Financial Services Compliance’s ESG Roles from a Reputation Risk and Governance Perspective

Fordham University - Spotlight on ESG

This session will examine how ESG impacts the role of financial services compliance professionals, including in decisions relating to the financing of controversial industries (e.g. fossil fuels), and will consider related governance and whistle-blower issues unique to Wall Street.  (For example, is Compliance involved in the reputation risk committee, new product approval process, and certainly KYC process as it relates to climate change vs energy or other ESG-sensitive industries? If there is a potential deal involving the military contractor, or private prison, or cigarette industry, what role does Compliance play?  How does Compliance escalate ESG-related issues (or KYC / other compliance issues) to the Board and senior management?)

Moderator: Eric Young, Adjunt Professor, Fordham Law School and former Chief Compliance Officer at BNP Paribas, S&P Global Ratings and RBS

Speakers: 

Ellen Zimiles, Head of Financial Services, Guidehouse

Henry Engler, Senior Editor, Regulatory Intelligence at Thomson Reuters

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