Francisco Javier Ruiz Garcia
Executive Director – Asia Pacific Head of Operational Risk and IT Cybersecurity risk
Javier is since 2016 the Regional Head of Non -Financial Risks control in Banco Santander Asia Pacific. In the current role, he assumes full responsibility of Operational risk control, SOX Internal control and IT & Cybersecurity Risk control, previously during 3 years he was managing the Operational risk and IT Risk in Change Management in Banco Santander Group Headquarters (SCIB). Prior to work in Banco Santander , Javier was working during 10 years in Ernst & Young as Executive Director of Risk Advisory Area in the specialties of Operational risk, Technology risk, and Cybersecurity Risk working in different countries across Europe, UK and Asia Pacific.
Javier is Economist specialized in Operational risk and information security risk in t and holds an Executive MBA by IE, one Master in Corporate Finance in Investment Banking and one Executive Development program in Financial Innovation and Technology by IEB, He also acquired professional qualifications including , CISA, CISM, CRISC, CIA, CCSA, CFSA, CRMA.
Managing Director, Regional Head of Technology Business Control
State Street Bank
Regional Head of Technology Business Controls for State Street Bank, responsible for 1st line technology operational risk management across APAC. He has over 25 years of experience in diverse strategic and hands on leadership roles in the industry. Prior to State Street was the Head of Asia Risk at Morgan Stanley IM and earlier with ING as Chief Administrative Officer for ING Investment Management's India business and Asia Pacific Head of Non Financial Risk. In these roles he has held responsibility for Enterprise Risk Management, Operational Risk, IT Risk Management and Infosec. He holds an MBA, is a certified Financial Risk Manager (FRM), CISSP and is a doctoral research student.
Audit, Operational Risk and Compliance Professional
Frankie is a CPA qualification holder with 15 years of experiences on audit, operational risk and compliance.
A high-calibre professional seasoned at risk and control, compliance advisory in the financial industry.
Started his career in 2004 as a financial auditor and transformed into a management consultant within PwC.
Joined HSBC in 2011 to deepen business acumen and expertise via hands-on experiences over
different de-risking projects (e.g. FATCA, FCPA, Client Due Diligence, the US DPA compliance program);
operational risk (hosting risk governance forum for Asia, internal process and control streamlining, risk assessments, training delivery, outsourcing / 3rd party vendor framework, as well as promoting awareness over cyber security risk).
Being Asia head of staff dealing compliance providing compliance advisory to over 36,000 staff in 19 jurisdictions and aligning local procedures with regulatory requirements and global policies, with extensive experiences in outsourcing processes and controls on staff dealing from Control Room to shared service centres in Guangzhou China and Bangalore India.
In 2019, Frankie has joined an investment bank as the Asia lead of operational risk function covering 11 jurisdictions in Asia with focus over HR and business services.
Akhil Maria is currently Head, Operational Risk Management for Asia Pacific based in Hong Kong. ORM is a global organization within the Franchise Risk & Global Strategy Group and is tasked to proactively assist the businesses, Operations and Technology and other independent control groups in enhancing the effectiveness of controls and managing operational risks across products, business lines and regions. He is part of the ORM Global Executive Committee and in his role as the Asia Regional and Legal Vehicle Operational Risk Head, he partners with Senior Risk Management within 1st Line of Defense and Regional Chief Risk Officer (CRO) to provide guidance and oversight to the Business on effective implementation of the ORM Framework focusing on: a) providing regional expertise and a generalist perspective across the broad range of businesses and countries within Asia, b) effective challenge, verification and validation of key control/compliance issues and emerging risks, c) anticipation, mitigation and recovery operational risk events, and d) identification, analysis and mitigation of emerging risks Earlier, Akhil joined Citi in 1991 and has worked across functional areas covering Business, Product management, Operations & Technology and Client Service. He has worked on numerous transformational initiatives in Wealth Management, Credit Cards and supported client initiatives in areas such as new product launches, process excellence, risk and controls mitigation. He has worked across geographic locations in India and in EMEA, where he was involved in the start up of the Consumer Banking business in Poland. He subsequently moved to help set up the regional COE for O&T in India eventually called eServe, where he ran large teams supporting Citi’s global businesses as Chief Operating Officer, Consumer Bank Operations.
Executive Director / Head of Regulatory Affairs and Projects, Global Markets, Asia Pacific
Christopher Tam is an Executive Director in Global Markets at BNP Paribas. Mr. Tam joined BNP Paribas in Jan 2016. He plays an active role on key regulatory reform topics and drive the implementation in the Global Markets Front Office. He has been in the banking industry for more than 20 years with recent 10 years focus on regulatory management and the G20 reform topics.
Chief Operating Officer
Mohit is a seasoned Operations & Risk Management professional with 20 years of multi-country experience in Asset Management, Life Insurance & Consumer Banking industries. He has both broad and deep understanding of Asia region’s complex regulatory, business and cultural operating environments, gained through Regional and Country roles in Singapore, Hong Kong, Malaysia and India.
Starting his career with GE Capital in India, he worked across Sales, Operations and Six Sigma functions before going on to head the risk function in the country. Later he joined Prudential Plc to establish the Risk Management function for its Joint Venture with ICICI Bank, the leading Private Bank in India. Subsequently he moved to Singapore as ‘Head of Operational Risk and Financial Crime Compliance’ for Singapore and Hong Kong businesses of Eastspring Investments, the asset management arm of Prudential Plc. Later he moved to the First Line of Defense as the Chief Operating Officer of Eastspring Investments Malaysia where he heads entire Operations, Client Servicing, Digital Transformation & IT Functions.
Mohit is a certified Six-Sigma Black Belt and also a Claritas Certificate Holder from the CFA Institute.
Managing Director, Senior Risk Manager, Asia-Pacific
Dominic Wu is the managing director and senior risk manager at Bank of New York Mellon, covering APAC risk activities. Dominic has over 20 years of experience in banking, securities, asset management and consultancy. He is a qualified accountant, fraud examiner and professional risk manager and received his MBA from the University of Hull in the UK.
Dominic is often sought to speak on risk management and provides training to regulators, universities, financial institutions and professional bodies. He is the founding member of the Asia Financial Risk Think Tank and chairman of the Hong Kong Chapter of the Institute of Operational Risk (IOR).