Learn how to implement effective risk operating structures that align business objectives with performance metrics.
Many banks and financial institutions struggle with implementing operational risk programs in order to manage nonfi-nancial risks caused by people, process breakdowns, systems, or external events. Some of these risk operations have been challenged by the added complexity to manage and impact, such as cybersecurity/IT disruptions, privacy concerns, and regulatory actions. This topic helps banks and financial institutions implement effective risk operating structures that align business objectives with performance metrics, establish both quantitative and qualitive operat-ing mechanisms to support effective risk identification and management, and develop effective reporting to derive actionable insights and drive accountability.
Agenda
Faculty
Emily Ness
BRG
- Senior Managing Consultant in the Financial Institutions Advisory practice at Berkeley Research Group and is based out of the New York City office
- Works primarily for consumer lending clients and has extensive experience with enterprise risk management, third-party risk management, Fair Credit Reporting Act (FCRA), and regulatory compliance
- Developed a third-party risk management program for a Community Bank’s fintech program as part of a formal agreement with the OCC and oversaw the implementation of the Bank’s fintech IT oversight and the BSA / AML program
- Helped remediate regulatory issues and findings at several financial institutions and has experience designing and implementing issue management programs
- Has worked with multiple financial institutions including Top 20 US banks and large auto lenders to review current state business processes, perform risk as-sessments against state and federal regulations, implement centralized business units to reduce regulatory risk, draft policies and procedures, and perform loan-level testing
Stephanie Ricci
BRG
- Managing Consultant in the Financial Institutions Advisory practice at BRG
- Professional experience in the financial services industry, specializing in banking, consumer finance and asset wealth management
- Has assisted in remediation efforts for a Top 20 US Bank, including root cause identification and action plan creation, provided accounting compliance advisory services related to system upgrades and legal reorganizations as well as audits and assessments for a variety of financial institutions
- Experienced in implementing remediation efforts for business processes, has tested, and developed internal controls, and performed integrated regulatory audits
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