Forum
4th ANNUAL ERM SERIESCONDUCT RISK, COMPLIANCE &CULTURE FORUM IN FINANCIAL SERVICES
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About Conduct Risk
Conduct is a lens into the culture of organisations and improving conduct within the industry is an essential part of rebuilding trust and supporting future sustainable growth and with the regulatory focus on conduct expected to persist, firms will continue to face pressure to be alert and focussed on building trust, confidence and maintaining transparency. IBR’s 4th Annual Conference will be a platform to discuss ways of assessing operationalising risk management and how we can positively implement uplifting risk and compliance frameworks and systems and embed a risk appetite.
Risk Management

How Suncorp are assessing the management of non-financial and compliance risks in the three lines of defence model

Financial Analysis

Managing reputational risk in Financial Services and analysing employee management conduct and ownership and accountability initiatives from management

Trust and Confidence

DISCUSS what can be done to restore trust and confidence and how we can remove ambiguity around risky behaviour stemming from incentives

Accountability Regimes

Accountability Regimes, with much riding on the Banking Executive Accountability Regime (BEAR)

Benefits Of Attending
  • HEAR from Michelle Bain, EGM – Compliance and Reg Affairs, Chief Risk Office talk about how Suncorp are assessing the management of non-financial and compliance risks in the three lines of defence model and reviewing the different challenges posed with managing and measuring non-financial risks
  • LISTEN to James Wood, Managing Director, APAC Reputational Risk Approver, Credit Suisse talking about managing reputational risk in Financial Services and analysing employee management conduct and ownership and accountability initiatives from management
  • ASSESS how conduct risk is managed with an open floor discussion led by : Lisa Chambers, General Manager, Advice Monitoring, NAB and as the discussion takes place, it’s important we discuss how we drive risk culture, what do we define as an effective risk framework and how can we operationalise risk culture through understanding the need for processes and policies to address the root cause
  • DISCUSS what can be done to restore trust and confidence and how we can remove ambiguity around risky behaviour stemming from incentives with a presentation from Campbell Nicoll, Chief Risk Officer, Regional Australia Bank
  • HEAR from Elizabeth Sheedy, Professor, Department of Applied Finance, Macquarie Business School talk about Accountability Regimes, with much riding on the Banking Executive Accountability Regime (BEAR) and whether such regimes work and in what circumstances is BEAR likely to be most effective
Who Should Attend

Chief Risk Officer , Conduct Risk Specialist , Head of Compliance , Head of Internal Audit , Head of Risk Assurance , Head of Risk Models , Chief Compliance Officer , Senior Audit Manager , Group Compliance manager , Regulatory Reporting Officer


CONFERENCE ON DEMAND!
Conference on demand! Includes online access to recordings synced with powerpoint slides of the sessions presented at the conference.

Conduct Risk Speakers
Learn speakers of the 4th annual erm series - conduct risk, compliance & culture forum in financial services.
Group Integrity Officer, AMP Ltd
Senior Executive Leader - Market Supervision, ASIC
General Manager, Advice Monitoring, NAB
Managing Director, Apac Reputational Risk Approver, Credit Suisse
Director, Financial Service Risk Management Consulting, Ernst and Young
Independent Consultant & Advisor
Head of Internal Audit for Wealth, Banking and New Zealand, AMP Ltd
CEO, Governance Institute of Australia
Head of the Ethics Alliance, The Ethics Centre
Chief Risk Officer, MaxCap Group Pty. Ltd.
General Manager and COO, ACI Australia
Head of IT Risk and Compliance & Risk Futurist, Atlassian
Department of Applied Finance, Macquarie Business School
CEO, SlicedTech and AIIA Federal Council Member
Independent Consultant
EGM - Group Customer Advocate at Suncorp Group
Director, Human Rights & Social Impact Services, KPMG
Senior Policy Officer, Business and Human Rights, Australian Human Rights Commission
Director- Risk Advisory, Ashurst
Event Exhibitor
Conduct Risk Schedule
Learn schedule, program and topics of the 4th annual erm series - conduct risk, compliance & culture forum in financial services.
  • Assessing your governance framework against ASIC’s priorities for the year ahead
  • Discovering how ASIC are implementing strategic priorities in the supervision of market intermediaries
  • Understanding how we can improve governance and accountability
  • Why it was bought into play
  • How it was bought up
  • Where it is now?
  • Where it’ll be in the future
  • Analysing employee management conduct and ownership and accountability initiatives from management
  • Implementing the Royal Commission recommendations and discussing a summary of the findings
  • Assessing the importance of trust, transparency and accountability
  • Assessing the management of non-financial and compliance risks in the three lines of defence model
  • Reviewing the different challenges posed with managing and measuring non-financial risks
  • Assessing how the risk organization is set up across the
    three lines of defence to improve agility, transparency and
    effectiveness in the assessment, prioritization and management of non-financial risks

It’s important to recognise that although tone is set from
the top, the middle management and those starting out
are where there needs to be more focus to help develop
the strong ethical foundation needed to allow successful
cultures to flourish.

