InvestOps USA 2019

March 05 - 07, 2019

Innisbrook Resort and Golf Club, Palm Harbor, FL

(+44) 207.368.9576

2018 Speakers (Past Event)

Evan Fire
Evan Fire
CIOO & CISO
Pzena Investment Management
Pzena Investment Management; LLC (“PIM”) maintains extensive security for its IT environment. Evan Fire is ultimately responsible for ensuring that PIM maintains a technology environment that guards against cybersecurity threats and reports all material cybersecurity issues and requirements directly to the company’s Executive Committee. As the cybersecurity threat and technology environment evolves, PIM’s workforce must continue to adapt, design, develop, implement, maintain and continuously improve the necessary cybersecurity practices within IT infrastructure.
Jeffrey Leschen
Jeffrey Leschen
Director of Operations
Bramshill Investments
Jeffrey is a Director, Investment Team Specialist & Portfolio Trader at Bramshill Investments. His primary focus is on trade desk analytics and operations and his responsibilities includ, maintaining portfolio positions, calculating portfolio performance and designing and maintaining proprietary order management and risk solutions across all investment strategies. Jeffrey also works with marketing teams directly to design custom portfolio analytics for current and perspective clients.
David Benevides
David Benevides
Director Investment Operations
Manulife Asset Management
David is the Investment on the Operations Lead on Global Optimization project at Manulife Asset Management. He has recently and successfully Implemented Global platforms and processes to support: Centralized Trade confirmation matching and settlement notification, Voluntary Corporate Action event lifecycle management, Fail Trade Settlement monitoring, operational FX for passive trading, and support Strategic Alpha generating model. David will be sharing key tips on how to optimize the operational support process, through technology and process enhancements, on a global scale on the global operating panel at the end of Day 1.
Stephen Gouthro
Stephen Gouthro
Head of Investment Operations
Putnam Investments
Mr. Gouthro is Head of Investment Services and Operations at Putnam. He is responsible for investment data strategy, performance attribution, and analytics; overseeing the firm’s market data services; and managing the product information needs for Putnam clients and sales staff. In addition, he is responsible for program management of strategic initiatives. Previously at Putnam, he held various positions that involved leading teams and initiatives in the Operations, Investments, and Technology groups. Mr. Gouthro has been in the investment industry since he joined Putnam in 1990.
Ky Dong
Ky Dong
Senior Complex Securities Specialist
Franklin Templeton Investments
KY DONG is a Senior Complex Securities Specialist at Franklin Templeton in the Global Trade Services group with over 10 years operational experience within the mutual fund industry. Ky is currently the business lead for Global Trade Services regulatory projects such as Dodd-Frank Act and EMIR. In this role, Ky is responsible for driving the strategic development of key initiatives such as changes to derivative trade and collateral management processing. Since joining Franklin Templeton in May 2005, Ky has been involved with various Investment Operations processes such as: domestic trade processing, emerging market trade processing, FX, and OTC derivatives trade processing and collateral management. Ky was the architect and developed the existing OTC bilateral collateral management process at Franklin Templeton. Prior to joining Franklin Templeton, Ky worked at E*TRADE Securities LLC as a Senior Financial Service Associate. Ky is an active member of several industry groups including: International Securities Association for Institutional Trade Communication (ISITC), Asset Managers Forum and various DTCC derivative working groups. Within ISITC, he is a Co-Chair for the Derivatives Working Group. Ky has a Bachelor of Science degree in Managerial Economics from University of California, Davis.
Jay Boyd
Jay Boyd
Global Application Services Technology Officer
Invesco
Jay Boyd is a Technology Executive at Invesco responsible for Invesco’s transformation initiatives. He has 19 years' experience with Invesco and prior experience with Ernst & Young and the US Government. Jay has spent his career envisioning and executing strategic transformative programs in multiple industries and across the value chain within the Asset Management space. He is currently overseeing a $120M transformation program at Invesco, that is completing in Q2 of 2017. He is now overseeing 7 other transformative programs while also supporting the firm’s Data and Investment Services initiatives. In previous roles at Invesco, he has built investment decision making systems, portfolio management and risk systems, as well as overseen the deployment of several front-office systems such as BlackRock's Aladdin. He has repeatedly demonstrated the right balance of vision, strategic positioning and execution to enable large transformational change in large scale organizations.
Charles Dwyer
Charles Dwyer
Former Director, Global Technology and Operations
Independent
Charlie is an experienced financial services executive having managed global operations and technology teams supporting Asset Management, Wealth Management and Asset Servicing Business. Formerly a Director of Deutsche Bank – Asset and Wealth Management Operations and Technology as head of US technology support. Charlie is a CFA and graduated from University of Massachusetts-Amherst with a Bachelor of Business and from Pace University with an MBA
Ed Selker
Ed Selker
Director - Data Management Operations
Federated Investors
18 years of investment management and asset servicing experience (both the operational and technical layers. Responsible for providing senior and strategic direction around data management operations within the Investment Management Department of Federated. Established and build data management discipline within middle office operations. Team responsibilities include: COE Security Master, Data Management Functions around structured data, Data Warehouse business management, Data Engineering services, Data Delivery and Reporting services. Previously at BNY Mellon Global Outsourcing, serviced global asset managers, fund managers and insurance companies.
