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Dr Roger Noon
Senior Moderator,
1LoD
Roger is an executive coach and culture change consultant working in financial services and healthcare. As a chartered engineer, he spent his formative career in the Ministry of Defence managing avionics programmes. He was a founding partner in a change management consultancy for six years and has been involved in major risk transformation programmes in Deutsche Bank, Credit Suisse, Barclays and HSBC. Most recently, he has led the delivery of risk culture change using a novel approach that helped one client win a prestigious industry award for innovation in developing risk capability.
Sessions
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25-Jan-2022Interactive RoundtableRoundtable: How can surveillance technology be used to demonstrate best execution?
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25-Jan-2022DebateDebate: Holistic Integration of Voice and E-Comms Data
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26-Jan-2022Interactive RoundtableRoundtable: How can surveillance functions be calibrated to reduce false positives without missing potential conduct breaches?
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01-Mar-2022DebateDebate: What Regulatory Risks Will Surveillance Functions Need to Monitor Under the New Administration?
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01-Mar-2022Interactive RoundtableRoundtable: Converting Surveillance Data into Behavioural Analytics
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02-Mar-2022Interactive RoundtableRoundtable: Building a Trade Surveillance Function for SMEs
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02-Mar-2022DebateDebate: Effective Surveillance in the New Virtual Environment
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09-Mar-2022DebateDebate: Balancing Regulatory Expectations with Appropriate Investment Levels
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10-Mar-2022DebateDebate: Maturing Technology: From Sampling to Risk Based
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22-Mar-2022DebateDebate: Where is the industry today with culture change?
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26-Apr-2022Interactive RoundtableInteractive Roundtable: Global v. Regional Surveillance Regulation
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27-Apr-2022DebateDebate: Innovating Trade Surveillance Programmes
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07-Sep-2022County SuiteSuccessfully implementing continuous KYC monitoring for effective risk management and mitigation
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07-Sep-2022County SuiteCollaboration Across the 3 Lines of Defence in the Financial Crime Operating Model: Determining the Role of the 1st Line of Defence
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07-Sep-2022County SuiteCreating Effective Public-Private Collaboration
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04-May-2022Interactive RoundtableRoundtable Discussion: Chief Controls Officer of the Future
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05-May-2022DebateDebate: Leveraging Control Automation
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05-May-2022Interactive RoundtableRoundtable Discussion: The Role of Behavioural Science in the 1 LOD
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24-May-2022DebateDebate: The Evolving Regulatory Landscape for Communications Monitoring
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24-May-2022Interactive RoundtableRoundtable Discussion: Proliferation of Communication Channels
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25-May-2022DebateDebate: Risk Based Surveillance
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25-May-2022Interactive RoundtableRoundtable Discussion: Moving Beyond Lexicons
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07-Jun-2022Interactive RoundtableRoundtable Discussion: How can banks build robust in-house data analytical capabilities for ESG?
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08-Jun-2022DebateDebate: Are Regulatory Expectations and Criteria Aligned with Client Expectation for ESG Products?
