Gearing for the Future in Risk Management

VIDEO September 19, 2014

Speaker / Author

Ralph Giraud

Financial Markets Lab Coordinator, Rutgers (University) School of Business – Camden

Ralph Giraud is currently the Financial Markets Lab coordinator for the Rutgers (University) School of Business – Camden (NJ) campus, and he is an accomplished professional in the field of finance, with 33 years of experience in various roles. He also is on the Board of Directors of the Financial Risk Institute, where he is the program chairman. His roles have included six years as a fixed income portfolio manager, 15 years in fixed income securities trading, six years of institutional and retail investment securities sales, and six years as a consultant to asset managers concerning the financial services sector. Mr. ... Read More

Luke Tilley

Officer and Economic Advisor, Federal Reserve Bank of Philadelphia

Luke Tilley is the officer and economic advisor with the Federal Reserve Bank of Philadelphia. His responsibilities include researching emerging regional economic issues, helping to coordinate the Bank’s Economic Advisory Council, and managing outreach to U.S. House and Senate members from the Bank’s District, which includes eastern Pennsylvania, southern New Jersey, and Delaware. Additionally, Tilley delivers presentations about the national and regional economy, monetary policy, and the role of the Federal Reserve. Before joining the Bank, Tilley worked as a senior economist at IHS Global Insight and as an economist for the U.S. Department of Housing and Urban Development. He is ... Read More

Tom Kozlik

Director and Municipal Credit Analyst, Janney Montgomery Scott

Tom Kozlik, director and municipal credit analyst, joined Janney Montgomery Scott in 2008 after time at UBS and Bear, Stearns. In his current role Mr. Kozlik advises Janney’s retail and institutional clients about the strengths and weaknesses of municipal market credit profiles and offers guidance about how other trends might affect issuer credit profiles. His work is regularly quoted in various periodicals such as Barron’s, The Bond Buyer and the Wall Street Journal. He has appeared as a guest municipal credit expert on Bloomberg, CNBC and Fox Business. Mr. Kozlik also frequently participates on panels and presents at industry conferences. ... Read More

Fabio Battaglia

Patner, Stradley Ronon Attorneys at Law

Fabio Battaglia is a partner at Stradley Ronon Attorneys at Law and focuses his practice on counseling investment companies and investment advisers in connection with various regulatory, compliance and transactional issues. Mr. Battaglia counsels clients on a variety of investment management and securities law matters, including the formation, registration and ongoing operations of investment companies; the preparation of regulatory filings; and the drafting of compliance procedures and corporate policies. He also has extensive experience dealing with multi-manager and sub-advised mutual funds, exchange-traded funds and closed-end funds Examples of the types of matters on which Mr. Battaglia has assisted clients include:

Christopher Zimmerman

Counsel, Stradley Ronon Stevens & Young, LLP

Christopher Zimmerman serves as counsel in the Washington D.C. office of Stradley Ronon Stevens & Young, LLP. He focuses his practice on assisting investment companies, investment advisers and broker-dealers on federal securities law matters. Mr. Zimmerman provides analysis for investment management clients in all aspects of legal representation, including:

  • counseling clients on various issues arising under federal securities laws in connection with the organization, registration and regulation of investment companies and investment advisers;
  • developing compliance policies and procedures for the investment companies and investment advisers; and
  • counseling investment advisers on various compliance issues under the Investment Advisers Act of 1940, including Form ADV ... Read More

Nick Kiritz

Senior Principal, Promontory’s Quantitative Services Group

Nick Kiritz is a senior principal in Promontory’s quantitative services group. Prior to joining Promontory, Nick served as a risk manager at Constellation Energy and Exelon, where he led market risk management for a large merchant generation fleet; helped manage risks related to electricity, fuel, interest rates and foreign exchange; developed an economic-capital model; and shaped policy for market risk, trader control, liquidity risk and model-risk management. Before his work in energy, he led development and management of Fannie Mae’s model governance and validation program and later led its economic-capital modeling group. While at the OCC, Nick led the quantitative ... Read More

Michael Boldin

Senior Economic Analyst, Federal Reserve Bank of Philadelphia

Michael Boldin is a senior economic analyst at the Federal Reserve Bank of Philadelphia with broad experience using statistical software and building both large and small databases for economic, financial market and company-level research. Dr. Boldin received his Ph.D. in economics from the University of Pennsylvania. His fields of study where finance, monetary theory and industrial organization, and his dissertation was titled "Business Cycles and Stock Market Volatility: Theory and Evidence of Animal Spirits." From 2008 to 2013, Dr. Boldin was an assistant professor in the finance department of the Fox School of Business and Management at Temple University. Besides teaching courses ... Read More