Elliot Noma
Elliot Noma
Managing Director
Garrett Asset Management
Dr. Noma is the founder of Garrett Asset Management, a systematic trading firm that uses technical systems to invest in futures, ETFs, and currencies. His ETF strategies utilize the structural characteristics of the underlying instruments. He is also involved in research on applied decision-making and the application of technology to solve real world problems. Prior to founding Garrett Asset Management, Dr. Noma was a portfolio manager running a fund of hedge funds and was the Chief Risk Officer at Asset Alliance, a seeder of hedge funds. In 2013 Dr. Noma was awarded a patent on a new type of leveraged ETF, and will be sharing his significant expertise on how ETF’s can be leveraged to increase alpha returns.
James Kearney
James Kearney
Head of Global Investment Operations
Vanguard
Jim Kearney is a Principal at Vanguard and the head of the Vanguard Global Investment Operations organization. Jim’s global team is responsible for trade support, settlements, Corporate actions and securities lending for all Vanguard products. In his prior position Jim led the Project One Development Team, a business technology team managing a 5 year program focused on unifying the Vanguard Transfer Agent and Broker Dealer organizations, creating a singular experience for all retail direct investors. This effort resulted in a common platform for investors to hold, and transact on Vanguard funds, Vanguard ETFs and any other assets held at Vanguard. In previous Vanguard roles, Jim led a business technology team focused on implementing vendor solutions that would streamline the fund administration process, including trade management, corporate actions, treasury services and gold copy data management. He was also the leader of the Vanguard Small Business Retirement Plans, and spent a large portion of his career leading various businesses within the Vanguard Brokerage Services unit. Jim has studied at Immaculata University, and holds FINRA’s series 7, 63 and 24 licenses. He is also a graduate of the Wharton Essentials of Management certificate program, as well as the Leadership Philadelphia 2006 class. Jim sits on the board of Smith Memorial Playground and Playhouse, a 125 year old non-profit institution committed to proving unstructured creative play for children in the Philadelphia region. Jim is married to his wife Sonica, and the proud father of two children, Liam (9) and Harper (5).
Marc Mallett
Marc Mallett
Vice President, Product Management
SimCorp North America
Marc Mallett is the Vice President of Product Management at SimCorp North America. Marc has 20+ years of experience in the financial markets and has worked directly with asset servicers, asset managers, investment technology providers and professional services firms. He has held key roles at Northern Trust, Fidelity Investments, Navigant Consulting and Citisoft.
Werner Vetsch
Werner Vetsch
COO
Aegon USA Investment Management
Werner Vetsch is the Chief Operating Officer for Aegon Asset Management US. His responsibilities include securities operations, derivatives, limited partnership and real estate accounting and operations, middle office (investment reference data, securities and derivatives valuation and cash forecasting/modeling), and shared services for the organization (project, process and data quality management). He is a member of the Aegon Asset Management US Executive Committee and the Management Board. Prior to joining the firm, Werner served as chief operating officer, chief compliance officer and executive director for Legal and General Investment Management America. Werner also served as a senior vice president with Northern Trust Company in roles including investment operations outsourcing and global custody, and with Bankers Trust Company, Citibank, N.A., Dillon, Read & Company, and Dean Witter Reynolds. He has 32 years of industry experience and has been with the firm since 2015.
Russell Snow
Russell Snow
Director Operations
State of Wisconsin Investment Board
Mr. Snow is an executive manager with over eighteen years’ experience in all aspects of sales, trading and operations. He has extensive knowledge of financial products and the processes, controls and regulations that surround them with a concentration in derivatives and securities. His most recent focus has been global derivatives operations oversight at Aegon with responsibilities for Dodd-Frank and EMIR compliance. His prior roles were at Morgan Stanley as Vice President U.S. Credit Operations. Goldman Sachs VP & Bridgewater Head of Derivative & Securities Operations
Eric Bolisay
Eric Bolisay
Vice President- Head of Derivatives Strategic Operations
T.Rowe Price
Eric Bolisay is a Vice President within T. Rowe Price’s Enterprise Risk Group and Head of Derivatives Strategic Operations. Within that role, Eric is responsible for the build out and global support of OTC, cleared, and listed derivatives trading operations at T. Rowe Price. Eric is chairman of the Complex Products Committee and a member of the Investment Derivatives Committee, in addition to a member of several derivatives-related working groups. He is a vice president of T. Rowe Price Group, Inc. Eric has over ten years of derivatives and risk management experience and joined T. Rowe Price from MetLife, where he was a Director and Head of Derivatives Risk & Analytics and Collateral Management within Global Investment Operations.
Sonia Maloney
Sonia Maloney
COO
Norrep Capital Management
Sonia Maloney is the Chief Operating Officer at NCM – Norrep Capital Management Ltd, an independent investment management firm, based in Calgary, Canada. In her role as COO, Sonia leads the operating side of the business incorporating operational risk management, finance, investment operations, technology, dealer & client services, and vendor relationship management. Sonia also serves on the firm’s executive team, responsible for developing and executing the firm’s strategic plan as well as the day to day management of the business. Sonia has over 20 years of diverse, global experience in financial services and holds a Master of Applied Finance as well as a Bachelor of Business with an accounting major.
