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A 20 minute showcase of a news-style programme exploring the impact criminal activity has on both businesses and individuals and the importance of the compliance function as an enabler of ‘good’ business through education, advice and providing solutions.

Bill Howarth, ICA Exective President  

Simon Dunlevy
, FICA, Conference Chair, Head of Conduct, Compliance and Operational Risk, Lloyds Banking Group

Nicolas Joseph, FICA, Director and Global Head of Intelligence Unit, Deutsche and;
Paul Asare-Archer, FICA, Director of Compliance, Telefonica UK;
Vivek Padmanabhan, FICA, Head, Compliance, Transaction Banking, AME

What skill sets do you need in the future? How will future risks shape the skill sets required? What can compliance professionals do now to prepare for the future? What can we do as an industry to help new people enter the profession with the right skills? These and other questions will be discussed.

1. How do I make RegTech work for my business? A non-technical discussion about implementing compliance software.

Fiona Hipkiss, FICA, Managing Director, Hines Europe Ltd

Compliance professionals often have to be a jack of all trades in our efforts to build and maintain a best in class compliance program - and this increasingly includes navigating the complexities of RegTech implementation. This discussion, led by a self-proclaimed digital immigrant, will explore three stages of implementation: selection, configuration and roll out. Learn lessons from our implementation of two online software solutions in a global business. Consider which business functions are needed to support the project; learn some key tech terminology; discuss tactics for employee engagement; and get excited about the possibilities for reducing compliance risk with better data and reporting.


2. AML audits – are you asking the right questions?

Dawn Fisher, FICA, Deputy MLRO at Arbuthnot Latham & Co.

An enterprise-wide AML risk management program is more than Know Your Customer. Asking the right questions as part of a meaningful audit of the AML governance framework dramatically impacts the usefulness of the results. Dawn’s session will consider the practicalities of the AML audit and how to conduct an audit that will provide meaningful outputs which can be fed back into the ongoing enterprise-wide risk assessment, rather than simply creating a table of audit points to close and forget about.


3. Compliance in the legal sector or financial services - two sides of the same coin?

Samantha Pointon, FICA

Samantha will use her unique personal perspective to explore what the legal and financial services sectors can learn from one another, and how developing an effective professional network as your career develops can add real value to the modern compliance practitioner.


4. How can I raise my professional profile and why should I?

Jenny Kovacs

Understand the essential steps it takes to raise your professional profile, get to know the quickest and best approaches to enhance your visibility and have you heard especially when having those Big Compliance Conversations. Have you ever been shown effective ways to build and refine your personal success to raise your professional profile? This session will demystify how Visibility makes you memorable and magnetic.


5. Going beyond the public domain - how does Business Intelligence enhance risk management?

Speaker from Refinitiv

Publicly available information has been the mainstay of understanding customer risk. But is it ‘enough’? In this session, Refinitiv will discuss real case studies involving Source of Wealth information to illustrate the value of the deploying business intelligence researchers with networks of personal contacts. This additional insight can mean the difference between accepting the information that you have, or uncovering the true picture behind the complex schemes designed specifically to mask it from the public domain.


6. Are you a compliance leader?

Compliance professionals are increasingly at the forefront of business critical decisions. Engaging with the business, influencing stakeholders, managing teams. We need to be leaders. So how would you rate your leadership skills? In this session, we’ll be looking more at leadership to provide you with some insight into this area, along with some practical hints and tips.

 

1. Crypto risk - old dog, new tricks?

Anthony Eskander

Anthony has worked extensively with organisations who are encountered cryptocurrencies by design or by accident. Both bring the potential for exposure to financial crime. How do you decide your risk appetite and manage relationships with crypto assets in a way which enhances business rather than threatens it?

2. How can I raise my professional profile and why should I?

Jenny Kovacs

Understand the essential steps it takes to raise your professional profile, get to know the quickest and best approaches to enhance your visibility and have you heard especially when having those Big Compliance Conversations. Have you ever been shown effective ways to build and refine your personal success to raise your professional profile? This session will demystify how Visibility makes you memorable and magnetic.


3. Is this a new era for transaction monitoring?

Sarah Tariq

In this forward looking session, Sarah will be exploring all things transaction monitoring and considering the evolution of transaction monitoring in these digital times. Gaps in current monitoring approaches will be considered, along with techniques for optimisation. Can we shift transaction monitoring from the traditional rule based approach to a holistic view? What does robust training look like in this area and how can it be a tool to bring wider benefit? These questions and more will be discussed.

