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Global Financial Markets Intelligence

Global Financial Markets Intelligence

Third Party Risk Management

End-to-end best practice in a vendor risk management program

15-16 Nov 2018
New York City, United States of America


Why You Should Attend

Third Party Risk Management

How will you benefit?

This two-day seminar will cover all aspects of the risk management process and regulatory requirements related to third-party relationships. According to the Office of Comptroller of the Currency (OCC): “Banks continue to increase the number and complexity of relationships with both foreign and domestic third parties.” The same can be said about virtually any financial institution in the world as competition forces them to look at innovative ways to reduce cost and better serve their clients.

Vendor risk management is an important component of a financial institution’s operational risk management program. Financial institutions are accountable for the actions of their vendors and outsourcing partners and, in most cases, will suffer the financial and reputational consequences of their shortcomings.   Additionally, in the aftermath of the financial crisis, regulatory scrutiny has reached beyond financial institutions, to the vendors that support them.

A sound vendor risk management program, including careful planning, due diligence and selection, and close oversight and monitoring during the life of the contract, is necessary to reduce the risks posed by the outsourcing of critical functions.

At the end of this program you will understand the lifecycle of a vendor relationship and be proficient in a methodology that addresses all financial and operational third-party risks and complies with current regulatory requirements.  Applying this methodology, you should be able to identify and assess the risks inherent in the use of third parties, evaluate the effectiveness of controls and determine if the residual risk is within the company’s approved risk appetite.

About your expert trainer:

Mario Mosse has 40 years of experience in enterprise risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry.

Previously, he was the head of Operational Risk Management at Prudential Financial, Inc.  Prior to joining Prudential, Mosse was with The Chase Manhattan Bank, where he held several senior positions in Risk Management and Internal Audit, including Chief Risk Officer for the Corporate Finance Sector and South America Regional Audit Executive.

Mosse has extensive knowledge of U.S. and international financial services and products, including retail and corporate banking, securities brokerage, investment banking, asset management, and life insurance.  He also has in-depth knowledge of risk management and internal control frameworks such as Basel II and III, Solvency II and COSO, including new product development, risk and control self-assessment, key risk indicators, loss event data capture and analysis, capital allocation and control issue tracking and reporting.

Mosse has conducted numerous in house and open-enrolment compliance and risk management seminars in the US and abroad.  A partial list of in-house training courses includes thePeruvian Bankers Association, Central Bank of Malta, Alpha Bank of Greece, Emirates UBD, HSBC, Bank of China, Federal Home Loan Bank and Huarong Xiangiiang Bank.  Open-enrolment training sessions were attended by associates from the major financial institutions in the world.

Mosse is fluent in Spanish and Portuguese. He studied Economic Science at Faculdade Candido Mendes in Rio de Janeiro, Brazil and was a Certified Bank Auditor, holding FINRA Series 7, 24 and 63 licenses

Pre-course questionnaire:

A detailed questionnaire will be sent to all course participants to establish exactly where the group training needs lie. The completed forms will be analyzed by the course leader/trainer and followed by telephone if further clarification is required. As a result we can guarantee that the course is pitched at exactly the right level and that the issues that you regard as relevant are addressed. The course material will reflect these issues and will enable you to digest the subject matter after the event in your own time.

Who should attend?

· Banks,

· Asset Managers,

· Broker/Dealers,

· Insurance Companies and all other financial institutions.

· Supervisors

· Financial Officers

· Risk Officers

· Internal Auditors

· Operational Risk Managers

· Internal Auditors

· Board members

· Compliance Officers

· Financial Officers

· Internal and External Auditors

· Regulators who supervise or examine banks or financial institutions

· CFOs (Chief Financial Officers)

· COO (Chief Operating Officers)

· CRO (Chief Risk Officers)

· CIO (Chief Information Officers)

· CPAs (Certified Public Accountants)

· CBAs (Chartered Bank Auditors)



Why Choose GFMI marcus evans?

marcus evans specialises in the research and development of strategic events for senior business executives. From our international network of 63 offices, marcus evans produces over 1000 event days a year on strategic issues in corporate finance, telecommunications, technology, health, transportation, capital markets, human resources and business improvement.

Above all, marcus evans provides clients with business information and knowledge which enables them to sustain a valuable competitive advantage and makes a positive contribution to their success.







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Event Contact

For all enquiries regarding speaking, sponsoring and attending this conference contact:

Safak Egemen Pippen


11 Connaught Place
London
W2 2ET

Telephone:
+1 212 953 6870
Fax: +61 (2)8088 6090
Email: safake@global-fmi.com