Uday Kiran Bolusani
Uday Kiran Bolusani
Vice President, Global Product & Clearing Services
Fidelity
Uday Kiran Bolusani is vice president, Global Product & Clearing Services (GPCS) at Fidelity Management & Research Company (FMRCo), the investment advisor for Fidelity’s family of mutual funds. Fidelity Investments is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing and other financial products and services to more than 20 million individuals, institutions and financial intermediaries. In this role, he leads the GPCS team in driving the on-boarding, prioritization, and execution of Asset Management’s derivative and clearing initiatives to help the firm keep pace with business and regulatory change. Prior to joining Fidelity in his current position in December 2015, Mr. Bolusani led derivative operations strategy & middle office at AEGON Asset Management. In this role, he was responsible for managing strategic initiatives surrounding new complex derivative products and regulatory change impacting the operating model. He also established a new middle office function that involved trade support located on the trading desk. Mr. Bolusani began his derivatives career on the sell side with Morgan Stanley, on the structured credit trade support desk. In this role, he oversaw the team that provided day to day support to traders making markets in CLNs, bespoke CDS Index tranches, standard CDS Index tranches, CDS Index Swaptions, iBoxx TRS, and the appropriate linear hedging in various products. Mr. Bolusani helped launch new product initiatives and also coordinated complex impacts such as credit events across the entire firm. Prior to his derivatives roles, he held various positions in accounting & tax that have helped him gain a front to back view of derivative impacts to all operational aspects in a firm. Mr. Bolusani earned his bachelor of arts degree in accounting from Rutgers University Business School. He is also an active member of the OTC Derivatives industry and regularly participates on panels for varied industry forums.
Tara Mccloskey
Tara Mccloskey
Head of Derivatives Middle Office
MetLife
Tara McCloskey is a Director and Head of the Derivatives Middle Office and Collateral Management, which is part of the Investments Department’s Global Operations Unit. Her organization is responsible for trade valuation, trade confirmation, collateral management and analytics for derivatives. Tara joined MetLife August 2015 and has 20 years of experience in the financial services industry. Prior to joining MetLife, Tara held many roles in her 12 year tenure at JPMorgan including managing the Credit Portfolio middle office and eventually trading credit derivatives and leveraged loans for the Bank’s Credit Portfolio.. Tara graduated from the University of Delaware with a BS in Finance.
Tom Phipps
Tom Phipps
Principal – Practice Lead, Operational Strategy
Cutter Associates
Tom Phipps has more than 25 years of experience in the investment management industry, with a background in the automation of the investment process including portfolio management, risk analytics, trading, compliance, performance, and technology integration. Tom heads up the Operational Strategies practice at Cutter Associates and provides strategic advice services to our asset management clients and delivers leading industry perspectives at client events and conferences. His consulting experience includes strategic advisory engagements for some of the world’s most prominent investment management firms. Tom gained his expertise in technology and operations at software vendors and asset management firms, where he held leadership roles in technology management. Tom holds a B.S. in Operations Management and an M.I.S. from Florida State University.
Jeff Zoller
Jeff Zoller
Independent Expert, Former Head of Strategy, Risk and Compliance
Jeff is an operations leader with twenty-five years of extensive experience in investment operations management, strategy, risk management and third party vendor management. Jeff is currently leading the Business Integration program for a top 5 global custodian in a large middle and back office lift out, where he is responsible for the development and coordination of all activities to ensure operational, technical and solutions readiness for the bank. Previous to this, Jeff was a Vice President at T. Rowe Price responsible for the operational strategy, operational risk and compliance, service provider relationship management and business management functions within Investment Operations. Jeff led the assessment and selection of a strategic, global operating model for T. Rowe Price’s fund accounting and middle office operational processes, representing over $500 billion in fund accounting net assets and over $750 billion in middle office assets under management. Also during his tenure, Jeff led the operational on-boarding of new instruments, products and markets, the operational due diligence and on-boarding for all new strategic service providers supporting new business, and the development of the division’s STP strategy. Jeff served as Chair of ISITC from 2014 – 2016 and is a former member of the AMF Steering Committee. He is currently an ex-officio member of the Board of Directors for the Baltimore Symphony Orchestra. Prior to joining T. Rowe Price, Jeff worked in the audit division at Price Waterhouse, serving investment management clients in Baltimore, Philadelphia, New York and Boston. Jeff holds a B.S. in accounting from Wake Forest University.
Jeremy Hurwitz
Jeremy Hurwitz
Managing Director
Accenture
Jeremy Hurwitz is a Managing Director at Accenture and previously InvestTech Systems Consulting's CEO and Founder. Jeremy has over 25 years of experience in asset management and investment technology working with institutional investment organizations. He has extensive knowledge across a wide range of investment business models, technology platforms and architecture services. In the past 15 years, Jeremy has become a thought leader in Enterprise Data Management (EDM) and has led many global strategic EDM transformation programs, including the implementation and optimization of the leading EDM vendors’ platforms and services.
Eric Bernstein
Eric Bernstein
President of Asset Management Solutions
Broadridge Financial Solutions, Inc.
Mr. Eric Bernstein has been the President of Asset Management Solutions at Broadridge Financial Solutions, Inc since May 1, 2017. Mr. Bernstein served as Chief Operating Officer of Americas at eFront S.A., and served as its Chief Operating Officer of North America since his joining in May 2011. Mr. Bernstein is responsible for coordinating all business operations across the United States and Canada at eFront. Prior to eFront, Mr. Bernstein spent four years as Chief Operating Officer of the North America region for Sophis Technology (Ireland) Limited (also known as, Sophis, Inc.) since October 22, 2007. Previously, Mr. Bernstein spent six years at Linedata Services in various roles including Senior Vice President and Head of sales in North America. Prior to Linedata Services, he held positions at PaineWebber as head equity trader and at Melvin Specialists as a market maker and equity trader. He offers a tremendous track record of solution selling and delivery in the financial industry. He holds a B.A. in Economics from the State University of New York.
