RMA “Risk Culture and Conduct Risk”

Date: Thursday, July 13, 2017 
Breakfast & Networking: 7:30 a.m. – 8:00 a.m.
Panel Discussion:  8:00 a.m. – 9:30 a.m. 
Venue: TD Bank Tower, 66 Wellington Street West, 54th Floor – Lambert Room
Cost: $20 per person (including tax) includes continental breakfast
Q&A link: https://www.surveymonkey.com/r/ZDK2QFT

We welcome you to join us for our second speaker series event of the year.  This 90-minute breakfast panel will provide an overview of Risk Culture & Conduct Risk, which is a topic that is receiving an increasing amount of interest across the financial industry globally.  Our panelists will discuss the importance of Risk Culture & Conduct Risk, the evolving regulatory landscape and expectations, as well as tools and practices to establish and monitor an effective Risk Culture.  This is also a great opportunity for you to meet other professionals within our industry.

Attendees are requested to submit any questions to the panel, and complete our short, anonymous, pre-event survey by July 6 via the Q&A link above.

Panelists

Kent Andrews, Senior Vice President, Regulatory Risk, TD Bank Group oversees the relationship between the bank and its primary regulator.  Kent’s diverse experience includes over 20 years in banking in both Canada and the US and over 10 years of regulatory experience as the Head of Large Bank Supervision at OSFI and as Advisor to the Financial Stability Board (FSB) in Basel, Switzerland.  In his FSB role, Kent was the lead advisor on the “Too Big to Fail” project and co-authored the FSB report on Supervisory Intensity and Effectiveness.  He is Chair of the BIAC Finance Task Force.

Chuck Gervais, Vice President, Enterprise Risk, Scotiabank is responsible for (among other things) the bank’s risk management framework, risk appetite framework and risk culture.  Chuck hails from Nova Scotia where he earned a Bachelor of Business Administration degree from Acadia University, and a Masters of Business Administration degree from Dalhousie University.

Ernie (Erminia) Johannson, Head, North America Retail Credit and CRO Canadian P&C Banking and Wealth Management, BMO Financial is accountable for providing transparency and insight into the bank’s retail risk appetite and enabling the bank to optimize risk return while ensuring the soundness, quality and performance of the bank’s retail and small business portfolio. Previously, Ernie served as Head, North American Retail Payments and Personal Banking for Canadian P&C where she drove the growth of the Canadian retail and North American payments businesses and championed the customer experience strategy for retail and microbusiness customers.

Jay McMahan, Partner, Deloitte Canada is a Partner and National Leader in Deloitte’s Regulatory Risk practice based in Toronto where he serves clients by helping them address the changes and consequences of evolving governance, risk management and regulatory compliance matters in the financial services industry. Recognized as a complex problem solver Jay has guided organizations through enterprise risk management, Basel capital programs, anti-money laundering program design and remediation, mortgage underwriting reviews, insider trading controls, enterprise compliance program design and assessments and other risk transformation initiatives based on industry leading practices and design thinking. Jay frequently writes and presents on topics including the role of boards in strategy, risk and uncertainty, risk culture and the integration of culture, conduct and compliance. Jay holds a Master of Business Administration (Henley) and Bachelor of Architecture (Waterloo). Jay has worked with many of the world’s leading financial institutions across North America and Europe.

Panel Moderator

Richard Nesbitt, President & CEO, Global Risk Institute is CEO of Global Risk Institute in Financial Services, where he is building a globally recognized research organization in the management of emerging risks. He is also an Adjunct Professor of the Rotman School of Management, University of Toronto and Chair, of the Advisory Board of the Mind Brain Behaviour Hive at the same University. Richard was Chief Operating Officer, Canadian Imperial Bank of Commerce.  He joined CIBC in 2008 following his more than 20 years of experience in the securities industry which included CIBC Wood Gundy from 1987 to 1997. Previously from 2004 to 2008 Richard was Chief Executive Officer of TMX Group which operates the Toronto Stock Exchange.

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