Agenda

Agenda

Agenda

 

Day 1 - Wednesday 13 November 2019

08:30

Registration and refreshments

            

09:00

            

Governing, creating and implementing an op risk framework

  • Background – drivers of risk management, high levels of enforcement and fines?
  • Designing effective op risk governance:
    • Common risk language
    • Risk management steering committees
    • Linkage to policy framework
    • Building blocks for information security risk
    • Roles and responsibilities across the board
  • Implementing a proper 1st, 2nd and 3rd LOD
  • Non-financial risk, enterprise risk & op risk – differences and similarities
  • Challenges and opportunities for op risk framework

Speaker: Rhiannon Richardson, GM risk, National Australia Bank

10:30

Morning break

            

11:00

            

The link between op risk and regulatory compliance

  • Non-Financial risks – a definition
  • Trends and challenges 
  • How can compliance and Ops risk be successful togethe

Speaker: Claire Shelswell, Senior manager GBM regulatory compliance, HSBC Bank Australia

12:00

Lunch

            

1:00

            

Risk appetite

  • Definitions: appetite vs. tolerance?
  • How do ‘Risk Appetite Statements’ differ? What do they look like?
  • Who should own the risk appetite?
  • How can you utilise risk appetite to drive forward business strategy and decisions?
  • Where does the risk appetite fit within the broader operational risk framework?
  • Key indicators – monitoring and governance

Speaker: Anthony Rizzo, Senior principal, governance risk and compliance leader, enterprise risk and corporate functions, Mercer

2:30

Afternoon break

3:00

RCSAs

  • What is an RCSA, what is the purpose and added-value?
  • How to obtain value from RCSA
  • Trends across geographies
  • Reporting and quantifying results
  • How do you align risk appetite with RCSA?
  • Best practice for maintaining effectiveness of RCSAs

Speaker: Joanna Faux, Head of operational risk management, Optiver Asia Pacific

4:30

End of day 1

Day 2 - Thursday 14 November 2019

08:30

Refreshments

09:00

Examining the royal commission and assessing best practice for risk culture and remuneration – part one

  • Problems at the heart of the misconduct
  • What is risk culture, how can I embed it throughout my organisation and how can I measure it?
  • Remuneration, challenges, and future changes in remuneration practices
  • Conduct risk – what is it, and how can I build an effective conduct risk framework?

Speaker: John Gallagher, Head of global regulation risk, governance and tax, QIC

10:30

Morning break

            

11:00

            

Examining the royal commission and assessing best practice for risk culture and remuneration – part two

  • How to define, understand and measure risk culture
  • Ahead of the broader roll out of BEAR in Australia, what can organisations learn from the UK Senior Managers and Certification Regime?
  • Case study: How to build an effective compliance assurance and monitoring program
  • How has the Royal Commission impacted risk and compliance professionals and what does the future risk and compliance professional look like?

Speaker: John Gallagher, Head of global regulation risk, governance and tax, QIC

12:30

Lunch

1:30

Controls and KRIs

  • External environment – why the focus on controls and KRIs
  • How controls and KRIs can support/reference corporate strategy
  • The characteristics/design of good controls and KRIs (and common pitfalls)
  • How to leverage existing data and processes
  • Connecting the dots to see a bigger picture
  • How controls and KRIs support culture and conduct

Speaker: Emma Murphy, Head of risk, compliance and customer marketplace, Suncorp Group

3:00

Afternoon break

3:30

Embedding a scalable, efficient, and effective Enterprise Risk Management  framework

  • BlackRock’s journey in implementing ERM throughout Australia and the region
  • Key success factors and challenges
  • How automation brings a more proactive approach to BLK’s risk management journey

Speaker: Dominic Keh, Director, head of enterprise risk management, BlackRock Australia

5:00 

End of course