Perry Rahbar
Perry Rahbar
Founder and CEO
dv01
Perry Rahbar is founder and CEO of dv01, the data management, reporting, and analytics platform that offers institutional investors and banks transparency and insight into lending markets. He founded dv01 to solve the challenges he encountered during his decade-long career trading mortgage bonds at Bear Stearns (Managing Director, MBS trading) and J.P. Morgan (Executive Director, Co-Head of CMBS trading). To date, dv01’s software has offered investors insight into $10 billion of securitizations and more than $64 billion of consumer, small business, real estate, auto, and student marketplace loans, comprising >90% of the total market. By offering unrivaled data transparency, dv01 aims to simplify all aspects of loan and bond investment, expanding from online lending to the $13 trillion consumer and mortgage lending markets. Perry attended Emory University and majored in economics and political science. His team bridges Wall Street and Silicon Valley, fusing an insider’s understanding of incumbent financial processes with an uncompromising focus on technology.
Jan Hoenisch
Jan Hoenisch
Business Development
Charles River Development
Jan leads the business development team which supports new strategic initiatives and maintains existing relationships with Charles Rivers’ numerous partners. Prior to joining Charles River, Jan was head of Product Management at ITG-net, and Platform Product Strategy at ITG. He began his financial services career with three FinTech startups. Jan holds an MS in Computer Science from the University of Virginia, and an undergraduate degree in Computer Engineering from Clarkson University. Jan also holds 9 patents including one for apparatus and method for trade aggregation of trade allocations and settlements.
Michael Denorscia
Michael Denorscia
Head of Operations
Nisa Investment Advisors
Michael oversees NISA’s Operations Group, which is responsible for all middle and back office functions ranging from trade affirmation and settlement to reconciliation and corporate actions processing. Prior to joining NISA in December 2012, Michael spent over 20 years in the financial services industry in various operations and project management roles at firms including Grantham, Mayo, Van Otterloo & Co., JP Morgan Investor Services CO., Samoset Capital Group, and Wellington Management Company, LLP. Michael holds a BS in Business Management from the University of Massachusetts – Lowell.
Mik Bruno
Mik Bruno
Senior Vice President and Head of Product Management (North America)
RIMES Technologies
Mike Bruno is a Senior Vice President and Head of Product Management (North America) for RIMES Technologies. Prior to joining RIMES, Mike was a financial products and business consultant, specializing in financial market data, fixed income securities and portfolios, market indexes and financial application design. During his long career, Mike has been with the FTSE Group, where he headed FTSE’s fixed income and alternative asset index businesses. He has been a fixed income desktop product manager at Reuters America and Bridge Information Systems, an account manager at EJV Partners L.P., a fixed income analyst at Dillon Read and has worked in mortgage-backed securities for Morgan Stanley. Mike has also been an Adjunct Assistant Professor of Financial Management at New York University’s School of Continuing and Professional Studies and a fixed income instructor at New York Institute of Finance. He authored several chapters in Investing in Fixed Income Securities – Understanding the Bond Market (John Wiley & Sons, March 2005) and has been quoted in trade journal articles about FTSE indexes and fixed income ETFs.
J. Bradley Bennett
J. Bradley Bennett
Former Enforcement Chief
FINRA
J. Bradley Bennett recently re-joined the firm's White Collar Practice after serving as Executive Vice President, Chief of Enforcement, of the Financial Industry Regulatory Authority (FINRA) from January 2011 - January 2017. In that capacity, Mr. Bennett directed investigations and brought formal FINRA disciplinary actions against firms and their associated persons for violations of FINRA rules and federal securities laws. His tenure at FINRA has been publicly recognized as one in which FINRA brought cases within its experience and responsibility and on a scale of size, sanction and sophistication that can compete with federal regulators, including the U.S. Securities and Exchange Commission (SEC). Under his leadership, the Department's team of 275 attorneys and staff increased the number of both formal actions and bars and expulsions of bad actors by 20%. Financial sanctions increased from $41 million in the year prior to his arrival to $175 million in 2016.
Cynthia Seebach
Cynthia Seebach
Managing Director
TD Asset Management
Cynthia Seebach joined TD Asset Management Inc. (TDAM) in 1998. Cynthia’s responsibilities include: talent management, development and delivery of an organizational strategic roadmap for infrastructure, implementation of operational efficiencies, delivery of strategic and tactical business projects to meet organizational needs, governance and oversight of outsourcing arrangements and vendor management, information management and data governance, setting and maintaining internal audit controls and external reporting requirements and acting as liaison with various internal and external departments to ensure TDAM’s interests are represented in technological development, compliance, support and service issues. Cynthia received an Honours B.Comm. from McMaster University.
Omer Cedar
Omer Cedar
CEO
Omega Point
Omer is CEO and co-founder of Omega Point. Previously, Omer served as SVP, Research at Two Sigma Investments. In this role, he founded and built Two Sigma's global equity research analyst survey platform ("TAP"). He was responsible for research/modeling, product development, and relationship management. He also managed Two Sigma's quantitative risk arbitrage system, developed models, and conducted classic fundamental Risk Arb research. Omer holds a Bachelor’s Degree in Electrical Engineering and Computer Science from UC Berkeley and an MBA from the MIT Sloan School of Management.
