Operational Risk Management: A Case Study in Data Integration

Operational Risk Management has been the subject of increasing focus within the financial services industry over the last decade especially because of regulatory mandates introduced over this period. However despite investments in technology in the tens of billions of dollars, financial institutions are largely dissatisfied with the analytical capabilities that these technology investments have provided. There is no shortage of quantitative analytical capability within the industry so these results despite the investment appear puzzling.

This talk will discuss how these results are a consequence of the failure of the industry to embrace the unique data integration challenges at the heart of this discipline. It will provide a case study of how failure to properly conceptualize the full scope of complicated data integration issues at inception has led to long term sub-optimal results and how a focus on data architecture at the heart of IT and business process investments can transform this discipline into a core tool to advance the enterprise. In addition, those familiar with financial services will learn how the data challenges of Operational Risk are different from the more established risk management disciplines.


Dan Roberts is a consultant who specializes in Operational Risk Management and the broader Governance Risk and Compliance (GRC) space. The challenges of this space have led him over the last five years to focus on the data integration and information architecture challenges of leading financial institutions. Recent major clients that Dan has helped in this way have included TD Bank, Capital One Bank and Bank of America. In addition to assisting clients with the data architecture challenges of the domain, Dan also assists clients with the design of their frameworks for the accounting and management of non-financial risks, design of risk and control taxonomies, as well as helping clients with specific problems of risk assessment and operational control.

Dan is originally from the UK where he originally qualified as a Chartered Accountant and is now based in New York City.


Dan Roberts, Operational Risk Management: A Case Study in Data Integration


Apr 20 2016


4:15 pm - 6:00 pm


The Albany Club, 91 King Street East (near King/Yonge subway), Toronto, ON M5C 1G3.

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