1LoD

Check our agenda to see when our keynote speaker, Douglas Hurley will be discussing risk management in space at this year’s XLoD Global - New York! Prepare your questions for former NASA Astronaut and Winner of the Congressional Space Medal of Honour, First SpaceX Crew Dragon Commander, Marine Fighter Pilot & Business Executive, Douglas Hurley Whether it is your first time attending or you are returning for another year, join our flagship risk & control conference on 4 June in New York where we will be discussing and debating advancing non-financial risk management across the 3 lines of defence. If you would like information on how you can get involved and the marketing opportunities available to you, please contact Andrew Lennon, Co-Director, 1LoD. Check out the agenda now! (Link in comments) 📍 XLoD Global - New York 2025 - Innovation & Collaboration: Advancing Non-Financial Risk Management Across the 3 Lines of Defence 📆 04 June 2025 #XLoDNY #1LoD #RiskManagement #Compliance #InternalAudit

Is Artificial Intelligence (AI) the surveillance gamechanger? Potentially the biggest gamechanger in market abuse surveillance is technology. AI is the current hot topic across trade, communications, and more prosaic workflow functions, with 74% of people saying that they either already use or are planning to use LLMs (Large Language Models) in their market abuse surveillance functions in the next 12 months. The range of use cases is surprisingly broad, but the more direct use cases for AI / Machine Learning extend beyond LLMs. Find out more by downloading your free copy of the Surveillance Benchmarking Survey & Report 2024. The report is sponsored by: Lead Sponsors: Smarsh, Wordwatch Co-Sponsors: Bloomberg, b-next group, Eventus, LeapXpert, MCO (MyComplianceOffice)

⏳ Just one week to go! Join us as our expert panel tackles a crucial discussion: "Effectively Managing Culture and Conduct Across the Three Lines of Defence." Key questions on the agenda: 🔹 How should roles and responsibilities be clearly defined to enhance accountability? 🔹 What practical steps can organisations take to foster collaboration across the three lines of defence? 🔹 How can culture assurance and audits drive meaningful change? Expect valuable insights from top industry leaders, including: Javier Muñoz del Guayo – Managing Director, Chief Compliance Officer Europe, SCIB Compliance, Santander Nina Joubert– Managing Director, Global Head of Business Risk, State Street Anna Koczwara – Managing Director, Global Head of Culture & Behavioural Insights, Citi Birthe Mester – Managing Director, Global Head Behavioural Insight & Culture Change, Deutsche Bank Chris Spedding – Chief Auditor, Retail Banking & Behavioural Risk, NatWest Group 📢 Moderated by Dr. Roger Noon, Senior Moderator, 1LoD 📅 Culture & Conduct Deep Dive & Annual Report 🖥️ Virtual event & annual report | 18 & 19 March 2025 🕐 13:00-16:00 GMT | 08:00-11:00 ET Join the conversation and gain actionable insights from leading experts. Register now! #CultureandConduct #NonFinancialRisk #Accountability #BehaviouralScience #Leadership

⚠️ It is the final week of discounted tickets for the virtual Comms Surveillance Deep Dive. With two days of debates and plentiful opportunities to participate in a roundtable, you can expect to hear from senior representatives from the leading financial institutions including: Cliffe Allen- Managing Director of Examinations for OTC Derivatives, National Futures Association (NFA) Lindsay Moilanen - Assistant Director, Enforcement, U.S. Securities and Exchange Commission Andrew Brodie- Managing Director, Global Head of GM Business Controls, Bank of America Alasdair Amos - Global Optimisation Lead, Natixis Corporate & Investment Banking 📍 Comms Surveillance Deep Dive & Annual Report 📆 A virtual event and annual report |01 & 02 April 2025 🕐 13.00 - 16.00 BST | 08.00 - 11.00 ET #CommsSurveillance #DeepDive #1LoD

Missed The Financial Crime Summit New York last week? You can now put The Financial Crime Summit London on 11 September 2025 in your diary. Don't miss the opportunity to Strengthen Financial Crime Risk Management through Innovation, Collaboration, and Technology Find out more about last year's event and register your interest https://hubs.li/Q038yz7X0 #fincrime #FinCrimeSummitLon #compliance #1lod