Richard Bezanson
Richard Bezanson
Head of Operational Delivery
Aviva Investors
Rich Bezanson is the North American Head of Operational Delivery for Aviva Investors America. Rich has over 20 years of experience in the financial services business covering front, middle and back office operations. Rich’s considerable knowledge and expertise covers a wide range of areas including data governance, security valuation, and product launches. His recent focus has been optimizing operational interactions for clients across multiple platforms to deliver successful experiences. Prior to joining Aviva, Rich was Vice President at JPMorgan for US regulatory change and worked to develop a broad range of solutions to implement organizational and platform changes to comply with the ever changing regulatory landscape.
Rammi Singh
Rammi Singh
Fintech Director
Electra Information Systems
Mr. Singh joined Electra Information Systems in February 2017. Prior to joining Electra, Mr. Singh worked as an Operations Manager at several startup and large scale multi strategy hedge funds, and bulge bracket investment banks, from 2002-2017. Mr. Singh's areas of responsibilities included streamlining the full trade flow cycle from execution to settlement, and mitigating operational risk via reconciliation platforms he built. Mr. Singh graduated from Rutgers University with a BA in Economics with a concentration in Finance.
Tomas Edwards
Tomas Edwards
VP – Global Product Strategist
SimCorp Coric
Tomas Edwards is responsible for SimCorp Coric's global product marketing strategy. Having spent 18 years in various global roles and locations with UBS Wealth Management and a short stint leading the EMEA Wealth Management business of a rival software provider, he joined SimCorp in September 2016. He is interested in client-centric digitization and industry transformation, and uses his knowledge and experience to present SimCorp Coric around the world.
Randa Paver
Randa Paver
Vice President of Securities Operations in the Single-Family Operations
Freddie Mac
Randa Paver is Vice President of Securities Operations in the Single-Family Operations organization. In this role, she is responsible for the issuance, payment, disclosure, and investor tax reporting of all mortgage-backed securities (Single-Family and Multifamily), as well as the STACR credit risk transfer program securitizations. She also plays a key role in the development of the new Common Securitization Platform and the new Unified Mortgage Backed Security (UMBS). For over 25 years, Ms. Paver has held a number of leadership positions within Freddie Mac, including financial reporting, loan delivery and investor reporting roles. Freddie Mac was established by Congress in 1970 to provide liquidity, stability and affordability to the nation’s residential mortgage markets. Freddie Mac supports communities across the nation by providing mortgage capital to lenders. Today Freddie Mac is making home possible for one in four home borrowers and is one of the largest sources of financing for multifamily housing. For more information, please visit www.FreddieMac.com and Twitter @FreddieMac.
Richard A. Sorkin
Richard A. Sorkin
Senior Vice President – Securitization
Fannie Mae
Richard Sorkin is Fannie Mae's Senior Vice President – Securitization, reporting to the Executive Vice President – Single-Family Business. Sorkin is responsible for overall securitization strategy and process which includes the integration to the Common Securitization Platform. Sorkin also serves as a board member for Common Securitization Solutions LLC. Previously, Sorkin was Senior Vice President- Pricing Strategy, where he focused on all elements of credit pricing strategy including: lender specific and national pricing, as well as flow and bulk pricing. Preceding this role, Sorkin served as Vice President – Structured Transactions, where he managed a team responsible for marketing, pricing, disclosing, and settling structured transactions. He joined Fannie Mae in 1989.
Dave Winter
Dave Winter
Head of Investment Operations, Americas
Aberdeen Standard Investments
David Winter serves as the Head of Investment Operations - Americas for Aberdeen Standard Investments located in Philadelphia. Prior to joining Aberdeen Standard Investments in 2011, David worked for State Street IMS, where he was an Assistant Vice President serving as a business analyst as well as oversight of the portfolio accounting team as part of his 25-plus years of industry experience. David graduated with a BS from Widener University and an MBA from Villanova University.
Steven Wisneski
Steven Wisneski
Director Global Trade Services
Franklin Templeton Investments
Steven Wisneski serves as Senior Vice President of FTS Systems & Operations Strategy. He joined Franklin Templeton in July 2005 as a Director of Trade Settlements and was promoted to Vice President of Global Trade Services (GTS) in December 2011. Steve has led many initiatives to improve our business including completion of the multi-year Trade Settlements STP program, establishment of GTS global sourcing effort in both Hyderabad and Poznan, lead the implementation of Collateral Management platform, the creation of the Middle Office Client Services team (MOCS), and lead the effort to meet various regulatory changes (Dodd Frank, EMIR, etc.). Steve represents FT in several industry bodies including, serving on the Board of Directors of ISITC, the Asset Manager Forum and the Omgeo Advisory Group. Steve is currently leading Franklin’s System Strategy initiative and SimCorp dimension implementation. He also has responsibility for FT’s Global Project Management Office, Data Integration Operation, and System Support function. Prior to joining Franklin Templeton, Steve was a Vice President at The Bank of New York having served in various capacities including Mutual Fund Custody Administration and Global Custody Operations. Steve has a Bachelor’s of Science degree from Seton Hall University and a Master’s degree in Finance from Farleigh Dickinson University.
