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Ethics in Financial Services: The Pendulum Has Swung
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Ethics in Financial Services: The Pendulum Has Swung

6/22/2017

When: Thursday, June 22, 2017
From 5:30 - 8:00 pm
Where: BNP Paribas
787 Seventh Avenue - 9th Floor Client Center
New York, New York  
United States
Contact:

Phone: 212-533-2141

Registration Information
Online registration is closed.
Details

 

Ethics in Financial Services: The Pendulum Has Swung

 

Some people assert that a company’s mission should be to create value for its shareholders. Other voices espouse “stakeholder theory,” arguing that a firm has an ethical obligation to balance the interests of clients, staff, shareholders and the broader community. Where does that leave us, as employees and as an industry? Where should our loyalty lie? What is the purpose of banking?

JOIN THE DEBATE.

 

OPENING REMARKS

Robert HawleyRobert W. Hawley, Jr.
Deputy Head of CIB Americas, Business Head of Global Markets, Americas
BNP Paribas

Robert Hawley is a Managing Director, Deputy Head of CIB Americas, Business and Head of Global Markets, Americas.

As Deputy Head of CIB Americas, Robert oversees North America Corporate Coverage, Financing Solutions, Advisory, Financial Institutions Coverage, Securities Services, Hispanic LatAm and Brazil. Additionally, as Head of Global Markets Americas, Robert oversees multiple business lines including Credit, Debt Syndicate & FIC origination, Foreign Exchange, Commodity Derivatives, G10 Rates, Equity Derivatives, Prime Solutions & Financing and a variety of transversal roles.

Prior to his appointment to this position in November of 2014, he headed up the bank's Fixed Income business in the Americas, after relocating to New York from Hong Kong where he led the Fixed Income business in Asia Pacific for 3 years. Prior to his role in Asia, Robert oversaw the Fixed Income business in the Americas for an additional 6 years, and was also formerly Head of Fixed Income, Japan. He joined BNP Paribas in 1997.

Robert holds a B.S from Boston University and an MBA from Columbia University.

 

PANELISTS

 

Terri D. Austin photoTerri Austin

Chief Corporate Policy Officer
S&P Global

Ms. Austin currently serves as Chief Corporate Policy Officer for S&P Global. She is responsible for implementing and monitoring corporate policies, standards, and procedures. Ms. Austin previously served as Chief Diversity Officer from 2010 to 2015 where she developed an integrated diversity strategy across the businesses. Previously she served as Chief Compliance & Ethics Officer for AIG’s Domestic Insurance Operations, as an associate at Richards & O’Neil, and as an Assistant General Counsel for the New York City Law Department.

Ms. Austin holds a bachelor's degree in political science from Grinnell College, a Juris Doctorate from Columbia University School of Law, and a Master's degree from the Columbia School of Journalism. Ms. Austin serves on a number of boards including Riverdale Country School and Girls Inc. of NYC. She has received a number of honors including The Network Journal’s 25 Influential Black Women in Business in 2008 and Top Diversity Executive by Black Enterprise in 2011.

 


Mark Musi photoMark Musi

Executive Vice President, Chief Compliance & Ethics Officer and Head of Technology Risk Management
BNY Mellon

Mark Musi is the Chief Compliance and Ethics Officer (CCEO) for the BNY Mellon Corporation and its affiliates and subsidiaries globally. He held the same position at the Bank of New York prior to its merger with Mellon Financial in July 2007. Mark chairs, or is a member of the Company’s senior management committees that address compliance, anti-money laundering, mergers and acquisitions, ethics, technology and fiduciary risk.

As CCEO, Mark establishes and maintains the Company’s Compliance, Ethics, and AML Programs and is the central contact for the various regulatory bodies throughout the world. He manages a group of over 500 Compliance professionals, including the Ethics Office, which administers the Company’s Code of Conduct, Conflicts, Hot Line and Personal Trading Program. As the Head of Technology Risk Management, he manages a group of 110 professionals that focus on mitigating information breaches, technology failures and the company’s exposure to cyber terrorism.

