, asset management and insurance.

 

Mr. di Florio received his Master of Laws with distinction from Georgetown University Law Center, his J.D. from Penn State University and his bachelor's degree from Tulane University. He has been named by the National Association of Corporate Directors as one of the 100 Most Influential Leaders in Corporate Governance, by The National Law Journal as one of the Top 50 Trailblazers & Pioneers in Governance, Risk Management and Compliance, and by Worth Magazine as one of the 100 Most Powerful People in Finance.

 

 

Robert Huntsman, CFA, Senor Director of Strategy and Research - Emerging Technologies, Synechron

Robert is Senior Director of Strategy and Research - Emerging Technologies at Synechron based out of New York. He brings to the company over eighteen years of experience leading the design, development and commercialization of advanced technologies for the world's leading financial institutions. Clients and his delivery team benefits from a proven track record of driving double digit revenue and profit growth and building and leading successful organizations as well as his deep expertise in machine learning, artificial intelligence, data science, analytics and finance. Robert is able to combine strong quantitative, critical thinking and analytical skills with excellent communication and interpersonal skills to develop and market new products and technologies; establish new and grow existing client relationships building complex AI, machine learning and advanced analytics platforms, and lead organizations. While at Synechron, he has been instrumental in R&D related to Synechron's AI Accedlerators drawing on experience across Machine Learning, Data Science, Financial Modeling, and Programming (Python, SQL, R, Spark, Visual Basic) to deliver industry leading innovation. Additionally, he draws on prior experiences at firms including Morgan Stanley, FTSE Russell, and Progressive Insurance, certifications as a Chartered Financial Analyst (CFA) and FInancial Risk Manager (FRM); and a bachelor's degree from Stanford Unviersity and MBA from UCLA Anderson School of Management. 

 

 

Paul Milkman, Senior Vice President, CISO and Head of Technology and Operational Risk, CIT

Paul Milkman is a Transformational Cyber Security, Technology and Risk Executive with a career that has included CISO and CIO Roles, Principal and Executive Consulting Roles, IT Governance Leadership, Acquisition/Venture Diligence, as well as Account and Sales Leadership positions.

 

Mr. Milkman is CIT's Chief Informational Security Office (CISO) and Senior Vice President of Technology & Operations Risk. It is his responsibility to preserve and protect the confidentiality, integrity, and availability of CIT information and information systems, from both internal and external threats. He has achieved this by continuing to evolve CIT's information security tools and program, as well as building out a front line risk and compliance management program across Technology & Operations.

 

Prior to joining CIT in 2017, Mr. Milkman held top Information Security roles at Xerox, Fannie Mae, and TDBG, as well as leading IBM's Security and Privacy Consulting Practice for hte Financial Sector. He is an expert in converged operational framework design and implementation for large Financial Institutions, with domain experience in Cyber Security, Privacy, Mergers/Acquisitions/Divestures, Enterprise SOX/Basel, Business Continuity Management, Information Risk, Payments, 3rd Party/Vendor, Online Fraud, Internal Fraud, Enterprise Governance and Policy, Technology Regulatory Frameworks, Recovery/Resolution Planning and other Operational Risk areas. Mr. Milkman holds patents / patents pending in consumer mobile application encryption technology, as well as risk management.

 

Puneet Singhvi, Managing Director and Financial Markets Infrastructure (FMI) Head, Citigroup

Puneet is the Managing Director and Financial Markets Infrastructure (FMI) head for Citi. He is responsible for relationship and key initiatives with FMIs for the Citi Institutional Client Group. He leads the Citi Markets & Securities Services efforts related to Blockchain and DLT with FMIs such as Exchanges, Clearing Houses, and Settlement venues.

 

He has worked at Citi across the developed and emerging markets covering various management roles in the Markets & Securities services business and Transaction Services business. His recent roles included heading Citi Global Clearing and CLS Product, leading CitiFX Prime Brokerage Product and OTC Derivatives Clearing.

 

He is an Engineer and completed his post-graduation in management from the Indian Institute of Management.

 

 

Moderator: 
 
John Noto, Senior Operational Risk Manager, London Stock Exchange Group/FTS Russell Indexes

John Noto is an accomplished Operational Risk Management (ORM) subject matter professional and is currently a Senior Operational Risk Manager at the London Stock Exchange Group /FTSE Russell Indexes with responsibilities in the areas of data collections, data quality management, vendor management and data distribution within the securities markets. Previously he was responsible for the identification, management, measurement, mitigation and control of Operational Risk and for directing the Sarbanes-Oxley Act (SOX) compliance requirements at Mizuho Securities USA.  John served on the Risk Management Committee, IT Management Committee, Operational Risk Management Committee and BCP/Crisis Management Committees. John has had extensive financial services, operational, regulatory and audit experience with a concentration in the Capital Markets and the Broker-Dealer Industry. He has held several high-ranking positions in Internal Audit at financial service firms, including Investment Banks, Broker/Dealers and has established first time Internal Audit and ORM Departments for financial service firms. John's professional experience includes PricewaterhouseCoopers LLP, NatWest Markets, N.A., Fortis Financial Services, and Friedman Billings Ramsey Group. He also served as the President of the Securities Industry and Financial Markets Association - Internal Auditors Society in 2013. John has a Bachelor of Science Degree in Accounting from Fairleigh Dickinson University, is a Certified Financial Services Auditor and Accreditation in Internal Quality Assessment and Validation of the Institute of Internal Auditors, FINRA Series 99 and several SOX Certifications.

 

Thank you to Synechron for being the sponsor of this program and for helping us to keep our registration fees low. For more information on Synechron, please click here: www.synechron.com
 

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