Alan Williamson
Alan Williamson
Strategic Account Manager
Smart Communications
Alan Williamson heads up global business development for the buy-side at SmartDX where he has been working for the past eighteen months. SmartDX aims to be the industry-standard for the negotiation of derivatives contracts for capital markets. Previously he was at DTCC for nearly ten years managing relationships with the world’s leading investment banks, investment managers and investment outsource providers. Alan thus has many years’ experience in working with leading buy-sides in understanding first-hand their operational challenges and delivering technology solutions that can mitigate risk, reduce costs and enhance operational performance. Alan is particularly keen to see financial institutions embrace document digitalisation and collaboration in the derivatives space using cloud-based deployment. This has particular relevance for the collateral management process.
Liz Blake
Liz Blake
Global Head of Managed Services
Eagle Investment Systems
Liz Blake has over 20 years of diverse experience in the investment management industry. In her current role as Head of Eagle Managed Services, Liz has responsibility for growing and managing the Global Managed Services business line, including operations, technology, client relationship and the strategic direction of the group. Prior to joining BNY Mellon, Liz was Managing Director, Head of Operations, Alternative Investments at Manulife Asset Management, where she was responsible for the development and management of the global operations for a business providing investment products in alternative asset classes of Real Estate, Commercial Mortgages and Private Placements. Prior, she was Managing Director of Investment Operations for the United States, Manulife Asset Management.
Philip Brittan
Philip Brittan
CEO
Crux Informatics
Philip has thirty years of experience in the FinTech sector, both as a serial entrepreneur and as a business leader in larger firms. Most recently, he was Chief Technology Officer and Global Head of Platform of the Financial and Risk Division at Thomson Reuters. Prior to that he oversaw Google Finance and a portion of Google Local Search. He led the growth of Bloomberg’s Foreign Exchange business from entering the FX market to establishing a leadership position. Philip began his career as a serial entrepreneur CEO, founding and running three start-up companies (Fenics, Spheresoft, and Droplets). Philip holds an A.B. cum laude in Computer Science from Harvard University. He is an accredited Financial Risk Manager, a member of the Global Association of Risk Professionals and PathNorth, and a former member of the Young Entrepreneurs Organization.
Anita Karier
Head of Global Initiatives, Global Portfolio Services
Invesco
Anita is currently working for Invesco in identifying global solutions for their operations functions. This includes solutions around the Investment Book of Records (IBOR) as well as settlement and additional post-trade support. During the past 2+ years, she led the operations teams within Global Portfolio Services in the implementation of a new IBOR infrastructure in their North America region with a vision toward globalization of the platform and the service model. The new platform was implemented successfully in their North America environment last year. This endeavor included the design and testing of the infrastructure as well as standardization of regional processes and staff training across all their North America locations.
Andrew Burgin
Andrew Burgin
Managing Director Financial Services
Accenture
Andy is a Managing Director in Accenture’s Asset Management practice. He is responsible for managing several of Accenture’s most strategic client relationships at various Asset Management firms and is part of the global capital markets leadership team. He previously led Accenture’s NA Asset Management industry practice. Andy has worked extensively across the asset management, wealth management and retirement services business over the past 24 years. He has partnered with senior client leaders on sales and service operating model design, operational transformation, package and custom system evaluation and implementations across asset classes (trading, portfolio management, CRM, etc), digital innovation, robotics and artificial intelligence, merger integration, and both application and business process outsourcing programs. Andy graduated with a B.S. in Mechanical Engineering from N.C. State University and lives in Charlotte, NC.
Cinda Whitten
Cinda Whitten
Managing Director, Global Operations
Principal Global Investors
Cinda Whitten is the Managing Director for Investment Operations and is responsible for the global operational functions within Principal Global Investors that serves as shared centers of excellence to support PGI’s multi-boutique model. Cinda has over 15 years’ experience in performance and operations serving as a change leader across strategic projects and building out the global operation with a keen focus on automation, risk and cost control. She is currently responsible for a global transformational program which will modernize technology for the Investment Book of Record, put data and governance at the center of the operation, and build a foundation for future scale. Cinda is a member of the CIPM Association, previously held a positions on the GIPS Interpretations Sub-Committee, Promotions & Awareness Sub-Committee, & worked with the CFA to advance sample exams to support the CIPM program. Currently she holds a position on Bank of New York’s Client Advisory Board and Investment Company Institute’s – Securities Operations Advisory Committee. She is committed to advancing buy-side operational challenges working with global custodians, peers, and industry groups to collaborate and advance the industry. Cinda received both her MBA and bachelor’s degree in Finance from Northwest Missouri State University.
Carol Kuha
Carol Kuha
COO
RBC Global Asset Management (U.S.) Inc.
Carol Kuha oversees the firm’s day-to-day operations, including administration, technology, marketing and operations. Carol sits on the RBC GAM-US Executive, Management, Product and Compliance Committees. Before returning to RBC GAM-US in 2001, she was the chief operating officer for NorthShore Advisors, LLC, a Minneapolis-based fixed income investment management firm. As manager of client administration at RBC GAM-US from 1990-1998, Carol was responsible for client reporting, investment software support, and operations. She has worked in the investment industry since 1987. She earned a BS from the University of Minnesota and is a CFA charterholder and a member of the CFA Society of Minnesota Board of Directors.
