Operational Risk Management: Recent Developments, Leading Practices and Lessons Learned

 

Date: Thursday, September 12th 2019

NEW Location: PwC, 90 PARK AVENUE, New York, NY

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

 
 
Please join our distinguished panel as we explore the following topics related to Operational Risk Management:
 
  • Top Priorities and Key Risks in the Space
    • Cybersecurity & Other Forms of IT Disruption
    • Theft & Fraud
    • Data Compromise
    • Organizational Change
    • Attracting and Retaining Key Talent
    • Model Risk
    • Regulatory Risk
  • Impact of Culture on the Likelihood and Impact of Risk Events
  • Lessons Learned from Previous Operational Risk Incidents
  • Addressing Culture and Conduct Conflicts
  • Challenges of and Tips for Effective 3rd Party Vendor Assessment
  • Breaking Down the Silos to Work Effectively Across the Organization
 
Confirmed Panelists:
 
 
Michelle Evaul, Managing Director and Head of Operational and Third Party Risk Management, Risk and Quantitative Analysis Group, BlackRock
Michelle Evaul, Managing Director, is a member of BlackRock's Risk and Quantitative Analysis Group. Ms. Evaul is the Global Head of Operational and Third Party Risk Management. Ms. Evaul is also responsible for managing a forward agenda for the Enterprise Risk Management Committee. She is a member of RQA's Human Capital Committee (HCC) and co-Chair of Princeton Gives Grants Committee.
 
Ms. Evaul joined BlackRock in 2004, in the Internal Audit department, covering Equity, Fixed Income and Alternative investment management processes.  Prior to BlackRock, Ms. Evaul worked in public accounting for PricewaterhouseCoopers in both the Audit and Tax departments.
 
Ms. Evaul earned a Bachelor of Science degree in Accounting and a Masters of Business Administration, with honors, each from Villanova University. 
 
 
 
Brian Goldman, Head of Operational Risk, Goldman Sachs
Brian is head of Operational Risk. He serves as a member of the Firmwide Conduct and Operational Risk Committee, Firmwide New Activity Committee and the Risk Governance
Committee.
 
Previously, Brian was deputy head of Operational Risk. Before that, he was the head and founded the Enterprise Risk Management function. Prior to that, Brian was chief risk officer of Operations, and before that, he was head of Goldman Sachs Bank Operations. Earlier in his career, Brian held roles in various departments in Derivatives Operations in New York. He joined Goldman Sachs in 1997 as an analyst and was named managing director in 2009.
 
Brian earned a BA in History from Rutgers University.
 
 
 
Deborah Hrvatin, Managing Director, Global Head of Institutional Clients Group Operational Risk Management, Citigroup
Deborah Hrvatin is a Managing Director and the Global Head of Institutional Clients Group (ICG) Operational Risk Management at Citigroup, reporting to the Global Head of Operational Risk Management, with a matrix to the ICG Chief Risk Officer. Deborah is responsible for improving risk management, strengthening controls, and enabling profitable growth within risk appetite. Deborah joined Citigroup in July 2017 from Deutsche Bank where she most recently was Managing Director and Head of Operational Risk for the Americas and the Global Corporate Finance division. During her 22 year tenure at Deutsche Bank, Deborah held numerous other roles including Head of Operational Risk for the Corporate Banking and Securities division where she was responsible for developing and implementing the division’s operational risk management, supervision and information security framework. Deborah also held leadership roles within the business, including Chief Operating Officer for Deutsche Bank’s Global Securitization Group.
 
Prior to joining Deutsche Bank in 1999, Deborah was an Equities Controller with Bankers Trust Company. Deborah also served as a Commissioned Bank Examiner with the Federal Reserve Bank of New York from 1990 - 1995.
 
Deborah received her BBA and MBA in International Finance from Hofstra University.
 
 
 
Penny Cagan, Managing Director, Head of Operational Risk Governance, MUFG Union Bank
Penny is a Managing Director with MUFG Union Bank, where she currently is head of the Operational Risk Governance practice. Operational Risk & Regulation magazine awarded Penny three awards for her contribution to the field of operational risk, including a special industry award in 2011. Penny has published widely, including authoring the chapter on Risk and Control Self Assessments for the PRMIA Operational Risk Manager Handbook.
 
Penny has more than 30 years of risk management, compliance, controls and research experience, including managing risk and compliance functions in large financial institutions. Penny has experience with both developing and implementing risk and control frameworks, including the convergence among risk disciplines. Penny previously worked for a big four consulting firm where she led a conduct risk and sales practices campaign, with focus on conduct risk assessments and the development of frameworks, and the strategy for alignment of non-financial risk disciplines.
 
Penny is recognized as an industry leader in the field of operational risk, and earlier in her career brought an operational risk database to market. She is considered a pioneer in applying operational risk case studies as a diagnostic tool for assessing the effectiveness of an institution’s control environment. She also developed one of the industry’s early risk taxonomies in the 1990s that served as the foundation for many schemas currently in use today.
 