Prior to joining BNY in 2004, Mark had a 20-year career with Citigroup and its predecessor companies. While at Citigroup, he was the Chief Compliance Officer for the Global Private Bank and a member of the Company’s Executive Anti-Money Laundering Committee. Before joining the Private Bank, he was the head of audit coverage for the Asset Management, Global Trade, Cash Management, Private Banking and Corporate Banking businesses.

Mark is a CISA, CBA, and CFSA.

 

Sarah Sterken Jackson photoSarah Sterken Jackson
Executive Director, Fraud Investigations
Ernst &Young (EY)

Sarah is an Executive Director in EY’s Fraud Investigation and Dispute Services practice (FIDS). Based in New York, she focuses on assisting companies and their counsel with investigations and regulatory inquiries.

Before joining EY, Sarah was counsel in the Enforcement, Litigation & Investigations group at the Federal Reserve Bank of New York (NY Fed). As lead attorney, she concentrated on multi-agency enforcement investigations, working in parallel with the DOJ and SEC. Her enforcement investigations largely concerned misconduct and control breakdowns in legal, compliance, human resources, internal audit and various business lines. Sarah’s investigations most often focused on the adequacy of senior management oversight, the utility of finance and risk reporting, appropriate incentive compensation, the role of HR processes as a line of defense, and internal audit independence. Sarah was also responsible for investigating whistleblower complaints. Sarah was the lead Federal Reserve investigator for the JPMorgan London Whale matter and a Foreign Corrupt Practices Act (FCPA) investigation into JPMorgan’s referral hiring practices.

Sarah also acted as lead counsel for the NY Fed in a variety of matters, including investigations conducted by the Senate Permanent Subcommittee on Investigations, the House Committee on Financial Services, and the Office of Inspector General.

Prior to the NY Fed, Sarah was a senior associate in the litigation and dispute resolution department at a global law firm.

 

MODERATOR

 

Susanna Castillo photoSusanna Castillo
Head of Conduct, CIB Americas
BNP Paribas

 

Susanna serves as the Head of Conduct for CIB Americas. Her role is to create and execute a vision of exemplary Conduct in CIB Americas, ensuring effective implementation of the principles of client fairness and market integrity throughout CIB Americas businesses.

Susanna joined BNP Paribas in 2011 from Citigroup. Her first post within the Bank was in Equity Derivatives, where she served as a salestrader for four years before being appointed to Chief of Staff for the regional CEO in 2015. Prior to her work at Citigroup, Susanna had a career in public service, with positions at the Federal Reserve Bank of New York and the White House.

Outside of her daily role, Susanna is the co-founder of the Disability Business Networking Group. She is also on the Board of Directors of SKIP of NY, a 501(c)3 organization that connects medically fragile children to the services and equipment they need to live at home rather than be institutionalized.

Fluent in Spanish and French, Susanna holds a Bachelors of Science from Georgetown University and a Masters in Business Administration from Columbia University. She lives in Brooklyn with her husband, son and daughter.




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Event Schedule
5:30 - 6:15 pm Registration and Networking
6:15 - 7:15 pm Panel Discussion and Q&A
7:15 - 8:00 pm Networking Reception
  

Cost
$25 FWA Members, $50 Non-Members  |  Includes refreshments

 

Directions
Mass Transit: within walking distance from most of the major subway lines:
1 to 50th Street and Broadway; N/R/Q to 49th Street & 7th Avenue; B/D/E to 7th Avenue & 53rd Street; C to 50th Street & 8th Avenue

 

Building Instructions
Enter the building lobby, and proceed to the BNP Paribas reception desk. Be sure to have a photo ID with you. After checking in, you will be directed to the 9th Floor BNP Paribas Client Center.

    


Special thanks to President's Circle member, BNP Paribas, for their generous support in hosting this evening.

 

This event is organized by the Global Agenda Committee of the FWA of New York, Inc.

 


 

Reservations Required -- Bring Photo ID -- No Walk-Ins

 Reservations/Cancellations and payments are required by Tuesday, June 20, 2017.


 
 

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