Alexandra Lajoux
Alexandra Lajoux
Chief Knowledge Officer
National Association of Corporate Directors - Emeritus
Alexandra Reed Lajoux is chief knowledge officer (CK)) emeritus at the National Association of Corporate Directors (NACD) and founding principal of Capital Expert Services, LLC. She has served as editor of Directors & Boards, Mergers & Acquisitions, Export Today, and Director’s Monthly, and has coauthored a series of books on M&A for McGraw-Hill, including The Art of M&A and eight spin-off titles on strategy, valuation, financing, structuring, due diligence, integration, bank M&A, and distressed M&A. For Bloomberg/Wiley, she coauthored a tome on corporate valuation for portfolio investment. Dr. Lajoux serves on advisory boards of the M&A Leadership Council and Campaigns and Elections, and is a Fellow of the Caux Round Table for Moral Capitalism. She holds a B.A. from Bennington College, a Ph.D.from Princeton University, and an M.B.A. from Loyola University in Maryland. She is certified as a Competent Communicator by Toastmasters International.
Laurie D Battaglia
Laurie D Battaglia
MS-OD, PCC, CEO & Workplace Strategist
Aligned at Work
Thought Leader, Writer, Speaker, and Transformer of people, cultures and workplaces, Laurie is CEO and Workplace Strategist of Aligned at Work® in Scottsdale, AZ. Laurie is the creator of the Aligned at Work® Model, which combines the Success Factors of Vocation, Relationships, Finances, Wellbeing, and Spirit into an integrated work/life model. Laurie’s 35+ year career as a corporate leader spanned the smallest to the largest of investment and banking companies. She works with Senior Leaders to build engagement into their cultures and practices, and helps them build high performing teams. Laurie has a calling for equality and inclusion in the workplace; her work with women leaders includes men in the process of gender equality. Laurie has an MS in Organizational Development and Leadership from Philadelphia College of Osteopathic Medicine.
Matt Cipriano
Matt Cipriano
Director of Trade Operations
Campbell & Company
Mr. Cipriano joined Campbell & Company in October 2016 as Desk Manager of Trade Operations. Mr. Cipriano was appointed Director of Trade Operations in March 2017 and is responsible for managing Campbell’s daily trade operation efforts. Prior to joining Campbell & Company, Mr. Cipriano spent six years at Morgan Stanley & Co. where he held various leadership roles. Most recently at Morgan Stanley, Mr. Cipriano served as the North American Foreign Exchange and Commodities Director - where from April 2014 to October 2016 he was responsible for managing the Institutional Client Services teams in those respective asset classes. Mr. Cipriano holds a BA and a MBA in Financial Management with a Certificate in E-Commerce from Iona College.
Daniel James Scott
Daniel James Scott
Co-Executive Director
Tampa Bay Tech & Featured in Tampa’s Power Top 100 2017
Daniel James Scott serves as Executive Director of Tampa Bay Tech, representing Florida’s largest and fastest-growing tech hub; as Executive Sponsor on the Board of Directors for RNG Tampa Bay, the region’s largest in-house, corporate recruiters group; and as Treasurer of the Board of Directors for the Lions Eye Institute for Transplant & Research, the only combined eye bank and ocular research center in the world. Previously, Daniel’s work as Co-Founder of the USF System’s undergraduate Entrepreneurship program earned the United States Association for Small Business and Entrepreneurship’s “Outstanding Emerging Entrepreneurship Program” award and him the Association for Small Business and Entrepreneurship’s “Educator of the Year” award. Additional honors for Daniel’s community leadership include being named the US Small Business Administration’s 50th Anniversary State of Florida “Business Advocate of the Year,” one of Florida Trend Magazine’s “Economic Impact Players” and a four-time Tampa Bay Business Journal “Up & Comers” honoree.
Paul Migliore
Paul Migliore
CEO
Citisoft
Paul has over 28 years’ experience providing asset management strategic, systems, and operations services to the world’s leading investment management companies. Prior to joining Citisoft, he was the lead partner with PwC Consulting (IBM Global Business Services) and was responsible for its US Investment Management practice. Paul has extensive business and systems expertise in all areas of asset management operations and still participates in many of Citisoft’s strategic engagements as a subject matter expert and client relationship partner. He is actively involved in industry conferences and is called upon as a thought leader to provide general trends and perspectives on the current state of the investment management industry.
John McPartland
John McPartland
Senior Policy Advisor
Federal Reserve Bank
John McPartland spent much of his career designing and operating netting, clearing, and risk mitigation systems. As Senior Policy Advisor to the Federal Reserve Bank of Chicago, he contributes to the Federal Reserve’s position on policy issues involving clearing and netting ystems, supervisory oversight of exchange traded and OTC derivatives, international competitiveness, and regulatory reform of domestic financial markets. He has been a settlement banker, a trader, FCM executive, and deputy manager of the CME Clearing House. He has been a guest lecturer at the London School of Economics, the University of Wisconsin and the IIT Center for Financial Markets.
Ignatius John
Ignatius John
President
Alpha Omega Financial Systems
Ignatius John, considered by many to be an IT visionary, is recognized as a pioneer in the use of the FIX Protocol for post-trade. As Global Trading Strategist at AXA Rosenberg, Ignatius implemented a complete post-trade solution in 2008 using the FIX Protocol. This accomplishment was highlighted in a leading industry journal on Trading, and was a precursor to the industry’s adoption of FIX for post-trade. In various roles at AXA Rosenberg over two decades, Ignatius managed business strategy, product and technology development. He also worked for global custodian State Street Bank on real-time trading technology. Ignatius has a proven track record of implementing functional improvements to the investment process, from pre- to post-trade in the US, Asia and Europe, to increase workflow efficiency, mitigate risk and enhance portfolio returns.