 
 
David Oman, CRO for Clearing, Markets & Client Management & Chief Market Risk Officer, BNY Mellon
David Oman is the Chief Market Risk Officer and Chief Risk Officer for Clearing, Markets and Client Management at BNY Mellon and reports directly into BNY’s Chief Risk Officer. David has over 25 years of industry experience, with enterprise, business and regional leadership roles managing credit, market and operational risks in various capacities. He joined BNY Mellon from Credit Suisse where he was the Global Head of Credit Risk Review and CCAR Review and Challenge. Prior to that, David was the Regional Chief Risk Officer for Credit Suisse USA. Prior to Credit Suisse, David was Chief Risk Officer for Global Wealth and Investment Management and served as Chief Risk Officer for Europe, Middle East, Africa and Latin America at Bank of America Merrill Lynch. David started his banking career at Chemical Bank.
 
After graduating from Williams College, David served in the White House and State Department.
 
David served as a Risk Management Association board member for several years and is currently a member of the Rutgers Leading Disruptive Innovation Advisory Board.
 
 
 
Alex Taboas, Senior Vice President & Head of Operational Risk, Global Risk Management, MetLife, Inc.
Alex Taboas is a Senior Vice President and MetLife Global Head of Operational Risk. He is responsible for establishing and implementing the Operational Risk Management Framework across the company.
 
Prior to joining MetLife in June 2019, Taboas was Managing Director and global head of Operational Risk Management for Markets in JPMorgan’s Corporate & Investment Bank (“CIB”). He was also regional lead for CIB Americas Operational Risk Management.
 
In addition to Operational Risk, Alex’s tenure at JPMorgan included roles as a credit executive within CIB Risk Latin America Financial Institutions group and in CIB North America Credit, where he covered Banks, Broker-Dealers, Specialty Finance, Asset Managers, and Exchanges & Clearinghouses. He originally joined the firm in 1999 in Commercial Banking.
 
Alex earned a B.Sc in Finance from Fordham University in New York.
 
 
Moderator:

Brian S. Strauss, Executive Director and Senior Credit Officer, Natixis North America LLC, and RMA NY Chapter Chairman
Brian S. Strauss is an Executive Director and Senior Credit Officer at Natixis North America LLC, where he and his team have responsibility for managing the firm's credit risk to Financial Institutions and Structured Credit counterparties.  Brian also serves as Chairman of the Risk Management Association - New York Chapter (RMA NY) and he is a former Chairman of the Capital Markets Credit Analysts Society (CMCAS). Before joining Natixis, Brian worked for several years as a consultant at PricewaterhouseCoopers and then eDelta Consulting, advising financial institutions on risk management, regulatory and compliance-related matters.
 
Prior to joining PwC, Brian served as Managing Director and Chief Risk Officer of KCG Americas LLC, as well as Deputy CRO of KCG Holdings, Inc. Brian previously served as CRO of Knight Capital Group, a predecessor firm, where he had global responsibility for credit, market and operational risk management. Before being promoted to this newly-created role in September, 2012, Brian had served as Chief Credit Officer of the firm.
 
Brian was previously a Managing Director and Senior Credit Officer at UBS Americas Inc., where he served as Co-Head of Hedge Fund Credit in the Americas. While at UBS, Brian was the primary risk liaison to the domestic and international equities businesses and the exchange-traded derivatives businesses globally.  Prior to joining UBS, Brian was employed by Bank One N.A. as a Managing Director and Capital Markets Credit Officer, where his responsibilities included managing the bank's exposure to hedge funds, securities firms and money managers, and overseeing the ISDA documentation group.
 
Brian received a B.Sc. in finance from Georgetown University and an M.B.A. in finance from the Leonard N. Stern School of Business at New York University.
 
 

 

**Registration can be done online by clicking here. If you prefer, you may submit your registration via fax (914-332-1541) with the following information: 

 

Registration/Invoice Form for the Thursday, September 12th 2019 RMA NY OPERATIONAL RISK MANAGEMENT PROGRAM

 

NAME: 

 

TITLE: 

 

DEPARTMENT: 

 

COMPANY: 

 

ADDRESS: 

 

CITY/STATE/ZIP: 

 

TELEPHONE: 

 

FAX: 

 

E-MAIL: 

 

Please select one:

__DISCOUNT Join/Re-Join and Attend the Program: $110 (Memberships valid until 8/31/2020)

__Members of RMA-NY Chapter: $65

__Nonmembers of NY Chapter: $95

 

Payment Information:

__ Check Enclosed __Please charge my AMEX/Mastercard/Visa 

 

Credit Card Number: 

 

Expiration Date: 

 

Cardholder's Billing Address including postal code: 

 

Name: 

 

Signature: 

 

Policies:

Your membership category will be verified after receipt. If an adjustment is needed due to selecting an incorrect category at checkout, RMA NY Chapter is authorized to place a charge or credit on the card number supplied. All payments must be received prior to admission to meeting. THE OFFICIAL CUT-OFF DATE TO PRE-REGISTER is Tuesday, September 10th 2019. Cancelations must be received 48 hours in advance to qualify for a refund; cancelations after that time and no-shows are liable for payment. 

 

Phone: 914-332-0042 

Fax: 914-332-1541

Register Online at: www.rmany.org

RMA New York Chapter

25 North Broadway

Tarrytown, NY 10591