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KYC Deep Dive Agenda

Check out the full agenda below.

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13:00
  1. Welcome Address
    Keynote
    5 mins
    Speakers
    Jess Jones
    Jess Jones, Director, Head of Content - 1LOD
13:05
  1. Keynote Address
    Keynote
    10 mins
    Speakers
    Lourdes Caballes
    Lourdes Caballes, Associate Regional Director, Division of Examinations - U.S. Securities and Exchange Commission (SEC)
13:15
  1. Debate: Implementing an Effective Operating Model for KYC
    Debate
    50 mins
    • Who should be responsible for setting the framework and the KYC standards across the 1st and 2nd line?
    • What is the optimum operating model to effectively and responsibly onboard new clients?
    • How do you ensure that the 1st and 2nd line are sufficiently empowered for onboarding and KYC processes?
    • How can the culture be moved away from regular reviews to continuous, perpetual, or hybrid KYC processes?
    Speakers
    Ruth Bailey
    Ruth Bailey, Managing Director, ICG Risk & Controls: Financial Crime Lead - Citigroup
    Jonathan Stone
    Jonathan Stone, Managing Director, EMEA Head of Financial Crime - Nomura
    Natasha Meaney
    Natasha Meaney, Global Head of Financial Crime Prevention - UBS
    Simon Brady
    Simon Brady, Editor - 1LOD
14:10
  1. Break
    10 mins
14:15
  1. Roundtable Discussion: Aligning Data Feeds to Create one ‘Golden' Data Source
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
  2. Roundtable Discussion: Embedding Effective KYC Processes in the Culture of the Business' Onboarding Process
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
  3. Roundtable Discussion: Can KYC be Leveraged to Optimise Growth in the Business?
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
15:00
  1. Break
    5 mins
15:05
  1. Debate: Successfully Implementing Perpetual KYC (pKYC) Monitoring for Effective Risk Management and Mitigation
    Debate
    50 mins
    • To what extent is the implementation of perpetual KYC a realistic process for financial institutions?
    • How can banks optimise technologies for KYC in order to surface potentially more risks in real-time?
    • How can banks demonstrate effective KYC so regulators can be satisfied that suspicious activity is being caught in a continuously monitored process?
    • Can event driven review and legacy KYC processes be integrated for a more streamlined approach?
    Speakers
    Robin de Jongh
    Robin de Jongh, Managing Director Detecting Financial Crime - ABN AMRO
    Stuart Muirhead
    Stuart Muirhead, Managing Director, Head of Wholesale Client Services - HSBC
    James Rochford
    James Rochford, Managing Director, Head of KYC Services - Deutsche Bank
    Dr Roger Noon
    Dr Roger Noon, Senior Moderator - 1LoD
15:55
  1. Closing Summary
    Keynote
    5 mins
    Speakers
    Jess Jones
    Jess Jones, Director, Head of Content - 1LOD
13:00
  1. Welcome Address
    Keynote
    5 mins
    Speakers
    Jess Jones
    Jess Jones, Director, Head of Content - 1LOD
13:05
  1. Regulatory Keynote Address
    Keynote
    10 mins
    Speakers
    James Reese
    James Reese, Vice President - FINRA
13:15
  1. Debate: Ensuring Data is ‘Fit-for-Purpose' Across KYC Processes
    Debate
    50 mins
    • Is entity resolution and a single client view achievable with current data resources? Does this facilitate more effective client ownership?
    • Are banks now working with complete data streams and do they provide accurate KYC data to effectively manage and mitigate risk?
    • To what extent do existing technologies enable firms to reduce noise and inefficiencies in KYC processes?
    • How can practitioners maximise the value of technology and its capabilities and ensure explainability for KYC?
    • Can banks create a mature approach for threat typologies and implement peer group segmentation in data?
    Speakers
    Karim Tadjer
    Karim Tadjer, Managing Director, Global Head of KYC - ING
    Jasbinder Athwal
    Jasbinder Athwal, Managing Director, Global Head of Financial Crime - NatWest Markets
    Mark Carawan
    Mark Carawan, Former Group Chief Compliance Officer, Citigroup; and Senior Advisor - 1LOD
14:05
  1. Break
    10 mins
14:15
  1. Roundtable Discussion: What are the Practicalities of a Perpetual KYC Monitoring System?
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
  2. Roundtable Discussion: Does your Organisation's KYC Process Rapidly Respond to Regulatory Action?
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
  3. Roundtable Discussion: Leveraging the Latest Technologies to Streamline Legacy KYC Practices
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
14:55
  1. Break
    10 mins
15:05
  1. Debate: Automation to Optimise Effectiveness in KYC Processes
    Debate
    50 mins
    • How can banks automate the KYC programme whilst incorporating robust risk appetite policies?
    • What are the greatest opportunities for automation in the end-to-end onboarding workflow?
    • To what degree should banks be building their own rather than buying automated KYC processes? How can banks utilise existing vendor technologies to automate more elements of the KYC process?
    • What new skills are necessary in KYC teams to facilitate a fully automated KYC process and provide adequate data analysis to identify risk patterns?
    • Would a more automated KYC process across the industry create an environment that would enable more public-private partnerships?
    Speakers
    C. Michael Raffa
    C. Michael Raffa, Global Head of Financial Crimes Compliance - State Street
    James Lovatt
    James Lovatt, Regional Head of Financial Crime Europe & Asia-Pacific, - TD Securities
    Simon Brady
    Simon Brady, Editor - 1LOD
15:55
  1. Closing Summary
    Keynote
    5 mins
    Speakers
    Jess Jones
    Jess Jones, Director, Head of Content - 1LOD

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