Speakers

Speakers

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Tanya R. Weisleder

Core Compliance Services, Conduct Risk Strategy

Credit-Suisse

Matthew Eisenberg

Chief Compliance Officer

Barclays

Matthew Eisenberg is currently the Head of Americas Agency Derivatives Services (‘ADS') for Barclays, and was appointed the Chief Compliance Officer of the FCM on May 12, 2017.

Matt has been with Barclays for the past 6 years. He began his career with PaineWebber (now UBS) as a Compliance Analyst in Branch Review. He held various roles in his tenor there, including roles in Financial Crime / Anti-money Laundering and serving as the Compliance Officer for UBS of Puerto Rico. After UBS, he worked in the Regulatory Investigations Group at Bank of America, covering all areas of the bank, including capital markets, investment banking, retail banking, and card services, specifically focused on matters that presented significant reputational, financial and/or regulatory risk to the bank.

Just prior to Barclays, he was a Senior Manager at Deloitte Financial Advisory Services working on a variety of engagements related to regulatory investigations, complex litigation, and regulatory remediation for International Financial Services clients.

Matt most recently, served as the Americas Head of Regulatory Compliance / Chief of Staff to the Americas Head of Compliance and which he transitioned to from Americas Head of Regulatory Relations for Barclays.

Matt earned a bachelor's degree in History from Gettysburg College (Gettysburg, PA) and his master's in business administration from Rutgers University (Newark, NJ.) He currently co-chairs SIFMA's Compliance and Regulatory Policy Committee's Conduct and Culture sub-committee.

 

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Rock Rockefellar

Director

KPMG

Rock is an experienced Director within KPMG's Operations Risk Management practice. For over a decade, he has been supporting First (Front) Line and Second Line (Risk, Compliance) leaders to define, report, and monitor risk profiles of business units, corporate/shared-services functions, and third parties. He has led / supported multiple risk-capital infrastructure transformation projects, advising on - financial institutions' board and C-suite risk reporting; design, construction, and rollout of operational / enterprise risk management (ORM/ERM) capabilities, e.g., Risk Appetite, Taxonomy, Risk Control Self-Assessment, key risk indicators (KRIs); stress testing, capital and regulatory reporting (NAIC ORSA, DFAST, and CCAR).

Most recently, he has been assisting clients with risk data aggregation (RDA), risk governance, and CCAR-CFO Attestation data lineage / data dictionary design, testing, and reporting. Rock has served clients at US, Hong Kong-China, and Australia-based financial services industry companies.


EXPERIENCE HIGHLIGHTS
Risk-Control Infrastructure Transformation
§ Designed, helped to deploy ERM function for new ventures, business transformation/reorganization
§ Advised Chief Risk Officers (CROs) to build ERM capabilities Taxonomy, Risk Control Self-Assessment (RCSA), Stress Scenario Analysis and Modeling, Risk Policy, Risk Appetite, Limit, and Breach monitoring
§ Developed Key Risk Indicators (KRIs) for use by board, management risk committees, and Risk function personnel to maintain effective challenge over business (risk owners)
§ Guided multiple banks and insurance Internal Audit teams on design/review of ERM programs
§ Evaluated or developed enterprise and operational risk taxonomies, mapping detailed level-3 risks to GRC (BWise, MetricStream) database hierarchies
§ Refreshed the Operational Risk Management (ORM) assessment framework, maturity continuum.
§ Responsible for surveying US companies in the ORX Association and KPMG (member firms in US, UK, EU) joint global research project on Operational-Insurance Boundary Risks

Risk Data & Technology Enablement
§ Assessed adequacy of risk-control data quality, given leading practices, privacy regulations
§ For a middle market bank, led the development of IT Risk Taxonomy (using NIST and CoBIT standards); advised on Cyber security program design
§ Reported on effectiveness of controls to mitigate risks to data and relational databases
§ As IT Auditor, assessed the design and operational effectiveness of Business Continuity Plan and Disaster Recovery (BCP, DR) programs
§ Assessed data completeness and controls-integrity for operational risks (loss event) tracking

Risk-Capital Planning & Reporting
§ Insurance company's risk-capital analysis and reporting:
- Guided multiple insurers' Finance and Risk teams in design, development, or refresh of stress testing and capital planning processes for Own Risk & Solvency Assessment (ORSA) regulatory filing
- Advised on leveraging annual budgeting and forecasting processes to estimate risk capital, stress capital, and to design stress scenarios
- Supported insurer to refine its risk appetite and risk reporting frameworks, assess gaps in scenario analysis and stress testing methodologies
§ Basel: Assisted in design of Basel II diagnostic tool to identify gaps in regulatory capital framework; reviewed effectiveness of internal controls within risk-capital reporting process of a Hong Kong firm
§ Assisted in running and reviewing output of European Embedded Value (EEV) models, presenting modelled results, and drafted model user guide
§ Founded a virtual community of interest (KPMG Hub) on risk-capital stress testing

Technical skills
CCAR Data Lineage/Data Dictionary, CFO Attestation Framework Design/Instructor,
Audit Command Language (Data Analytics software), MS Office tools, Project Management

 

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Caterina Bulgarella

Co-Founder

Be Thread

Dr. Bulgarella is an expert in organizational culture and behavioral ethics. She is the co-founder of Be Thread, a platform of tools and solutions designed to build human-centric work environments, and an active influencer in the field of ethics where she's produced thought leadership for institutions like Ethical Systems and SAI Global. In her 15+ years of advisory work with large organizations, she's focused on advancing ethical practices in business and fostering human-centric work environments. Throughout her career, she has brought a rigorous approach to system design and development — on an organizational, team and individual level — by integrating scientific insights and applied best practices.  She’s helped senior leaders and organizations tackle a variety of challenges, including culture change, ethical transformation, evolutionary leadership, agile work design, and talent development. 

Dr. Bulgarella holds a Ph.D. in Organizational Psychology and Master’s degrees in Organizational and Personnel Psychology from New York University. She serves as an adjunct professor in the I/O psychology Master’s program at New York University (NYU). She is also a regular contributor to Forbes.com where she publishes a bi-weekly column on culture, ethics, and leadership.

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Becky Catanese

Global Head of Product Compliance

Western Union