David Bates
David Bates
Managing Partner
Citisoft
David Bates is Managing Partner of Citisoft's North America business and part of the executive management team responsible for Citisoft’s operations. With over 19 years’ experience servicing the asset management industry, he has a long track record of developing operational and technology strategies and leading complex transformation initiatives. David has experience working with investment firms, asset owners, hedge funds, and insurance firms with a focus on aligning technical and operating capabilities to business objectives. He began his consulting career in the US Investment Management Practice at PwC.
Stephen Murphy
Stephen Murphy
CEO
Genesis Global
Stephen graduated with a 1st in BSc Computer Science and has held senior business & “C-level” technology positions for some of the worlds leading investment banks including Goldman Sachs, Merrill Lynch, HSBC & BTG Pactual. During his career he has lived in São Paulo, New York, Hong Kong & London. Stephen has managed teams of over 250 people, technology budgets over $100 million and supported business lines with over $500 million of revenue. Stephen also led from a client perspective key multi-million dollar contracts negotiations with major software vendors such as Microsoft, Oracle, SunGard, Murex, Calypso, Charles River and Fidessa.
Elise Bourret
Elise Bourret
Vice President, Global Investment Services
Manulife Asset Management
In her role, Elise is accountable for several functions within the global investment operations team, which support General Account assets and those of third party institutional investors and wealth management clients. She is a member of Manulife’s Quebec Executive Committee. Elise joined Manulife through the Standard Life acquisition, where she was VP, Investment Operations. She originally joined Standard Life in 2001, as Manager, Investment Operations. Prior to this, Elise was Senior Manager, Trust and Fund accounting at StrategicNova Investment Funds. She began her career as an auditor at Raymond Chabot Grant Thornton and Arthur Andersen. She was recognized as a 2016 Champion of Change by Women in Capital Markets in Canada. Elise has 22 years of work experience, of which 19 years are in financial services. She graduated from the University du Québec à Montréal with a Bachelor of Commerce. She is a Chartered Professional Accountant and a CFA charterholder.
Vince Pasqualicchio
Vince Pasqualicchio
COO - Investments
American Family Insurance
Vince is the Investment Chief Operations Director for American Family Insurance. Vince has responsibilities for Trade Operations (trade settlement, cash and position reconciliation, cash management, custody), Investment Risk Management, Performance and Attribution, Compliance, Information Technology, Data Management and Reporting. He also has responsibility for the Investment department strategic goals, budget, market data and vendor management. Prior to American Family Vince worked for Cutter Associates as a Senior Consultant. He worked with Insurance and Global Investment Management firms to develop strategies, select system solutions, improve business processes and lead system implementations for Cutter Associates which provides the investment management industry with specialized benchmarking, consulting and research services. Prior to Cutter Associates Vince worked at Metlife as a VP of Investment Technology and Operations and supported Investments Global Operations.
Katie Oliverio
Katie Oliverio
Vice President Derivatives Regulation
Alliance Bernstein
Katherine Oliverio is a Vice President and Manager of the Derivatives Legal team, which is responsible for counterparty onboarding for AB derivatives users globally. Her role includes negotiating documentation regarding over-the-counter derivatives, cleared swaps, futures, listed options, prime brokerage, repurchase agreements, foreign exchange, mortgage-backed securities and securities lending. Oliverio also tracks global regulatory developments related to derivatives, and is a member of AB’s Counterparty Risk Committee, Clearing Oversight Committee, and a voting member of the ISDA Determinations Committee. Before joining the firm, she worked in the legal department of Barclays, where she was a member of the Prime Brokerage Contract Negotiation Specialist Group. Oliverio began her career in the Counterparty Risk Solutions department of S3 Partners. She holds a BBA in finance from Pace University. Location: New York
David Zelinger
David Zelinger
SVP- America’s Professional Services Manager
SmartStream Technologies
David is currently the Head of Professional Services for SmartStream’s North American business. Over the last 15 years David has been an active participant in the evolution of OTC derivative operations, having chaired multiple industry-wide working groups devoted to driving collaboration and efficiency across the OTC landscape. He has served at the management level across market segments, from the G15 to Fintech startups, with a broad focus on streamlining front to back operations across a wide range of asset classes and business processes.
Craig Parfitt
Craig Parfitt
Head of Engineering, Atlantic
GFT Technologies
Craig joined GFT in 2017 and is responsible for the engineering capability of 230 people in the Atlantic region and more than 400 people globally with advanced skills in automation and intelligence; developing products and solutions underpinned by big data, cloud development, compute and storage, digital, and areas of innovation such as AI. Craig previously held a number of executive engineering and advanced analytics roles, including at Cap Gemini Ernst & Young where he designed, developed and implemented the first commercial corporate media content ‘Recommendations Engine’ for a global media company. Prior to this, at BAE Systems he led the team that designed a prototype early detection system for border controls using AI algorithms and predictive analytics. More recently, he served as the Head of Advanced Analytics, AI and IoT at Accenture, and Head of Product, Partner Services and Data Platforms at Expedia Inc.
Laura Valentine
Laura Valentine
Assistant Director Investment Operations
Principal Global Investors
Eric Smith
Eric Smith
Director, Data Management & Valuations
Athene Asset Management, L.P.
Miquel Noguer Alonso
Miquel Noguer Alonso
Executive Director Investment Management
UBS Asset Management