InvestOps USA 2018

March 26-March 27, 2018

Grand Hyatt Tampa Bay


Agenda Day 2

8:00 AM - 8:50 AM Conference Registration & Networking Breakfast

8:50 AM - 9:00 AM Chairperson’s Opening Remarks:


9:00 AM - 9:30 AM Keynote Presentation: Out with the old and in with the new: Which legacy systems should you rip out and replace with which innovative solutions to achieve a truly optimized front-to-back cross-asset investment operations?

Cynthia Meyn, Executive Vice President, Operations, PIMCO
-Pinpointing the key challenges and opportunities in streamlining the buy side investment operations model
-How to strike the balance between meeting short term vs long term regulatory and business projects whilst making such a drastic change
-How to practically identify which legacy systems you should rip out and how to do this with as little disruption as possible to day to day workflow
-How to identify which innovative solutions you should be investing in now to make this transition as smoothly as possible


Cynthia Meyn

Executive Vice President, Operations

9:30 AM - 10:10 AM Panel: How can you create a global operating model that leverages disruptive technologies and absorbs an increase in operational complexity and regulatory pressure?

Anita Karier, Investment Operations Director, Invesco Gabriel Schofield, Head of Investment Operations, Charles Schawb Investment Management David Benevides, Director Investment Operations, Manulife Asset Management
-Pinpointing key challenges and opportunities in globalizing the operating model: How can the buy side overcome obstacles around supporting a global business
-Enabling trading across multiple locations: How can you optimize business processes and RegTech to absorb an increase in trading locations, volumes and product complexity
-Remaining competitive with the simpler and more streamlined business models of newcomers: How can large, established firms best integrate the latest and greatest technology into complex operating systems?
-Introducing agility and scalability into your operations: How can you absorb the best of breed solutions into existing global workflows to remain relevant in a changing industry

Anita Karier

Investment Operations Director

Gabriel Schofield

Head of Investment Operations
Charles Schawb Investment Management

David Benevides

Director Investment Operations
Manulife Asset Management

10:10 AM - 10:30 AM Industry Keynote: Staying ahead of the tech curve: The top 3 innovations that you should know about that will be major game changers for making your ambitious front-back cross-asset streamlined investment operation goals a reality

-Cross industry focus: How can you learn from other industries in respect to leveraging technology to ultimately make day to processes easier?
-Customer focused: How can you think through what the customers of the future want and expect from investment managers and use technology to provide this?
-Digital Revolution: How to move away from spending time and effort on fixing legacy technology and move towards the technology of the future that will revolutionize your operations processes
-Dismantling myths in 2018: How front-to-back cross asset technology can me on boarded into your business without slowing down day to day to day operations


10:30 AM - 11:00 AM Exclusive Guest Speaker 5 secrets to attracting the best talent and creating a high performing culture in your workplace

Laurie D Battaglia, MS-OD, PCC, CEO & Workplace Strategist, Aligned at Work
-How to attract the top talent and build a collaborative work environment across generations
-How to create an investment operations division where all employees are engaged and aligned with the organization’s vision and values in an increasing regulatory and risk environment
-Increase operational efficiency through your division: How to increase trust, decrease unwanted turnover, and reduce onboarding and training costs in an increasingly fee pressured operational landscape

A born connector, people magnet, gifted presenter, and calm, methodical coach, Laurie is CEO and Workplace Strategist of Aligned At Work. Having spent 35+ years leading teams, including full time leadership development training with Vanguard's senior leaders and supporting an operations team at Wells Fargo she now works to coach, train and consult with leaders who want to create high performance workplaces. She has been featured in various outlets for her work including Business News Daily, U.S. News and World Report and many more.


Laurie D Battaglia

MS-OD, PCC, CEO & Workplace Strategist
Aligned at Work

11:00 AM - 11:30 AM Morning Break


TRACK A - Establishing Winning Partnerships

11:30 AM - 12:10 PM Oxford Style Debate: True or false? It is possible to outsource all of your operations without handing over full control to a third party provider

Jeff Zoller, Independent Expert, Former Head of Strategy, Risk and Compliance , Jeffrey Leschen, Director of Operations, Bramshill Investments Eric Bolisay, Vice President- Head of Derivatives Strategic Operations, T.Rowe Price
-Disputing the pro’s and con’s of outsourcing: Does outsourcing the following processes will add value to your operations:
  • Front-Office related activities – performance measurement, attribution and affirmation
  • Collateral Management
  • Trade processing of complex derivatives or ETFs
  • Regulatory compliance
-Is it possible to maximize risk management through the outsourcing lifecycle?
- Increasing the quality of offshored services:
How to strengthen your control framework to guarantee efficient service and quick dispute resolution when dealing with more complex products
-Exploring hosting as a low-cost customization option: Is it possible to leverage outsourcing firms’ technology without handing over complete control of operations?

