Speakers

Biographies

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Kimon de Ridder, UK Compliance Oversight Director, Aviva

Kimon is the Compliance Oversight Director for Aviva plc, which provides a wide range of insurance and asset management products to over 33 million customers across 16 countries.  Aviva is the largest general insurer in the UK and a leading life and pensions provider. He is based in London and oversees the Compliance program (including Financial Crime) throughout the UK and across all product sets.  Prior to joining Aviva, he spent the past decade with GE Capital in a range of M&A legal roles as well as CCO roles across a range of financial services platforms (primarily, mortgage and monetization products). He started his career with the law firm Herbert Smith Freehills, in London, and was part of their corporate finance practice for a number of years.  He is a frequent conference speaker on compliance issues in the financial services sector.  He holds of Doctorate in Laws and is a board member of the ACAMS UK Chapter.

Imtiaz Hussain, Head of Audit UK, Ireland & Service Delivery Centres, BNY Mellon

Imtiaz Hussain CPA, MBA is the Managing Director and Senior Audit Director at the Bank of New York Mellon currently acting as the UK, Ireland and Global Delivery Centers Head of Audit. His primary responsibilities include delivery of audit projects including culture and conduct reviews, management of seamless Audit Operations and management of diverse group of talents. Imtiaz is a member of the BNY Mellon EMEA Culture and Conduct Council, Global Innovation Council and Emerging Risk Think Tank. He participates in several committees including the Third-party Governance Committee, EMEA Investment Services Committee, India Risk Review Committee and the UK Bank Audit Committee. Imtiaz joined BNY Mellon in 2011 as the Head of EMEA Finance Controls in the Finance organization. Prior to joining BNY Mellon, Imtiaz was a Director of Risk Advisory practice at Jefferson Wells. He holds several certifications in the fields of banking, project management, and technology risk management.

Eavan Garvey, Head of Group Conduct Risk, Bank of Ireland

Eavan is the Head of Group Conduct Risk in Bank of Ireland, having joined Bank of Ireland in 2016. Prior to June 2016, Eavan spent just over 10 years working in Compliance and Regulatory Roles in Ulster Bank Group; with Eavan’s most recent role as Head of Policy and Advice in the Ulster Bank ROI Conduct and Regulatory Affairs team. Of particular note, is Eavan’s considerable experience developing, managing and implementing Conduct Risk Frameworks across a wide variety of businesses.

Over the last year, Eavan has been lecturing on Conduct Risk as part of the Institute of Banking Professional Certificate in Conduct Risk, Culture & Operational Risk.

In terms of qualifications, Eavan has a Law Degree and Bachelor of Arts from National University of Ireland Galway, Eavan is also a Qualified Financial Advisor.

Alison Smith, Internal Audit Director, Barclays

Rajat Baijal, Head of Enterprise Risk, Cantor Fitzgerald

Rajat Baijal is the Head of Enterprise Risk at Cantor Fitzgerald. He is responsible for designing and embedding a robust Operational Risk Framework across the banking/brokerage institution.
Rajat has an MBA in Finance and has previously worked for Lloyds Banking Group and Aviva specialising in global implementation of their Operation Risk Framework.

Ben Jervis, COO, Prime Services, Credit Suisse

Ben Jervis is Head of Business Risk and Controls for Credit Suisse Prime Services, where he implements the firm’s operational risk and control frameworks within the business. This includes; directing the 1st line management of operational risks, running key governance forums, conducting risk & control assessments, overseeing the production of MI and dashboards and maintaining regulatory compliance.

Prior to heading up this function, Ben worked across operational, credit and market risk, spanning a 14-year career at Credit Suisse. Ben holds a Master’s degree in Physics from Imperial College, London. He is also a keen runner and cyclist.

Toby Billington, Managing Director - Global Head of Wholesale Conduct, Deutsche Bank

Toby is an attorney and qualified as a solicitor of the supreme court of England and Wales in 1999. Initially working as a banking and venture finance lawyer within a private practice environment Toby has now been working as an in house advisor to Banks for over 14 years with an emphasis on project finance, structured finance, structuring, asset finance and trading agreements. He has spent the last 5 years concentrating on the areas of conduct, culture and risk management and control in both retail and wholesale banking.
Toby has extensive experience leading teams of lawyers and other banking professionals including teams in risk functions, HR, compliance, operations and conduct. Immediately prior to joining Deutsche Bank Toby was working for the Barclays Retail Banking Executive Committee helping to set up a Conduct Risk Programme for the retail bank leading a team of circa 50 FTE in the implementation of an appropriate conduct risk framework for the Bank.

