A Day in the Life of Risk Professionals

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Date and Time

Location

Location

Fontbonne University - Dunham Student Activity Center

6800 Wydown Boulevard

St. Louis, MO 63105

Event description

Description

Cost: Free

Schedule:

  • Breakfast 7:30a-8:00a
  • Panel 8:00a-9:00a
  • Networking 9:00a-9:30a


Program description:

The financial services industry is highly regulated and managing risks for a brokerage firm is no small task. Whether the function is tied to technology risk, fraud, privacy, analytics, or audit services, the panel members from Wells Fargo Advisors will encourage active participation and help students understand what they do every day to put clients first, with service second to none.

Aaron Nauman (panel moderator) is an Operational Risk Manager for Technology Risk in the Wells Fargo Advisors Business Control/Risk Management department. He has 20+ years in financial services, with the bulk of it spread across several different functions in IT such as business analysis, quality assurance, development, and project management. Aaron graduated from Truman State University with a BA in History, and holds an MA in Computer Resources and Information Management from Webster University. He recently celebrated his 5th anniversary at Wells Fargo and passed his CRISC certification in 2017.

Jim Horn is an Analytic Manager for Wells Fargo - Wealth & Investment Management (WIM). He leads a team of analytic consultants that focus on providing data services to the WIM Analytics department. In this role he is responsible for managing several risks, including data management risk. Jim has a long history of working with risk, getting started when he served in the US Navy and then as a contractor setting up a Network Operations Center in Bagram, Afghanistan. Jim obtained three Master’s degrees from Washington University in St. Louis and is currently working on his dissertation to obtain his Doctorate in Business Administration - Finance.

Lara Knebel is an Operational Risk Manager at Wells Fargo Advisors. She manages the Business Continuity Planning team and in that role she leads 4 Business Continuity Officers that are responsible for the 45 departmental BC Plans which cover 7 HQ locations and about 17,000 individual Financial Advisors. Lara has a Master’s Degree in Emergency Management from Arkansas Tech University. Upon completion of that degree she spent 10 years managing the BC Program at Scottrade Bank and Brokerage, and then joined WFA. Lara’s interests include disasters, diseases, cybersecurity, workplace violence and all other kinds of mayhem.

Drew Richardson is an Operational Risk Consultant in the Wells Fargo Advisors Technology Risk group, focusing on incident response, cybersecurity, and brokerage platform risk. Drew holds a Master of Accounting degree from the University of Missouri, has previously worked in regulatory compliance at Express Scripts, and worked as an IT internal audit consultant with Protiviti.

Bob Carlson is an Operational Risk Manager at Wells Fargo Advisors specializing in fraud and privacy. He graduated from Saint Louis University with a J.D. in 2003 and a B.A. in 1999. Bob manages a group of operational risk consultants with oversight and monitoring of programs and projects related to how client and personally identifiable information is used and to provide research and analysis capabilities to ensure we are protecting our most valuable assets.


Breakfast menu:

  • Sausage Links
  • Thick Sliced Bacon
  • French Toast
  • Biscuit & Gravy
  • Scrambled Eggs
  • Hash Brown Potatoes
  • Fresh Fruit Tray
  • Mini Pastries
  • Coffee
  • Juice
  • Iced water

CPE: 1 hour CPE provided

Date and Time

Location

Fontbonne University - Dunham Student Activity Center

6800 Wydown Boulevard

St. Louis, MO 63105

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