Jeff Zoller

Independent Expert, Former Head of Strategy, Risk and Compliance

Jeffrey Leschen

Director of Operations
Bramshill Investments

Eric Bolisay

Vice President- Head of Derivatives Strategic Operations
T.Rowe Price

TRACK A - Establishing Winning Partnerships

12:10 PM - 12:30 PM Interview: Building a winning buy & sell side relationship: What are the major changes required on both sides of the fence to ensure you are getting the most value from your partnerships?

Kevin Geraghty, Senior Vice Presisent Invesment Operations, Pinebridge Global Investors
-Defining the ideal dynamic: What is lacking now within the buy and sell side relationship and how we can better understand expectations from both sides?
-When does it make sense to select a sell side specialist versus a one stop shop partner?
-How are the sell side innovating to offer you the breadth and depth of products and services you need to efficiently and effectively service your business?
-How is the buy and sell side dynamic likely to evolve in the years to come?

Kevin Geraghty

Senior Vice Presisent Invesment Operations
Pinebridge Global Investors

TRACK A - Establishing Winning Partnerships

12:30 PM - 1:00 PM Fireside Chat: Setting up strategic relationships: How to coordinate your external partnerships to achieve front-to-back operational efficiency

Building strategic partnerships: How to streamline and consolidate broker relationships to improve workflows in a complex environment
- How to best connect to and control disparate custodian and fund admin structures to improve efficiency
- Creating a blueprint for single platform management: How to streamline the connection to multiple platforms and additional SEFs

TRACK B - Cutting-Edge Data Management

11:30 AM - 11:50 AM Case Study Revolution: Bringing the whole data world together: How can you combine architecture, governance and management to deliver a framework that enables quality, traceability and flexibility in your operations?

Cynthia Seebach, Managing Director, TD Asset Management
-Data in 2018: What data looks like in a typical organisation and the implications it has on overall business
Highlighting recent requirements in EMEA, USA, ANZ AND APAC: How are you streamlining data channels to seamlessly comply with multiple cross-global reporting regimes
-Exploring the data challenge: How to better manage inbuilt data quality in your business processes
-How to leverage specialized analytical techniques and computing tools to analyse large data sets to increase operational efficiency
-Pipe dream or creeping reality? How you can put in place measure to move towards an optimized framework and the ‘golden source of data’ sooner rather than later


Cynthia Seebach

Managing Director
TD Asset Management

TRACK B - Cutting-Edge Data Management

11:50 AM - 12:30 PM Panel: Benchmarking cutting-edge data management approaches: How to fix your biggest data pain points and streamline your front-back cross asset processes to respond to the ‘data storm’

Stephen Gouthro , Head of Investment Operations, Putnam Investments Tom Phipps, Principal – Practice Lead, Operational Strategy, Cutter Associates Cinda Whitten, Managing Director, Global Operations, Principal Global Investors
-The need for a new approach? Under regulations, growing technology, big data and advanced analytics how are global firms addressing the need for a new approach to data management?
-Setting realistic objectives: how does your actual data management approach differ from text book approaches?
-How to decide which specific technologies can help you streamline your global data processes
-Exploring “data engineering” and how to assess if this is the best way to navigate the ‘data storm’


Stephen Gouthro

Head of Investment Operations
Putnam Investments

Tom Phipps

Principal – Practice Lead, Operational Strategy
Cutter Associates

Cinda Whitten

Managing Director, Global Operations
Principal Global Investors

TRACK B - Cutting-Edge Data Management

12:30 PM - 1:00 PM Interview: Building a data warehouse that delivers significant ROI: How to develop an enterprise-wide strategy that efficiently receives, consumes and distributes data

Ed Selker, Director - Data Management Operations, Federated Investors
-Exploring the challenges and opportunities of building a golden source of data: How can you build a strong security master that will set you up for success?
-Consolidating data feeds to minimize cost: How can you eliminate duplicate data feeds without losing competitively advantageous information?
-Governing the use of data to guarantee integrity: What proven approaches can be adopted to efficiently control and strengthen discipline of data ownership?
-Streamlining data distribution: How can you optimize the movement of information across various platforms in a controlled environment?