He has many years of experience in Company governance and ethics and direct experience at board level as an Executive Director, Independent Director and Company Secretary providing legal, regulatory, governance, ethical and commercial advice and challenge, as appropriate.

Helle Meineche, Head of Group Compliance, Danske Bank

Having a background as a lawyer and 18 years of employment within the financial industry, I have broad experience within both non-life insurance, life insurance, reinsurance and banking. I have built my skills and experience from various roles in both corporate, legal and compliance functions, including senior management roles during the last 8 years. Further, I have strong project management experience achieved from corporate restructuring projects, including cross-border merging of financial institutions, and similar strategic initiatives. Today, I am heading a group-wide function in Danske Bank, Group Compliance, having responsibilities within compliance culture across the group, compliance framework and compliance reporting to the bank’s executive board and board of directors.

Heidi Mosbek, Head of Group Business & Technical Audit, Generali

Heidi holds the overall responsibility for the Generali Group Audit Business & technical function consisting of 5 highly qualified technical teams with a global responsibility in the area of Auditing Actuarial, Capital Risk, Underwriting, Claims and Corporate Governance operation. Heidi is a part of Generali IA Global Leadership Team. Prior to her current role in Assicurazioni Generali, Heidi was Head of Compliance for the Scandinavian Compliance Function in RSA (Codan/Trygg-Hansa).
Heidi is a lawyer of background, has headed group legal department in Sparinvest Asset management Group, and before that Heidi had different roles at the Danish Financial Supervisory Authority.

Due to her broad background Heidi possess significant knowledge of the financial sector both from a regulatory, risk/control and business perspective. Heidi’s experience includes a significant international exposure both group internal as well as towards stakeholders and regulators. She aims at delivering strong, supportive business oriented approach without jeopardising professional objectivity and key independency in her roles.

Adrian Clark, CCO, RBC Global Asset Management (UK)

Adrian is the Chief Compliance Officer of RBC Global Asset Management (UK) Limited, the firm responsible for distributing RBC GAM’s products and services in EMEA and for managing over $20bn of assets. He begin his career as a solicitor at Slaughter and May before moving into financial services, advising firms seeking and providing early stage investment capital and co-founding an investment management firm. Adrian has an MA from Oxford University and an MSc in Finance from London Business School. He is a CFA charterholder.

Giles Spungin, Global Head of Operational Risk & Regulatory Compliance Analytics, HSBC

Dr Giles Spungin, PhD(Lon) is a Global Head of Operational Risk and Regulatory Compliance Analytics at HSBC. He is responsible for design and execution of analytics strategy for Op Risk and Reg Compliance functions globally. This involves development and deployment of predictive analytics and modeling capability ranging from automation and behavioural analytics to bank-wide cloud-based solutions. Activity examples include Reg Compliance Monitoring and Testing and surveillance analytics, Economic Capital modeling and Stress Testing programmes. Prior to joining HSBC, Giles worked at a number of leading financial institutions including Goldman Sachs and Deutche Bank.

Neil Duncan, Deputy Chief Risk Officer, Invesco

Neil joined Invesco’s Independent Risk Function as Deputy CRO in September 2016 and is based in Henley-on- Thames. The team provide a framework for the management of all types of risk facing the Group and its clients.

Previously, Neil spent 7 years as Head of Enterprise Risk at Jupiter Fund Management plc. Prior to that, Neil spent 5 years working in Operational Risk in financial services consultancy and capital markets.Neil started his career as a graduate trainee in the Chief Operating Office at F&C Management, having graduated in 2000 with a BA (Hons) in History from the University of Newcastle upon Tyne.

Elizabeth Sheedy, Ph.D., Associate Professor, Macquarie University

Elizabeth Sheedy is a financial risk expert based in the Applied Finance Centre where she has been teaching in Singapore and Australia for more than 20 years. Prior to joining the university she worked for Macquarie Bank and Westpac. She is responsible for all courses in the Risk Management specialisation in the well-regarded Master of Applied Finance program.  In that role she has gained a broad knowledge of all aspects of risk (credit, operational, liquidity, market). A/Professor Sheedy has enjoyed a long association with RMA Australia (Risk Managers’ Association) and PRMIA (Professional Risk Managers’ International Association) and co-edited The Professional Risk Managers’ Handbook. In previous years her research focussed on quantitative risk modelling. More recently her research focus has shifted to the role of governance and culture in determining outcomes for banks. Her current focus research interests are:  risk culture, ethical culture/leadership, remuneration and experimental investigation of risk management behaviour.

