Category Archives: Operational Risk

FTF News Video: What Keeps Raymond James’ Cybersecurity Chief Up at Night?

Posted on December 22, 2014 by Sarah Hathaway

Andy Zolper, senior vice president and chief IT security officer at Raymond James Financial, tells FTF News about the potential threats that keep him up at night. Focusing on the emerging best practices that enable firms to protect against cyber … Continue reading →

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FTF News Video: AIG Official Foresees Benefits from Stress Tests

Posted on December 17, 2014 by Sarah Hathaway

Op Risk veteran Lourenco Miranda speaks with FTF News about how firms can prepare for the stress tests, and the hidden benefits they might see after the process. Check out more FTF News video interviews from past events here.

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Boston Private Bank’s Tim MacDonald on Op Risk and New Financial Products

Posted on December 3, 2014 by Sarah Hathaway

Tim MacDonald, chief risk offcer (CRO) at Boston Private Bank, speaks with FTF News about why firms should be taking into consideration the potential operational risks of new financial products, especially in the early developmental phases. This will save a … Continue reading →

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Exchange Traded Derivatives in an Automated World

Posted on June 11, 2014 by Sarah Hathaway

Guest Contributor: Ted Leveroni, Executive Director – Strategy & Buy Side Relations at The Depository Trust & Clearing Corporation Global regulatory reform and market changes are impacting how the buy- and sell-side function in the exchange-traded derivatives (ETD) space. The … Continue reading →

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Manage Risk, Comply with Regulations and Increase Alpha with an IBOR

Posted on February 12, 2014 by Maureen Lowe

Guest Contributor:  David Kubersky, President and Managing Director, SimCorp North America Fragmented position-keeping across the trade lifecycle presents significant risks to buy-side firms. As the SimCorp Journal paper, “The Investment Book of Record: One Version of Truth from Front- to … Continue reading →

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Putting Your Social Media Policy into Practice – A Techie’s Guide

Posted on December 11, 2013 by Maureen Lowe

Guest Contributor: Terry Ray,Vice-President, Software Development, Temenos In January of 2013, the FFIEC released proposed guidance for financial institutions regarding social media. As the year draws to a close, if your institution has not already written, revised and gotten board … Continue reading →

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Valuation Considerations for Illiquid OTC Derivatives

Posted on September 18, 2013 by Maureen Lowe

Guest Contributor: Matthew McFarland, Director, Business Development, CBOE Mandated clearing of certain interest rate swaps and credit default swaps was recently completed with the addition of Category 3 participants on September 9.  While the advent of mandatory clearing presents several challenges, … Continue reading →

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Turn Regulatory Demands into Business Drivers: Automate the Trade Execution Expense Management Process

Posted on August 14, 2013 by Sarah Hathaway

Guest Contributor: Terence Faherty, head of product strategy at Bonaire Software Solutions Beyond investor calls for increased transparency, regulations are pushing for a more accurate trading fee calculations and invoice reconciliation process. A recent Bonaire poll revealed that many firms … Continue reading →

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Six Necessary Steps for Anti-Bribery and AML Screening Improvement

Posted on July 24, 2013 by mcl5kf

Guest Contributor:Henry Balani, Managing Director at BankersAccuity’s Risk and Compliance Group In an era of enhanced scrutiny, larger fines and the ongoing internationalization of anti-money laundering (AML) and anti-bribery regulations, organizations are facing increased risk and numerous challenges in achieving … Continue reading →

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Rethinking Reconciliation

Posted on November 7, 2012 by Sarah Hathaway

Guest Contributor: Michael Alexander, EVP & COO Business Process Outsourcing, Broadridge Financial Solutions Financial institutions can enhance risk management and reduce costs through a reconciliation global center of excellence.  Timing is critical. The cost of falling further behind industry standards … Continue reading →

Posted in Back-Office, Dodd-Frank, Guest Blog, Operational Risk, Reconciliations, Regulation, Securities Operations | Tagged , , , , , , , | 1 Comment