lindamarie werntz coatman u.s. head of human resources china merchants bank new york december 3,...
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AIBAThe People Side of Risk
Management & Compliance
Lindamarie Werntz CoatmanU.S. Head of Human ResourcesChina Merchants Bank New YorkDecember 3, 2014
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The Dynamics of an Organization
Individual
GroupOrganization
Home Country
U.S.A.
Boom
Bang
Boom
3
How Do People Drive the Organization?
4
Where is the risk?
Operational Risk
Market/Reputational Risk
Financial Risk
Organization
Group
Individual
5
The Mechanics of the Organization
6
The 3 Drivers of the Talent Engine
Organization/ Executive
Group/ Manager
Individual/ Staff
7
The Mechanics of Talent
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.*
8
* Deloitte, “The people side of Risk Intelligence”
Employee
Professional SkillBase
ExperienceLevel
TeamSkills
CommunicationSkills
Self Initiative
Resilience
AdaptabilityInfluencingSkills
Cultural
Awareness
9
Employee Attributes
10
Individual Driver
Individual/ Staff
Capability
Capacity
11
The Drivers….
Staff EmployeeCore KnowledgeProcessesThe DetailsRisk Execution
Employee
Professional SkillBase
ExperienceLevel
TeamSkills
CommunicationSkills
Self Initiative
Resilience
AdaptabilityInfluencingSkills
Cultural
Awareness
12
Employee Attributes
Staff
Professional SkillBase
ExperienceLevel
TeamSkillsCommunication
Skills
Self Initiative
Resilience
AdaptabilityInfluencingSkills
CulturalAwareness
13
Employee Attributes - Staff
14
Group Driver
Group/ Manager
Perfo
rmance
Leadership
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.*
15
* Deloitte, “The people side of Risk Intelligence”
16
The Drivers….
Manager:Client ServiceBusiness AcumenCommunicationRisk Management
Employee
Professional SkillBase
ExperienceLevel
TeamSkills
CommunicationSkills
Self Initiative
Resilience
AdaptabilityInfluencingSkills
Cultural
Awareness
17
Employee Attributes
Manager
Professional SkillBase Experience
Level
Team SkillsCommunication
Skills
Self Initiative
Resilience
AdaptabilityInfluencingSkills
CulturalAwareness
18
Employee Attributes - Manager
19
Organizational Driver
Organization/ Executive
Ob
jectiv
es
Business
20
The Drivers….
ExecutiveTeam BuildingStrategyRisk Culture
Employee
Professional SkillBase
ExperienceLevel
TeamSkills
CommunicationSkills
Self Initiative
Resilience
AdaptabilityInfluencingSkills
Cultural
Awareness
21
Employee Attributes
Executive
Professional SkillBase
ExperienceLevel
TeamSkills
CommunicationSkills
Self Initiative
Resilience
AdaptabilityInfluencingSkills
CulturalAwareness
22
Employee Attributes - Executive
Business Objectives (Executive)
Leadership Performance (Manager)
Capability & Capacity (Staff)
23
Success Levels: A Different Perspective
Balance ScorecardSuccession Planning
Leadership CompetenciesContingency PlanningPerformance ManagementOwnership & Accountability
Individual Contributor CompetenciesPerformance ManagementEmployee DevelopmentOwnership & Accountability
24
The Dynamics of an Organization
Individual
GroupOrganization
Home Country
U.S.A.
** 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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