Ed Selker

Director - Data Management Operations
Federated Investors

TRACK C - Mitigating Major Risks

11:30 AM - 12:15 PM Leadership Boardroom: Managing external risks: How to effectively mitigate risks around outsourcing to build a robust governance strategy

Sonia Maloney, COO, Norrep Capital Management
-The unremitting struggle: How to ensure regulatory compliance whilst using an outsourcing provider
-A risk management plan: How to develop this in initial phases to identify evaluate and prioritize risks and mitigations strategies
-Protecting operations: How to use due diligence confidently around outsourcing key systems and controls and stay within the regulatory guidelines
-How to minimize security risks by outsourcing facilities and technology


Sonia Maloney

Norrep Capital Management

TRACK C - Mitigating Major Risks

12:15 PM - 1:00 PM Boardroom: Staying on top of cybersecurity: How to establish policies, procedures and controls that effectively respond to attacks and protect against cyber threats

Evan Fire, CIOO & CISO, Pzena Investment Management
-How should firms cost-effectively implement controls/safeguards against cyber crime – is regulatory compliance enough?
-What regulation is out there and will be out there that you would need to comply with?
-Staying vigilant: What irregularities should raise red flags and how do you know when to respond?
-What role do investment operations play in cyber security?


Evan Fire

Pzena Investment Management

1:00 PM - 2:10 PM Exclusive Invite Only Buy Side Lunch 4 steps to success: How to execute your transformation vision to make it more than a fantast and gain confidence and commitment from within your organization to complete a large-scale transformation programme

Jay Boyd, Global Application Services Technology Officer, Invesco Eric McCalley, Head of Investment Operations, Insight Investments Matt Sweeney, Director of Investment Operations, MFS Investment Management
Open to 15 Heads of Investment Operations
Join this interactive lunch session, air your own hot topics and together brainstorm ways you can innovate operations and then drive those objectives forward.


Jay Boyd

Global Application Services Technology Officer

Eric McCalley

Head of Investment Operations
Insight Investments

Matt Sweeney

Director of Investment Operations
MFS Investment Management


2:10 PM - 2:30 PM Inspirational Case Study: How to embrace Fintech as a more innovative, lower cost and highly scalable solution to tackle your biggest operational headaches head-on and achieve real business efficiencies

Miquel Noguer Alonso, Executive Director Investment Management, UBS Asset Management
-How are big data, machine learning and AI reshaping investment management?
-How to embrace disruptive technologies to streamline your front-to-back operations?
-Defining disruption: How will the buy side have to evolve their thinking from traditional operational approaches and overcomes the challenges in machine learning to reap the rewards it offers?
-How and why to take advantage of the innovative, lower cost and highly scalable solutions offered by newer and more entrepreneurial suppliers


Miquel Noguer Alonso

Executive Director Investment Management
UBS Asset Management

2:30 PM - 3:00 PM Out of Industry View: Why the future of the buy side depends on innovation with inspiration from Watson, Google, Amazon, Uber and Twitter- the 5 transformation trends from outside of the finance industry you should address in your operations to stay ahead of the curve

-Watsonisation- The era of cognitive computing and what this can do for buy side operations
-Googlisation-How companies are growing data-smart and how the buy side can move in this direction
-Amazonisation- How you can take advantage of the power of the platform in your investment operations
-Uberisation-Inspiration on how you can reinvent your business model to stand out from your competitors
-Twitterisation- How you should change the way you do business in a connected world

3:00 PM - 3:30 PM Shark Tank: Examining the latest and greatest innovations in operations technology: Which offer true added value and should be considered for your future investment plans?

Mark Whitcroft, Founding Partner, Illuminate Financial Management Perry Rahbar, Founder and CEO, dv01
Taking place outside on our terrace with chilled beers, this innovative session gives you the chance to hear from pre-selected cutting-edge technology starts ups. Join our esteemed panel of investment operation dragons as the startup firms present their offerings in a bid to win first place. Listen up as the dragons review the technology benefits to your business and predict their success. Ultimately the winning decision is in your hands though as the audience vote their favorite. Finishing the summit perfectly by focusing on the exciting future of innovative operational technology.

Mark Whitcroft

Founding Partner
Illuminate Financial Management

Perry Rahbar

Founder and CEO

3:30 PM - 3:35 PM Chairperson’s Closing Remarks:

3:35 PM - 3:40 PM Conference Close