1. AIBA The People Side of Risk Management & Compliance
Lindamarie Werntz Coatman
U.S. Head of Human Resources
China Merchants Bank New York
December 3, 2014

2. The Dynamics of an Organization
Individual
Group
Boom
Home Country
Boom
U.S.A.
Organization
Bang
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3. How Do People Drive the Organization?
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4. Where is the risk? Operational Risk Market/Reputational Risk
Financial Risk
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5. The Mechanics of the Organization
Group
Individual

6. The 3 Drivers of the
Talent Engine
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7. Organization/ Executive
The Mechanics of Talent
Organization/ Executive
Group/ Manager
Individual/ Staff

8. Effective risk ownership depends on everyone understanding what their risk-related responsibilities are, knowing how to carry them out, and having recourse to appropriate guidance if and when the “standard” risk management processes break down.*
* Deloitte, “The people side of Risk Intelligence”
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9. Professional Skill Base
Employee Attributes
Employee
Professional Skill Base
Experience
Level
Team Skills
Communication Skills
Self Initiative
Resilience
Adaptability
Influencing Skills
Cultural Awareness

10. Individual Driver Individual/ Staff Capacity Capability
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11. The Drivers…. Staff Employee Core Knowledge Processes The Details
Risk Execution
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12. Professional Skill Base
Employee Attributes
Employee
Professional Skill Base
Experience
Level
Team Skills
Communication Skills
Self Initiative
Resilience
Adaptability
Influencing Skills
Cultural Awareness

13. Employee Attributes - Staff
Professional Skill Base
Experience
Level
Team Skills
Communication Skills
Self Initiative
Resilience
Adaptability
Influencing Skills
Cultural Awareness

14. Group Driver Group/ Manager Leadership Performance
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15. The words and actions of employees’ immediate supervisors have an especially important impact on employees’ own behavior; boards and executives need to monitor the “tone in the middle” so that managers are along the chain of command know to “walk the talk” of ethics.*
* Deloitte, “The people side of Risk Intelligence”
NY-ZXK.540/020619YjmedSL1

16. The Drivers…. Manager: Client Service Business Acumen Communication
Risk Management
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17. Professional Skill Base
Employee Attributes
Employee
Professional Skill Base
Experience
Level
Team Skills
Communication Skills
Self Initiative
Resilience
Adaptability
Influencing Skills
Cultural Awareness

18. Employee Attributes - Manager
Professional Skill Base
Experience
Level
Team Skills
Communication Skills
Self Initiative
Resilience
Adaptability
Influencing Skills
Cultural Awareness

19. Organization/ Executive
Organizational Driver
Business
Organization/ Executive
Objectives
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20. The Drivers…. Executive Team Building Strategy Risk Culture
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21. Professional Skill Base
Employee Attributes
Employee
Professional Skill Base
Experience
Level
Team Skills
Communication Skills
Self Initiative
Resilience
Adaptability
Influencing Skills
Cultural Awareness

22. Employee Attributes - Executive
Professional Skill Base
Experience
Level
Team Skills
Communication Skills
Self Initiative
Resilience
Adaptability
Influencing Skills
Cultural Awareness

23. Success Levels: A Different Perspective
Business Objectives (Executive)
Leadership Performance (Manager)
Capability & Capacity (Staff)
Individual Contributor Competencies
Performance Management
Employee Development
Ownership & Accountability
Leadership Competencies
Contingency Planning
Performance Management
Ownership & Accountability
Balance Scorecard
Succession Planning
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24. The Dynamics of an Organization
Individual
Group
U.S.A.
Home Country
Organization
** To protect the confidential proprietary information included in this material, it may not be disclosed or provided to any third parties without the approval of the presenter.
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