The 1LoD Summit is the largest US event dedicated to the front office risk and control function within the business. Topics include Supervision, Control Assurance, Conduct Risk, Surveillance, Rogue Trading and much more.


The 2018 New York 1LoD Summit gathered over 180 professionals. To read a summary of what was discussed at the last event, view audience polls and find out who attended you can download the post-event report here.


The 2019 Summit was even larger, welcoming over 210 delegates for a one-day event combining keynote presentations, one-on-one interviews on stage, panel discussions, workshops, boardroom style interactive sessions, intimate roundtable discussions and an exhibition of the leading technology and services in the market.

The Summit also feature the latest audience interaction technology to ensure maximum engagement between speakers and delegates, even before the event.

The 1LoD Summit is designed for those working in risk and control functions in the front office and individuals working in the 2nd and 3rd lines of defence interested in how they can work most effectively with their peers in the 1st line. 



What are people saying?

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Mary McNiff

Managing Director, Chief Auditor,


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Sheelah Kolhatkar,

Financial Columnist at The New Yorker & NY Times, Bestselling Author of Black Edge

Jee Kymm

Managing Director, Chief Compliance Officer N.A & COO for Independent Compliance Risk Management,


Post Event Report

For more information about the 2018 New York summit, you can download the post-conference report here.

“Congratulations on another excellent conference. Your work is making a really big contribution to the industry”   


Darren Jarvis, Managing Director, Global Head of Business Controls and Supervision, Markets Division, Citigroup

Summit Agenda

To view the current agenda for summit, featuring all sessions, speakers roundtables and more, please fill in the form below. If you have any issues please do not hesitate to contact us. 


Lead Sponsors

Associate Sponsors

Exclusive Sponsor Content

Below you can access exclusive content from our sponsors. Content includes: 

  • PwC: Thinking Beyond Costs in Capital Markets

  • PwC: Intelligent Automation in Capital Markets Operations

  • PwC: Key Points from FINRA and SEC's 2019 Examination Priorities

  • PwC: The Supervisory Framework: Building a Stronger Defense

  • PwC: Risk and Finance Alignment – The Path Forward

  • PwC: LIBOR’s End: How Financial Firms can Prepare for New Reference Rates

  • Soteria: Case Study - Futureproofing Compliance, E-Surveillance & Operational Efficiency for Helm Godfrey

  • Soteria: Regulatory Compliance – The ‘Fire Alarm’ Test for Financial Services

  • Soteria: An All-in-One Solution for Compliance, Surveillance and Risk 

  • Soteria: Interview with Founder & CTO of Insightful Technology & Creator of Soteria™, Rob Houghton

  • Soteria: The Journey of Compliance and Surveillance - The Unrealistic ‘Utopia’ and the Tangible ‘Art-of-the-Possible’

  • VoxSmart: Adopting a Unified Surveillance Strategy

  • Accenture: 2018 Compliance Risk Study

  • Accenture: Know Your Customer Transformation

  • Accenture: Leveraging Machine Learning Within Anti-Money Laundering Transaction Monitoring

  • Accenture: Operational Transformation of Anti-Money Laundering Through Robotic Process Automation

  • Accenture: Balancing internal, external and virtual workforces: an evolving anti-money laundering operating model for 2020

  • Digital Reasoning: Conduct Surveillance: Intelligence Lies at the Heart of Every Good Defense Strategy

  • Fonetic: Break Silos and Detect Fraud Faster

  • Fonetic: Protect Your Most Vulnerable Channel

  • NICE Actimize: Markets Surveillance Buying Guide

  • NICE Actimize: Next Generation eComms Surveillance Buying Guide

  • Norton Rose Fulbright: Regulatory Compliance Consulting Brochure

  • Norton Rose Fulbright: 5 Things We Still Get Wrong When Onboarding Clients

  • Norton Rose Fulbright: 5 Key Improvements Firms Must Make When Using Conduct Risk Metrics 

  • Promontory: Minding Your Business (While Minding Your Business)

  • Promontory: Tailored Solutions to Meet the Increasing Regulatory Expectations for Asset Managers

  • Promontory: Monitoring Electronic ties Communications of Personnel at Regulated Financial Services Entities

  • Promontory: The Evolving Role of the First Line of Defence in Managing Conduct Risk in Wholesale-Markets

  • Relativity: Introducing Relativity Trace

  • RIMES Technologies: RegFocus Market Surveillance



Intelligence for Risk and Control Professionals

Tel: +44 (0) 2071124930

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