Debbie Wright, Senior Manager, Risk, Policy & Controls, Nationwide Building Society

Derek Hammond, Head of Culture & Conduct, Societe Generale Corporate & Investment Banking

Derek Hammond is Head of Culture & Conduct for Société Générale’s Global Banking and Investment Services (GBIS) in the United Kingdom. He is also Managing Director at Société Générale Corporate & Investment Banking (GBIS), where since 2004 he has exercised various management roles including Head of Institutional Equity Distribution UK & Northern Europe, and Global Head of Corporate Marketing & ECM Liaison. Prior to GBIS, Derek Hammond began his career in corporate finance and equities at Canaccord Capital and Credit Lyonnais in London. He holds an LLB (Hons) from the University of London. He joined the Supervisory Board of CFJC Investments in October 2015.

Paul Hammick, Chief Operating Officer & Operational Risk Strategy Director

Paul is the Chief Operating Officer for Conduct, Compliance & Operational Risk with additional responsibility as the Group’s Operational Risk Strategy Director.  This dual role sees him leading the Group’s strategic plans across conduct, customer vulnerability and operational risk in addition to his responsibilities as COO encompassing all aspects of organisational design, capability and oversight plans for the function.  Paul holds a Post Graduate Diploma in Governance, Risk & Compliance from the International Compliance Association and an MBA from the University of Southampton.  He draws on his twenty year career within the Group across a wide range of leadership roles prior to joining Risk Division in 2013.

Victoria Stubbs, Chief Risk Officer, The Cambridge Building Society

Leslie Perry Coombs, Chief of Staff & Operational Risk Programme Manager, UBS

Leslie Perry Coombs has over 19 years of combined experience in external audit, internal audit and compliance across various industries. Her areas of expertise include operational risk management and control, risk framework development, policy development, project & change management and implementation, and process re-engineering. Leslie started working with UBS in 2014 to support in the development and implementation of the UK and Global Conduct Risk Framework. She began her career as an external auditor with KPMG in Chicago. Prior to joining UBS, Leslie spent 11 years with Protiviti which led to her living in Amsterdam for nine of those years.

Douglas Barton, Internal Audit Manager, Virgin Money

Douglas has over 20 years’ experience in financial services across various roles including Relationship Management, Quality Assurance and Internal Audit. Douglas’ main expertise lies in regulatory and conduct risk with a particular focus on the impact to the financial advice market in the UK.
His work involves providing oversight to governance and conduct risk frameworks, regulatory compliance and customer processes.
Douglas is a CFA Charterholder as well as a Chartered Financial Planner and Chartered Wealth Manager and is currently working towards an MBA with Edinburgh Business School.

Laurence Bogni-Bartholmé, EMEA Head of International Risk Oversight - SVP, Wells Fargo

Based in London, responsibilities include providing independent oversight and credible challenge to strengthen operational risk, compliance management and foundational business practices of the EMEA region.

13 years with GE Capital ended with the position of EMEA COO at GE Leverage Finance. Before that, she held various chief risk officer roles in GE Capital, in Corporate Risk and in business lines in EMEA and globally.

Laurence started her career with KPMG and spent 7 years at Credit Agricole Leasing and Factoring in audit and portfolio management before joining GE Capital.

Some of her accomplishments have been the development of Enterprise Risk Frameworks on all risk types, internal controls programs design and implementation, governance frameworks in multijurisdictional and regulated environments, organization and infrastructure redeployment in Operations and Risk, with European centers of excellence, offshoring and outsourcing programs. Laurence led multi-cultural teams in North America, Europe and China.

Tim Minall, Chief Compliance Officer, WorldPay

Tim is Group Compliance Director at Worldpay Group plc. Tim’s role is to lead and direct the Worldpay Compliance Program that oversees all Compliance, Conduct, Regulatory and Financial Crime risk management within the Group. The role leads compliance professionals across Worldpay’s global structure that includes the UK, Europe and the USA.

Tim joined Worldpay after spending 18 years with GE Capital where he held executive  roles across Compliance, Regulatory, Risk and Operations functions. Most recently Tim was Chief Compliance & Regulatory Officer in GE’s UK & EMEA bank group. Previously CCRO within a global $65B trade receivable business transacting in 170 jurisdictions. Earlier GE roles focused on consumer lending, enterprise risk & operations. Tim was credit risk director & growth leader in a $22B UK mortgage business and operations director leading a varied team across regional and international structures.  With a 25 year pedigree working within the financial industry, Tim has demonstrated significant achievements in leading varied cycles and delivering strategic change.

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