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The View from 1LOD

Thu, Nov 4, 2021 · 9:30 AM · London
About This Webinar

Do your frontline staff truly regard themselves as risk owners? And what is their view of compliance and risk oversight? In implementing the 3LOD model, the gulf between theory and reality can be glaring, and the relationship between the first and second lines of defence is a common site of friction.
This session offers practical advice on how to develop a positive and constructive relationship between the risk ownership and risk oversight functions, as well as the benefits of doing so from both a business and compliance perspective.

Who can view: Everyone
Webinar Price: Free
Featured Presenters
Webinar hosting presenter
Course Director, Global Lead – Counter Terrorist Financing & Global Markets, ICTA
Kang Hui has spent more than 15 years in Financial Crime and Compliance roles, in Wealth Management and Asset Management.

In Wealth Management, Kang Hui was a KYC Officer, assisting to review KYC information and documentation. She moved to the asset management, where in addition to AML/CFT topics, she covered other compliance areas like investment guideline monitoring, insider dealing, cross border and financial products compliance. The asset management role included a short stint in Hong Kong where she spent two years in both investment and product compliance. Her latest role before joining ICA was the Head of Singapore Compliance in UBS Asset Management (Singapore) Ltd.
Webinar hosting presenter
Head of Financial Institutions relationship Risk Management, Europe, Standard Chartered Bank
Vivek has over 20 years of experience in banking and financial services Regulatory Compliance and Financial Crime Compliance on an international level through positions held in the UK, India, Sri Lanka, UAE, US and compliance project work in China, Malaysia, Mexico, Brazil, Lebanon and Egypt. He has a legal background having completed his LLB Law and LLM in International and European Law in the UK.

After his initial training with the Halifax Bank of Scotland, Vivek joined HSBC Bank in the UK and was with them for almost 15 years. At HSBC, he worked initially in the Wealth Management business in London but the majority of his tenure was in International Compliance. Vivek’s experience in Regulatory and Financial Crime Compliance has been quite wide, ranging from setting up and leading the Compliance function in the outsourced entities in Sri Lanka and India, to managing the regional Securities Services Compliance function in the Middle East and Africa region and subsequently in North and South America. Vivek has been with Standard Chartered Bank since May 2017 and leads the Regional Transaction Banking Conduct, Financial Crime and Compliance team in the Africa and Middle East region.

Vivek holds an International Diploma in Compliance and is a Fellow Member of the International Compliance Association (FICA). He is also a US Certified Corporate Trust Specialist (CCTS) and a Member of the American Institute of Certified Bankers.
Webinar hosting presenter
Head of Compliance, Hugo Save
A seasoned financial industry professional with over 25 years of experience in policy implementation with a focus on client due diligence and operational risk management. She is a subject matter expert on correspondent banking, Securities Services and most recently Fintech in the areas of financial crime and regulatory compliance.

Having worked in consultancy, global banking and regulatory entities which include Standard Chartered Bank, HSBC, Deutsche Bank, KLOFFE and KPMG, she has considerable experience on implementation and design standards of control frameworks. Julia is passionate about innovative process re-engineering and change management and is an advisor on data analysis, remediation and digital transformation.
Webinar hosting presenter
Head of Compliance, HSBC Bank Armenia CJSC
Yeva has been employed in financial industry for over 15 years, of which about 14 years with HSBC. She occupied business management / COO roles in commercial banking in HSBC Bank Armenia for 7 years, has worked for the regional executive management office in London headquarters for 2.5 years, and has been member of country executive committee in HSBC Bank Armenia since 2016 as head of regulatory compliance, and afterwards, as Chief Compliance Officer and MLRO (accountable for financial crime compliance and regulatory compliance).

During her secondment to London headquarters, she has been driving various workstreams related to embedding Conduct Programme in HSBC Group headquarters in 2014-2016, and further supported the country implementation programme in her capacity of country head of regulatory compliance since 2016.

Yeva graduated from Yerevan State Economics University in 2014 majoring in finance and banking, she holds a Ph.D. in Finance (2007), is a CFA charterholder (2012), holds ICA International Diploma on Governance, Risk and Compliance (2019) and is en-route of completing her post-graduate Diploma in Financial Crime Compliance with ICA this year.

Yeva is married and has a daughter.
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