Fiduciary Risk Management
  • CODE : ROBE-0007
  • Duration : 60 Minutes
  • Level : Intermediate
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Robert Geary is the founder of Greenwich Risk Management Advisory Services “LLC” and services as the principal consultant on many of the firm’s consultancy mandates.

Robert has been a banking and finance industry professional for 49 years with 34 years serving in a variety of senior Treasury, financial markets, asset management, and risk management roles at JP Morgan Chase & Co. During his career with JP Morgan Chase, he served in the following positions

  • Head of Chase Manhattan Bank’s euro and other offshore funding activities
  • Chase’s first Asia/Pacific Area Treasury and Financial Markets Executive located in Hong Kong with responsibility for the treasury, currency trading/sales activities and securities portfolios of Chase’s branches in nine countries that included the major centers of Japan, Hong Kong, and Singapore  
  • Western Hemisphere Area Treasury and Financial Markets Executive with similar responsibilities for Chase’s branches in South America, Canada, Panama, and Puerto Rico
  • National Sales Manager for Chase Securities
  • Treasury and Financial Markets General Manager for Chase AMP Bank in Australia
  • Risk Management and Treasury Executive for Chase’s Asset Management and Private Bank organizations
  • Head of the risk management oversight function of Market, Credit and Operational Risk for Chase Asset Management
  • Managing Director and Head of Fiduciary Risk Management for the Corporation

During Robert’s career he has served on the Board of Directors of Chase Manhattan Overseas Banking Corporation as well as having served on numerous senior committees that included Chase’s Portfolio and Investment Strategy Committee, Tax Committee, International Asset/Liability Management Committee, Chase Investment Policy Committee, and Capital Markets & FX Risk Management Committee. Prior to joining Chase, he held positions at Chemical Bank, Chrysler Financial Corporation and National Bank of North America.

Robert holds a BA degree in Economics from Pace University and did graduate studies in finance at New York University Graduate School of Business. He is a Past President of the New York Athletic Club and is currently a member of the Executive Advisory Board of St. John’s University Department of Accounting and Taxation.

All firms and persons acting in a fiduciary capacity with respect to a function they perform must fully understand the duties and responsibilities of serving in a fiduciary capacity, what constitutes fiduciary failure and the consequences of such failure. It is therefore imperative that fiduciaries understand the risks associated with being a fiduciary, the conditions that can give rise to a fiduciary risk event and the risk management processes that should exist to manage fiduciary risk.

Learning Objectives

  • To provide an in-depth understanding
  • The roles and responsibilities of a fiduciary
  • Where fiduciary responsibilities exist
  • Fiduciary risks to be managed in terms of conditions and causes
  • Specific areas of fiduciary risk relative to suitability and disclosure
  • Fiduciary risk management practices
Areas Covered

This presentation will cover the following areas:

  • Fiduciary duties
  • Defining fiduciary risk
  • Fiduciary risk conditions
  • Fiduciary risk events
  • The nature of fiduciary risk consequences
  • Fiduciary-like responsibilities
  • Functions/activities that contain fiduciary responsibilities
  • Causes of fiduciary risk events
  • Review of suitability standards
  • Review of disclosure standards
  • Laws and regulations that govern fiduciary activities
  • A review of the US Department of Labor (DOL) recent rule that addresses the fiduciary responsibilities of certain broker/dealer business activities
  • Fiduciary risk management 

Who Should Attend

This webinar will provide valuable assistance to all personnel with direct fiduciary responsibilities as well as individuals with fiduciary risk management oversight

  • Asset Management firms
    o Senior Management
    o Relationship Managers
    o Investment Managers
    o Risk Managers
    o Compliance Officers
    o Auditors
  • Private Banks
    o Senior Management
    o Investment Managers
    o Relationship Managers
    o Risk Managers
    o Compliance Officers
    o Auditors
  • Commercial Banks
    o Personal Trust Officers
    o Corporate Trust Officers
    o Investor Services Officers
    o Risk Managers
    o Compliance Officers
    o Auditors
  • Broker/Dealers
  • Trustees
  • Regulatory oversight of Fiduciary businesses and function
  • Educational programs at the university level

Why Should Attend

Individuals that should attend this training are persons who serve in a fiduciary capacity as individuals or as members of a fiduciary activity within the business as well as individuals who serve in senior management, risk management, compliance or audit oversight capacity of activities with fiduciary responsibilities. This training would also be of value to regulators who also must address businesses with fiduciary activities under their supervision as well as colleges and universities with risk management as part of a degree curriculum.

This presentation will provide

  • An understanding of fiduciary roles and fiduciary risk
  • An understanding of fiduciary risk conditions and fiduciary risk events
  • An understanding of fiduciary risk consequences
  • An understanding of fiduciary-like responsibilities
  • An understanding of potential causes of fiduciary risk events within fiduciary functions
  • A focus on suitability and disclosure as potential causes of fiduciary risk events

In addition, the presentation will establish the functions that contain fiduciary responsibilities, site the laws and regulations that govern fiduciary activities and address the recent new DOL Fiduciary Rule.

  • $149.00



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