Navigating Third-Party & Cyber Risk: Are You Prepared? 🔐💻 The increasing complexity of third-party risk management, cybersecurity, and operational resilience in financial institutions is no longer optional—it’s critical for maintaining trust, stability, and compliance. High-profile incidents like ION and Snowflake serve as stark reminders of the ever-evolving cyber threat landscape. The ability to detect, respond to, and recover from disruptions is essential for maintaining operational continuity. 📢 Key challenges financial firms must address: 🔹 Managing the biggest threats facing financial institutions 🔹 Aligning TPRM with broader operational resilience and ERM initiatives 🔹 Conducting regular scenario testing & horizon scanning activities 🔹 Staying within impact tolerances ahead of the 31 March 2025 deadline for the operational resilience policy (PS21/3) 💡 Firms must act now to ensure annual reviews, stress testing, and proactive risk mitigation—because the cost of inaction is simply too high. 🔗 Join the conversation on third-party & cyber risk readiness! https://hubs.li/Q039Gtrm0 #CyberRisk #ThirdPartyRisk #OperationalResilience #FinancialServices #RiskManagement #Cybersecurity #SupplyChainSecurity #RegTech #Compliance #ResiliencePlanning

What an amazing and insightful event we had last week. We even dare to say, our best Financial Crime Summit, yet. Thank you to all our knowledgeable speakers, delegates and sponsors for insightful inspiring discussions and new connections. We are already working on our Financial Crime Summit London, stay tuned for updates soon. The Financial Crime Summit New York 2025 was sponsored by: Lead Sponsors: Quantifind, SymphonyAI Associate Sponsors: Accenture, Davies - Consulting Division, Dow Jones Risk & Compliance, eClerx, Encompass Corporation, Feedzai, Guidehouse, KPMG US, Moody's, Napier AI, NICE Actimize, Ripjar Exhibitors: Alloy, Flagright, Greenlite AI, Here™ (formerly OpenFin), Hummingbird, Quantexa, Saifr, Sayari, Sigma360 Coffee Break Sponsor: KYC Platform #fincrime #FinCrimeSummitNY #financialcrime #1lod

With the risk landscape evolving rapidly, organisations must balance innovation with governance, leveraging data-driven strategies to build resilience against cyber threats, third-party risks, and market disruptions. Effective cross-functional collaboration across the three lines of defence will be essential in strengthening risk culture, ensuring adaptability, and improving the overall risk management framework. Debates: Reshaping Effective Roles and Responsibilities in the 1stLine Leveraging Innovative Strategies to Manage Emerging Risks Evolving the 1st Line Through Technology and Processes Transforming the 1st Line to Achieve Robust Control Frameworks RoundTable Discussions: Evolving Risk Assessments Enhancing Risk Culture and Accountability in the 1st Line Key 1st Line Controls The Future of the 1st Line De-siloing the 1st and 2nd Lines of Defence Mitigating Cyber Risks and Third-Party Risk in the 1stLine Find out more about the event https://hubs.li/Q038yS9s0 #1lod #riskandcontrol #riskculture #compliance

We are thrilled to announce that Marion Kelly, CEO Irish Banking Culture Board, will be delivering a keynote address at this year’s Culture and Conduct Deep Dive. Marion has been CEO of the Irish Backing Culture Board (IBCB) since March 2020. She previously worked in Bank of Ireland for over 13 years where she held a range of senior leadership roles across Risk, Strategy, Regulatory Compliance, Operational Risk, Internal Audit and Recovery & Resolution planning. In her keynote address, she will be discussing why the Irish Banking Culture Board was set up, their areas of focus, how we can measure progress on trust and the challenges that lie ahead. Don't miss this unique opportunity to hear directly from the Irish Banking Culture Board. 📍Culture & Conduct Deep Dive & Annual Report 📆 A virtual event and annual report |18 & 19 March 2025 🕐 13.00 - 16.00 GMT | 08.00 - 11.00 ET #CultureandConduct #NonFinancialRisk #Trust #Accountability #BehaviouralScience #Leadership

Comms Surveillance Deep Dive - What you can expect: - Engage with your direct peers globally to exchange insights and experiences in communications surveillance - Engaging debates and discussions on evolving regulatory landscapes and technological advancements in comms surveillance - Insights from industry experts and thought leaders on best practices for meeting regulatory expectations and optimising surveillance programmes - Exploration of challenges and opportunities in utilising AI, NLP, and other advanced technologies for improved surveillance efficiency and accuracy - Practical strategies for proactively addressing compliance gaps, capturing diverse communication channels, and enhancing data completeness - Guidance on resource allocation, prioritisation, and decision-making regarding the scope and coverage of surveillance programmes It's your annual opportunity to meet with peers and address the challenges and complexities inherent in modern communications surveillance, with a focus on regulatory compliance, technological advancements, data capture, and coverage strategies. Have a look at the agenda https://hubs.li/Q038yNfm0 #surveillance #marketabuse #complinance #regulatorycompliance #1lod