Culture & Conduct Deep Dive

1LoD

date

Check out the full agenda below.

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Welcome Address

Keynote

5 mins

Chairperson

John Baskott, Co-Founder - 1LoD

Culture and Conduct in 2023, a Regulatory Viewpoint

Keynote

10 mins

Speakers

James Hennessy, Senior Vice President, Head of Culture Initiative - Federal Reserve Bank of New York

Keynote Address: The Financial Service Culture Ecosystem

Keynote

10 mins

Speakers

Andrew Otter, Manager of the Culture and Remuneration team within ESG - Financial Conduct Authority (FCA)

Debate: Where is the Financial Industry with Culture & Conduct

Debate

50 mins

Is there still work to do in the industry on culture and conduct? What does good practice with respect to a culture change & conduct management look like? How can banks develop qualitative approaches ...

Chairperson

Dr Roger Noon, Senior Moderator - 1LoD

Speakers

Toby Billington, Managing Director, ICG Risk and Controls - Citigroup

Mirea Raaijmakers, Former Global Head Behavioural Risk Management - ING

Break

5 mins

Roundtable Discussion: What's New About Behavioural Risk Management?

Interactive Roundtable

40 mins

These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
Roundtable Discussion: Making Purposeful Business, Good Business

Interactive Roundtable

40 mins

These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
Roundtable Discussion: Understanding the Regulatory Expectations on Consumer Duty

Interactive Roundtable

40 mins

These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
Roundtable Discussion: Separating Culture & Conduct

Interactive Roundtable

40 mins

These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.

Break

5 mins

Debate: Understanding the Role of Market Abuse Functions in Management of Culture & Conduct

Debate

50 mins

Is there a regulatory expectation for market abuse functions to better collaborate across risk functions and with the functions that manage culture & conduct? How can surveillance functions help mitig ...

Chairperson

Simon Brady, Editor - 1LOD

Speakers

Rebecca Butler, Head of Group Surveillance - NatWest Group

Alex Posharow, Managing Director, Americas Head of Monitoring, Surveillance and Controls - UBS

James Short, Managing Director, Global Head of FCRM, Global Banking and Markets and Enterprise Head of Anti Bribery and Corruption - Scotiabank

Tom Bubeck, Chief Executive Officer - Fairwords

Closing Summary

Keynote

5 mins

Welcome Address

Keynote

5 mins

Chairperson

John Baskott, Co-Founder - 1LoD

Debate: Realising the Link Between ESG and Culture & Conduct

Debate

60 mins

Why is it important to consider culture when formulating purpose and strategy - and how does your firm do this? What is the role of the 1st Line & Non-Financial Risk functions in managing the cultura ...

Chairperson

David Blunt, Consultant - 1LOD

Speakers

Mark Satterthwaite, Managing Director, Chief Compliance Officer, Europe - Citigroup

Irene Rey, Global Director, Culture and Conduct - TD Securities

Birthe Mester, Managing Director, Global Head of Behavioural Insight & Culture Change - Deutsche Bank

Roger Miles, Faculty Lead, UK Finance Conduct and Culture Academy; author of Culture Audit in Financial Services

Break

10 mins

Roundtable Discussion: Measuring the Success of Cultural Change Programmes

Interactive Roundtable

40 mins

These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
Roundtable Discussion: Understanding the Role of Audit in Culture & Conduct Management

Interactive Roundtable

40 mins

These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
Roundtable Discussion: Ensuring your Culture is fit for Purpose

Interactive Roundtable

40 mins

These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
Roundtable Discussion: Effectiveness of Conduct Monitoring Programmes

40 mins

These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.

Break

10 mins

Debate: Assessing Culture in Risk Management Frameworks

Debate

50 mins

How do you distinguish between risk culture and conduct culture in non-financial risk management? Does what we measure directly correlate to overall cultural strength and weakness? Or are some measure ...

Chairperson

Dr Roger Noon, Senior Moderator - 1LoD

Speakers

Alexandra Chesterfield, Head of Behavioural Risk, Group Internal Audit - NatWest Group

Matthew Conover, Managing Director, Global Head of Conduct Risk - State Street

Ira Goldberg, Managing Director, Global Chief Auditor, Compliance & AML - Citigroup

Ruth Kemmer, Managing Director, Global Head of Front Office Supervision, Conduct and Control, Global Markets - Nomura

Closing Summary

Keynote

5 mins

"The XLoD event was an industry leading event hosted professionally, and bringing in industry leaders and experts from all over the globe to actively debate and share their views on relevant and important topics - for the benefit of firms, individuals and the industry at large. Look forward to the next one!"

Ian Blair, Managing Director, Global Head of Surveillance, Credit Suisse

"With XLoD, the 1LoD team has once again succeeded in staging what I consider to be the premier conference event for the controls community."

Paul Clulow-Phillips, Managing Director, Co-Global Head of Markets Compliance & Global Head of Capital Markets Surveillance, Société Générale

"XLoD had a great line up of presenters and a wide range of views which provided informative and thought provoking content"

Joanne Crofskey, Head of Business Risk & Controls, ANZ

"XLoD was a great event with thoughtful content."

Terri Duhon, Chair of the Board, Investment Management EMEA, Morgan Stanley

Natalie Risacher

"An amazing conference bringing a global perspective on Controls and great opportunity to network worldwide!"

Nathalie Risacher, Global Head Culture & Conduct, Natixis

"XLoD was extremely well organised, seamless for presenters and really useful content for delegates"

Nigel Kirby, Head of Group Financial Intelligence Unit, Lloyds Banking Group

Rajeev Chib Citi

"Great event as always and this time was special as we were able to connect with a wider stakeholder group across multiple time zones. The content was relevant and we had healthy and varying points of view - keep it up, great job!!"

Rajeev Chib, APAC COO Investor Sales, Citigroup

"Top class speakers at a worldwide event. Every audit professional should attend."

Gijs Borghouts, Chief Auditor, Corporate Banking, Risk & Finance, NatWest Group

“Many thanks to all at XLOD for organising a really successful event. The opportunity to gather as an industry to discuss and share our experiences of managing risk during recent times was much needed.”

Chris Hannaford, Executive Director, EMEA, Head of Surveillance and Strategy, Nomura