  • How can we identify an ethical culture? Let’s look for the
    positive signs..
  • Do we need to adjust our language?
  • What difference can The Banking and Finance Oath make?

DETERMINING HOW TO MEASURE RISK CULTURE AND ENHANCE A TRANSPARENCY MODEL

  • What creates fear and how does this influence risk decisions?
  • How can we remove a culture of fear?
  • How can we support mental health, wellbeing and protect human risk?
  • What responsibility does the board and executive level have in respect to risk culture
  • How can we implement a compliance culture from the top down?
  • Making the change from viewing risk as a negative to a
    positive risk mindset.
    • This session will be in a presentation format but allow open Q&A, debate and discussion to take place with the delegation. The following will be discussed:
    • How is conduct risk managed?
    • How can we drive risk culture and what do we define as an effective risk framework?
    • How can we operationalise risk culture through understanding the need for processes and policies to address the root cause?
    • How can we create cohesiveness to manage risk through hiring the right people, providing the right training and
      support programmes?

    CHAIR’S CLOSING REMARKS

    Opening remarks and addressing attendees by the Chair

    • Get the balance right
    • Focus on what counts, not just tick the boxes
    • Conduct/culture needs to be part of your DNA
    • Much is riding on the Banking Executive Accountability Regime (BEAR), but do such regimes work?
    • Is deferred remuneration effective for improving executive conduct?
    • What are the possible adverse consequences of the BEAR and deferred remuneration?
    • In what circumstances is BEAR likely to be most effective?
    • Find out about research in this area

    Risk professionals who typically seek to understand risks to business must now more than ever in the Covid-19 context put people at the centre of their considerations. Taking a people-centred approach to your decision making can help you to make sense of vulnerabilities and prioritise actions which will mitigate harm. A key driver is the introduction of the Modern Slavery Act 2018 (Cth) which makes boards responsible for public statements about their entities’ efforts to assess and manage the risk of modern slavery in operations and supply chains.
    KPMG Australia and the Australian Human Rights Commission are collaborating to support business to better understand these types of risk: In this session we’ll look at:

    • Modern slavery and human rights risks for the financial
      services sector
    • How to apply a risk to people lens
    • Examples of key actions your peers are taking here and
      around the world
    • How are companies dealing with the guidance on whistleblowing?
    • How are we operationalising the policy?
    • Does it apply to you and what were the changes?
    • How are we tracking in revamping the design programme and policy in conjunction with the changing legislative landscape?

    Session Reserved for UniSuper

    • Uplifting risk and compliance frameworks and systems
    • Embedding risk appetite
    • Articulating desired state of risk culture
    • Risk culture diagnostics
    • Alignment of remuneration with desired risk outcomes
    • Conduct risk management frameworks

    PANEL CHAIR:

    Stephen Huppert, Director, Stephen Huppert Consulting

    PANELLISTS:

    Jason Theng, Chief Risk Officer,
    Mine Super

    Jason McClure, CEO, SlicedTech and AIIA Federal Council Member

    Tony Woods, Chief Risk Officer, MaxCap Group Pty. Ltd.

    Gwladys Tedga, Director- Risk Advisory, Ashurst

    • Making a change – how can we create the agility to respond to customer’s needs with the openness required to run a business and managed risk combined?
    • How can we create transparency as the end goal in the equation with the right people who have the right values?
    • Is mismanagement at the core of the problem and if so, what should we be doing to build the foundations to manage risk and compliance to the best of our ability?

    The importance of risk culture has been highlighted both through the Royal Commission, and by regulators across the world.

    • How do you manage risk culture?
    • How do you know that your risk culture is appropriate?

    This presentation will cover what contributes to an overall
    culture, roles and responsibilities in setting, embedding
    and monitoring culture, and how to measure/ understand
    the culture you have (and how to move towards the
    culture you want)

    Closing remarks from the chair.

    Registation Packages
    Learn about registation Prices and offers for 4th annual erm series - conduct risk, compliance & culture forum in financial services.
    ON-DEMAND ACCESS PRICING
    ON-DEMAND ACCESS TO SESSIONS
    $290 + GST

    Includes online access to recordings synced with PowerPoint slides of the sessions presented at the conference.

    Click on the button below and fill the form to confirm your registration.

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