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16-Nov-2022Debate: Right Sizing the Coverage of Risk
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16-Nov-2022Debate: Delivering Effective Controls Change Management in the 1st Line
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16-Nov-2022Case Study Session: OLI: Using AI to prevent loss - understand when processes are likely to fail
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16-Nov-2022Debate: The Opportunities for Risk Functions to develop more trusted partnerships with the Front Office
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17-Nov-2022Debate: Managing Culture & Conduct Across the 3 Lines of Defence
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17-Nov-2022Debate: Defining Next-Generation Operational Risk Management
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17-Nov-2022Debate: The Role of the 1st Line in Preventing Financial Crime
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17-Nov-2022Debate: Supporting Supervisors in the Expansion of Evolving Risks
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05-Oct-2022DebateDebate: Ensuring Effective Coverage of Communication Surveillance
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01-Mar-2023Enterprise 2 & 3Actively Fighting and Preventing Financial Crime - Enhancing Innovation
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01-Mar-2023Enterprise 2 & 3Identifying and Delivering Cost Savings and Efficiencies in KYC and CDD processes
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01-Mar-2023Innovating the Financial Crime Operating Model: Determining the Role of the 1st Line of Defence
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01-Mar-2023Enterprise 2 & 3Implementing Effective Public-Private Collaboration to Identify and Mitigate Financial Crime Risks
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01-Mar-2023Enterprise 2 & 3Keynote Fireside Chat
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29-Mar-2023DebateDebate: Voice Surveillance: archiving, data quality and innovation in analytics
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11-Jun-2024Plenary Debate: Charting the Horizon: Risk and Control Landscape in 2024
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11-Jun-2024Boardroom Debate: The Future of Trade Surveillance Programmes
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11-Jun-2024Keynote Interview: James B. Comey, Former Director of the Federal Bureau of Investigation (FBI)
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21-May-2024Debate: Ensuring a Dedicated Fixed-income Surveillance Programme
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21-May-2024Roundtable Discussion: Cross-Product Market Manipulation
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22-May-2024Debate: Achieving Comprehensive Model Risk Management for Trade Surveillance
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22-May-2024Roundtable Discussion: Integration of Trade and Comms Data
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19-Apr-2023DebateDebate: Successfully Implementing Perpetual KYC (pKYC) Monitoring for Effective Risk Management and Mitigation
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07-Mar-2023DebateDebate: Where is the Financial Industry with Culture & Conduct
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08-Mar-2023DebateDebate: Assessing Culture in Risk Management Frameworks
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14-Jun-2023DebateDebate: Using e-comms to identify broader misconduct and culture issues
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01-May-2024Debate: Updating Risk Assessments to Provide Value
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06-Sep-2023Boardroom Debate: Preparing for Anti-Financial Crime Regulations Around Digital Assets and Crypto Currencies
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06-Sep-2023Panel Discussion: Utilising Artificial Intelligence and Machine Learning in Financial Crime Prevention
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15-Nov-2023Plenary Debate: Unlocking the Potential: Building Effectiveness and Efficiency in the 3 Lines of Defence Model
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15-Nov-2023Panel Debate: Managing the Expansion of Non-Financial Risks
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16-Nov-2023Boardroom Discussion: Future Leaders of the 3 Lines of Defence
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16-Nov-2023Boardroom Discussion: Effective Conduct Monitoring Programmes
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16-Nov-2023Plenary Debate: Ensuring the ‘S' of ESG is Built into Risk & Control Frameworks
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28-Nov-2023DebateDebate: Implementing a Risk-Based Approach to AML
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29-Nov-2023DebateDebate: Leveraging AI and Machine Learning: What are the Use-Cases of the Future?
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05-Dec-2023Debate: Mitigating 1st Party Lending Fraud
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27-Feb-2024Opening Panel Discussion: Leveraging Generative AI to Fight Financial Crime
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27-Feb-2024Panel Discussion: Implementing Continuous KYC Processes to Identify and Verify Customers and Mitigate Risks
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27-Feb-2024Keynote Fireside Chat with: General David H. Petraeus, Former Director of the CIA, and Dr Roger Noon, Senior Moderator, 1LoD
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12-Mar-2024DebateDebate: Taking Theory Into Practice: The future of Culture & Conduct
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23-Apr-2024Interactive RoundtableRoundtable Discussion: Keeping it in context: The Capture of Emojis and Slang
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23-Apr-2024DebateDebate: The Rise of Artificial Intelligence (AI) and Large Language Models (LLM)
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24-Apr-2024Interactive RoundtableRoundtable Discussion: Ensuring Effective Calibration of Surveillance
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24-Apr-2024DebateDebate: Expand, Reduce or Maintain? Is it Time to Review the Scope and Coverage of Surveillance?