SIFMA AMG Operations Workshop

Managing Operational Risk in Today’s Environment

Date

November 14, 2017

Location

New York, NY

Hosted by

SIFMA AMG

Overview

This workshop will explore how the current operational environment impacts managing operational risk at asset management firms, and what are some of the key strategies firms employ in managing operational risk. As the news about cyber breaches increase and as such breaches intensify, the workshop also covers how firms bridge the gaps between pure operational risk, technology, cyber and data security.

Pricing

Member
Registration Rates $149
Non-Member
Registration Rates $299
Pricing
Member Non-Member
Registration Rates $149 $299

Programs

11:30am – 12:00pm

Registration

12:00pm – 1:00pm

This presentation will discuss the current threat landscape of cyber security, touch on some of the recent incidents and scenarios, and discuss root causes of cyber breaches. The speakers will…

This presentation will discuss the current threat landscape of cyber security, touch on some of the recent incidents and scenarios, and discuss root causes of cyber breaches. The speakers will discuss what asset managers can do outside of technology to prevent cyber breaches by building out second line of defense.

Participants

Shawn J. Connors

Speaker

Shawn J. Connors

Partner, Information Technology and Services

PwC

Shawn J. Connors’s Biography

1:00pm – 2:15pm

As the increasing number of high profile cyber breaches demonstrates, it is critical for asset management firms to have strong IT security capabilities, such as cyber security protocols and testing,…

As the increasing number of high profile cyber breaches demonstrates, it is critical for asset management firms to have strong IT security capabilities, such as cyber security protocols and testing, integrated into the firm’s systems and operations. Bridging the gap between operational risk and cyber security is one of the key areas of development. This panel will outline key cyber security requirements, particularly what regulators are looking for in their examinations, and what practical steps buy side firms can take to integrate data security and cyber resiliency into operational risk. The panel will speak about cyber related key risk indicators, and touch cyber security insurance.

Participants

Etsuko Jennings, Shawn J. Connors, Joseph Haddock, Michael Maffattone, Robert Rosenzweig

Moderator

Etsuko Jennings

Managing Director, Risk Management

Morgan Stanley Investment Management

Etsuko Jennings’s Biography

Panelists

Shawn J. Connors

Partner, Information Technology and Services

PwC

Shawn J. Connors’s Biography

Joseph Haddock

Director, Operational Risk

Annaly Capital Management, Inc.

Joseph Haddock’s Biography

Michael Maffattone

Chief Information Officer

Multi-Mix IT Limited

Michael Maffattone’s Biography

Robert Rosenzweig

Cyber Risk National Practice Leader

Dewitt Stern. a Risk Strategies Company

Robert Rosenzweig’s Biography

2:15pm – 2:30pm

Networking Break

2:30pm – 3:45pm

The operating environment is rapidly changing with new technologies, automation, innovation in products and a constant stream of new global regulations impacting the asset management industry. While regulatory pressures increase,…

The operating environment is rapidly changing with new technologies, automation, innovation in products and a constant stream of new global regulations impacting the asset management industry. While regulatory pressures increase, the fee and cost pressures increase as well. How do asset managers think about operational risk control in this environment? This panel examines operational risk in relation to change management, implementation of new regulations, emerging technologies such as RPA (robotic process automation, machine learning, artificial intelligence), and current data trends such as big data vs. lean data management.

Participants

Louis J. Rosato, III, Bill Beaulieu, Steve Fazio, Jennifer Finnerty, Gavin Little-Gill, Leonora Xhekaj

Moderator

Louis J. Rosato, III

Director, Investment Operations Group

BlackRock

Louis J. Rosato, III’s Biography

Panelists

Bill Beaulieu

Senior Manager

Accenture LLP

Bill Beaulieu’s Biography

Steve Fazio

Co-Founder

Access FinTech

Steve Fazio’s Biography

Jennifer Finnerty

Vice President, Risk Management

PGIM

Jennifer Finnerty’s Biography

Gavin Little-Gill

FinTech Product and Solutions Executive

Broadridge Financial Solutions Inc.

Gavin Little-Gill’s Biography

Leonora Xhekaj

Vice President, Operational Risk Management

Voya Investment Management

Leonora Xhekaj’s Biography

3:45pm – 4:00pm

Open Discussion & Closing Remarks

4:00pm – 5:30pm

Networking Reception

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accomodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900