Shifting the Dial on Conduct Risk Management

4:00 PM AEST 5:00 PM AEST
RMA Australia
18
May

Shifting the Dial on Conduct Risk Management

4:00 PM AEST 5:00 PM AEST
RMA Australia

We’ve all seen the newspaper headlines. Financial institution fined over forex scandal. Bank admits wrongly selling insurance. Billion-dollar hit as royal commission customer-remediation costs double. 

Each organisation is made up of individuals who collectively have an expected standard of conduct, but what happens when we fail to meet that standard? How can we drive individual behavioural change in a group environment? And, what are the best practices to help us shift the dial to improve customer outcomes? 

The RMA is pleased to bring to its members, a panel of thought leaders on Conduct Risk, hosted by NAB. 

Join us as we discuss: 

  • the way we think about Conduct Risk 
  • the key challenges and drivers of Conduct Risk 
  • the best practices to help us shift the dial on Conduct Risk 
  • learnings from academic research into Conduct Risk   

Further Information:

The Panellists:

Louise Macaulay, Chief Supervisory Officer, ASIC

As ASIC’s Chief Supervisory Officer, Louise leads ASIC’s Supervision Group, which conducts the Close and Continuous Monitoring program for Australia’s major financial institutions, and ASIC’s governance oversight work. Louise oversees ASIC’s program of institutional supervision, working with ASIC‘s senior executives to develop and execute ASIC’s conduct and risk oversight of major financial institutions. Louise has more than 25 years’ experience in law and regulation. She has previously held senior leadership roles in ASIC’s financial services, legal and enforcement teams.  

 

Diana Quinn, Partner, Risk Consulting, PWC

Diana is a partner in PwC Risk & Reg with 20 years of global experience in risk transformation roles both in the financial services industry and through a broad range of advisory assignments. She leads the Melbourne Risk & Reg practice. Diana recently moved to Australia and brings global strategic insights and consulting experience from a diverse set of FS clients across UK, Europe and most recently in Asia.  

 

Professor Elizabeth Sheedy, Risk Governance Expert, Department of Applied Finance, Macquarie Business School

Professor Elizabeth Sheedy is a risk governance expert based in the Department of Applied Finance of Macquarie Business School. She teaches in the Master of Applied Finance program and the Global MBA program. Since 2012 her research focus has been risk governance, culture and remuneration in financial institutions. This work has enabled Elizabeth to contribute to the policy debate on financial services misconduct, remuneration practices, enhancing financial services culture/conduct and related issues. She publishes in top international journals and her new book on Risk Governance will be published in June this year.  

James BrighamDirector, EY

James is a leader in FSRM’s risk culture and conduct engagements. James has over 20 years’ experience in leading risk management functions and is a proven risk management professional. Proven experience of embedding risk management frameworks across banking, wealth management, life insurance and superannuation trustees. 

 

 

 

Moderator:

Heidi Gaussen, Head of Conduct Risk,  NAB

Heidi is an experienced Risk professional with a background in regulatory policy, governance, change, and compliance. Since September 2020 Heidi has led NAB’s Conduct Risk team. Heidi has a long-standing interest in RegTech and behavioural insights and is excited by the potential use of these tools in relation to Conduct Risk. Heidi is a lawyer, with an MBA and a Masters of Law, and is a recent graduate of Finsia’s Professional Banking Fundamentals. She is married to Chris and has four children and numerous pets, all of whom enjoy making guest appearances in Zoom calls.  

Agenda and Schedule

Presentation 4:00pm AEST

Details

Event Category:
Location: RMA Australia
Duration: 1 hour

Organizer