4. Do businesses need a Director of Compliance?

Paul Asare-Archer, FICA, Director of Compliance – Telefonica UK (O2)

As the prominence of the Compliance function continues to rise, the regulated sector is beginning to see the increased creation of the Director of Compliance position. However, many businesses below the upper echelons of the FTSE 100 still choose not to have Compliance representation at their most senior level. Indeed, of the upper quartile FTSE 100 very few have a dedicated Compliance position. Shouldn’t Compliance be as important as Marketing, Sales, or Finance in terms of Board prioritisation? In this talk, Paul Asare-Archer, a Fellow of the ICA, and Telefonica UK’s first ever Director of Compliance, talks about his own career journey, and what he feels are the benefits that Telefonica UK (O2) has derived from having a Director of Compliance. Are these benefits transferable across any business? Or is this dependent on the effectiveness of the Compliance function, personality of the Compliance Officer and culture of your business? This talk will challenge your own perspectives and create a discussion point as to whether Compliance should now sit on every Board.

5. Have you bench-marked your financial crime risks?

Richard Smolicz, Director AML, CTF, Sanctions and ABC. Nationwide

Richard will facilitate an interactive Chatham House rules session whereby participants will discuss in small groups the current FC challenges and risks faced by their own organisations, and why. The following all-group feedback session will produce an output of a benchmarked and ranked list of FC risk priorities - and generate some lively debate!

6. RegTech for FinTech: How can compliance work more effectively?

Chye Kit

As regulations become increasingly complex, it can be challenging to keep pace with requirements. In this session, Chye Kit explains the latest trends in Regulatory Technology and how he has been able to combine deep regulatory and compliance expertise with smart use of functional and innovative technologies to offer effective, automated solutions to risk management.

1. Is it time to look beyond systems and controls?

Tyrone Griffiths, FICA

Using his personal experience of the LIBOR investigation as a backdrop, Tyrone will be discussing the evolving nature of risk, where and how it can manifest, the cultural implications and why we need to look past systems and controls to the roles of both first and second line staff.

2. Crypto risk - old dog, new tricks?

Anthony Eskander

Anthony has worked extensively with organisations who are encountered cryptocurrencies by design or by accident. Both bring the potential for exposure to financial crime. How do you decide your risk appetite and manage relationships with crypto assets in a way which enhances business rather than threatens it?

3. How risky is the third sector?

Trevor Barratt, FICA.

The third sector encompasses community and voluntary organisations (including registered charities) social enterprises, mutuals and co-operatives. Charities and voluntary organisations are often considered as high risk customer types by financial institutions. Conversely, third sector organisations (such as mutuals) often consider themselves low risk for financial crime. So who is right? Trevor is a NED at a Building Society, Quality Director at the Fairbanking Foundation and Executive Director for a risk advisory business, and will be taking us through the different perspectives, based on his own experiences.

4. What role should compliance play in digitisation initiatives?

Vivek Padmanabhan, FICA

Compliance professionals are increasingly required to assess digitisation initiatives and provide advice and/or sign-off. But is there enough help available in terms of understanding of the innovation types such as Application Programme Interfaces (APIs) and Artificial Intelligence, and the risks they pose from a business and regulatory standpoint? Vivek will help guide you through some of the key risk themes and considerations you face when in a digital change situation.

5. How ethical are you?

Murray Grainger, Founder of Impact on Integrity

As compliance professionals, we all assume we act in an ethical manner. But can that be challenged? Might the way we behave change if we consider the ramifications of our actions? In this interactive session, Murray will use a number of branching scenarios to draw out what ethics means and whether any situation is black and white and provide tools to aid more effective conversations.

6. Are you a compliance leader?

Compliance professionals are increasingly at the forefront of business critical decisions. Engaging with the business, influencing stakeholders, managing teams. We need to be leaders. So how would you rate your leadership skills? In this session, we’ll be looking more at leadership to provide you with some insight into this area, along with some practical hints and tips.

Jason Fox

Jason Fox is a former Royal Marine Commando and Special Forces Sergeant. Now you are most likely to find him on our film & television screens and giving us a taste of action and adventure around the world. Jason joined the Royal Marine Commandos at 16, serving for 10 years, after which he passed the gruelling selection process for the Special Forces, serving with the Special Boat Service.

Join Jason Fox as he discusses his deployment in the Middle East and meeting the world’s most dangerous Drug Lords in South America. Jason has first-hand experience of fighting crime and following the lives of individuals stuck in the devastating and life threatening world of money laundering and drugs trafficking. He will discuss these experiences and the genuine social impacts that compliance professionals work tirelessly to achieve.

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