Tom Kimner

Head of Americas Risk Practice at SAS

Tom Kimner leads the Americas Risk Practice at SAS and is currently responsible for executing the vision for risk management products and sales-support activities. Prior to joining SAS, Mr. Kimner spent the bulk of his career at Fannie Mae, where he served in various senior management roles spearheading corporate initiatives in support of risk management and financial analysis. He has also worked at a leading policy and consultancy institute and a financial housing regulatory agency. ... Read More

Werner Hahn

Co-Founder, Knight's Hammer LLC

Werner Hahn is the co-founder of Knight's Hammer LLC, a startup software development company dedicated to creating actionable data for corporate clients and innovative tools to improve customer interaction. Previously, as a JD and senior analyst with the Legal Practice of Corporate Executive Board, Mr. Hahn worked directly with general counsel for CEB’s client base, which comprises 87 percent of the Fortune 500 and 94 percent of the Fortune 100. In this role, he examined international government regulations and compliance issues and best practices, helping clients mitigate enterprise risk and improve departmental effectiveness. Mr. Hahn is a founding member of the ... Read More

Jefferson Braswell

CEO, Tahoe Blue Ltd

Jefferson Braswell is the CEO and founding partner of Tahoe Blue Ltd and has been active in the development of financial industry applications for over 30 years. He has delivered comprehensive risk management solutions to many of the world’s largest financial institutions. Combining robust data technology with option-adjusted cash flow analysis, he implemented pioneering techniques that enabled dynamic simulation and modeling of the behavior of the entire detailed balance sheet of large institutions under stochastic scenarios. He currently sits on the Board of Directors of the Global LEI Foundation (GLEIF), where he chairs its Technical and Operations Standards Committee, and ... Read More

Marti Tirinnanzi

President and CEO, Financial Standards Inc.

Marti Tirinnanzi has notable accomplishments in the field of corporate finance, specifically financial risk management, hedging strategies using derivatives contracts and financial instrument accounting. She was named by Futures Magazine as one of the Top 25 Most Influential People based on her work with Fannie Mae and Freddie Mac to promote transparency and central clearing of derivatives contracts. Her recent project work involves developing a means to hedge the credit risk of 30-year residential mortgages and securities without relying on guarantees from Fannie Mae and Freddie Mac. She is also involved in designing currency-hedging programs for affordable housing development in emerging ... Read More

Jeff Curry

Director, Deloitte & Touche LLC

Jeff Curry is a director in the governance, regulatory and risk practice within Deloitte & Touche’s Enterprise Risk Services Group. He primarily serves the mid-tier banking and other financial services companies in the areas of enterprise risk management (ERM), stress testing, financial risk management and regulatory risk management. Jeff’s focus has been on the development and enhancement of comprehensive ERM frameworks, risk governance structures, risk policy development, risk metrics and reporting, risk reporting, risk analytics, risk/control assessment processes and other dimensions of the ERM process. His career emphasis has also been on financial risk management, including market risk management, liquidity ... Read More

Annetta Cortez

Managing Director of ACT Consulting

Annetta Cortez is a seasoned practitioner and consultant with over twenty years of experience in the area of risk and capital management with a client base that includes many of the major financial institutions and regulatory authorities throughout the world. She has worked in over 30 countries and in all major financial markets jurisdictions. She has delivered a wide range of risk related engagements across all segments of risk and capital management to banks, insurers, other financial institutions, large corporations, governments and regulatory authorities. Most recent assignments have mainly focused on delivering solutions in response to new banking regulations. Ms. Cortez ... Read More

Frank Morisano

Partner, Ma Lee Advisory Limited

Frank Morisano has over 25 years of practical experience and serves as a partner at Ma Lee Advisory Limited. He advises the firm’s clients on implementing strategic and tactical solutions related to the growth of earnings, performance improvement, liquidity management, prudent risk taking, new market development, creating pervasive organizational cultures and strengthening corporate governance. Previously, Mr. Morisano spent many years with PricewaterhouseCoopers Consulting in Asia, Europe and North America. His management experience includes serving as a chief strategy officer, chief risk officer, chief credit officer and managing director of mergers and acquisitions. The global corporations he has worked for include Bank ... Read More

Steven Lee

Chair, Financial Risk Institute

Steven Lee is chair and the key founding member of the Financial Risk Institute. He previously served as regional director for PRMIA DC and the editor-in-charge for PRMIA DC’s RiskJournal Magazine. He is managing director leading business advisory as well as governance, risk management and compliance services at Global Client Consulting, LLC. Steven has more than 30 years international client service and corporate experience with some of the largest corporations and financial institutions in the United States and across the Asia-Pacific region (Singapore, Australia, Hong Kong and Japan). Prior to GCC, Steven was firm director at Deloitte, leading business development ... Read More