Overview

2019 Program:

Ops 2020 Program Preview

Overview

2019 Program:

Program

12:30pm – 12:30pm

2019 SIFMA Operations Conference & Exhibition

12:30pm – 5:30pm

Sponsored by Gresham Technologies. Golf Tournament: Tee off at one of the finest golf resorts in Florida, which was built in 1926. Discover the rich and historic value and tradition…

Sponsored by Gresham Technologies.

Golf Tournament: Tee off at one of the finest golf resorts in Florida, which was built in 1926. Discover the rich and historic value and tradition of this exquisite golf course dating back to when PGA professionals Sam Snead and Tommy Armour served at the course.  The Shotgun Tournament will provide plenty of excitement as teams travel throughout the course and experience what this course has to offer.

Cost: $225 per player (includes green and cart fees)
Registration Form: Please click the OPS 2019 Golf Outing Registration Form to register. Please send all completed forms to Lizzie Grimm at [email protected].
Cancellation Policy: Refund requests received by April 29, 2019 will be granted less a $50 administrative fee.  No refunds for cancellations received after April 29, 2019. Cancellation requests must be in writing.

3:00pm – 6:00pm

Registration Desk Hours
Sponsored by DTCC

Sponsored by DTCC

3:30pm – 4:30pm

Learn how to leverage technology to create a scalable process resulting in customized portfolio solutions, enabling the delivery of better client outcomes in a more efficient way for your financial…

Learn how to leverage technology to create a scalable process resulting in customized portfolio solutions, enabling the delivery of better client outcomes in a more efficient way for your financial advisors and home office operations.

Participants

Wayne Gilpin, Rob Klapprodt, Nick Thacker

Speakers

Wayne Gilpin

Senior Vice President, Global Partners

Vestmark, Inc.

Wayne Gilpin’s Biography

Rob Klapprodt

Corporate Strategy Officer

Vestmark, Inc.

Rob Klapprodt’s Biography

Nick Thacker

Senior Vice President, Business Development

Vestmark, Inc.

Nick Thacker’s Biography

In this session, we’ll cover not only what SEC Examination Priorities you need to adhere to for 2019, but also what additional topics should be on your firms radar and…

In this session, we’ll cover not only what SEC Examination Priorities you need to adhere to for 2019, but also what additional topics should be on your firms radar and what tech solutions are available to help create efficiencies in hailing these issues and preparing for an examination.

Participants

Dan Bernstein, Bill Wostoupal

Speakers

Dan Bernstein

Chief Regulatory Counsel

MarketCounsel

Dan Bernstein’s Biography

Bill Wostoupal

Executive Vice President of Sales

Orion Advisor Services, LLC

Bill Wostoupal’s Biography

When disruption knocks, opportunity is close behind. The rise of digital technologies has completely upended industries, companies, and consumers, throwing open abundant possibilities to redefine every aspect of business. We…

When disruption knocks, opportunity is close behind. The rise of digital technologies has completely upended industries, companies, and consumers, throwing open abundant possibilities to redefine every aspect of business. We call this transformation Business 4.0.

Let’s explore together how companies are leveraging Digital technologies such as cloud, the internet of things (IoT), analytics, automation, robotics, and artificial intelligence (AI) to redefine the customer experience and creating exponential value.

Participants

Kshitiz Mittal, Sanjay Prasad

Speakers

Kshitiz Mittal

Director of Sales

TCS BaNCS

Kshitiz Mittal’s Biography

Sanjay Prasad

Head of Capital Markets and Wealth Solution

TCS BaNCS

Sanjay Prasad’s Biography

5:30pm – 7:00pm

Sponsored by IBM

Sponsored by IBM

7:00am – 6:00pm

Registration Desk Hours

7:15am – 8:15am

Networking Breakfast in the Exhibition Hall

7:30am – 7:50am

In response to recent outages impacting the financial sector and growing cyber concerns, the Bank of England in the Summer of 2018 released a discussion paper titled “Building the UK…

In response to recent outages impacting the financial sector and growing cyber concerns, the Bank of England in the Summer of 2018 released a discussion paper titled “Building the UK financial sector’s operational resilience.” Important to any financial institution in today’s environment of rapid digital change, operational resilience continues to be top of mind for industry executives and supervisory authorities around the world.

Join Protiviti’s Ron Lefferts, Andrew Retrum, Doug Wilbert and Jordan Moss for a session on how financial services firms, and the sector as a whole, can prevent, adapt and respond to, recover and learn from operational disruption through:

  • Guiding principles and best practices
  • Understanding firm-wide and macro-economic impact
  • The Protiviti Resilience Framework: Considerations firms should undertake when designing, implementing, or assessing their resilience practices

Participants

Ron Lefferts, Jordan Moss, Andrew Retrum, Douglas Wilbert

Speakers

Ron Lefferts

Managing Director, Global Leader of Technology Consulting

Protiviti

Ron Lefferts’s Biography

Jordan Moss

Manager, Financial Services Technology Consulting

Protiviti

Jordan Moss’s Biography

Andrew Retrum

Managing Director

Protiviti

Andrew Retrum’s Biography

Douglas Wilbert

Managing Director

Protiviti

Douglas Wilbert’s Biography

8:10am – 12:15pm

General Session

8:10am – 8:15am

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

8:15am – 8:35am

Clients First: A Conversation About SIFMA Priorities with SIFMA Board Chair James R. Allen and SIFMA President and CEO Kenneth E. Bentsen, Jr.

Clients First: A Conversation About SIFMA Priorities with SIFMA Board Chair James R. Allen and SIFMA President and CEO Kenneth E. Bentsen, Jr.

Participants

Kenneth E. Bentsen, Jr., James R. Allen

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

James R. Allen

Chairman and Chief Executive Officer

Hilliard Lyons

James R. Allen’s Biography

8:35am – 9:05am

One-on-One with Bank of America Chief Operations and Technology Officer Catherine Bessant on the evolving role technology holds in financial services.

One-on-One with Bank of America Chief Operations and Technology Officer Catherine Bessant on the evolving role technology holds in financial services.

Participants

Bonnie McGeer, Catherine P. Bessant

Moderator

Bonnie McGeer

Executive Editor

American Banker

Bonnie McGeer’s Biography

Speaker

Catherine P. Bessant

Chief Operations and Technology Officer

Bank of America

Catherine P. Bessant’s Biography

9:05am – 9:35am

Participants

Kenneth E. Bentsen, Jr., Bridget van Kralingen

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

Bridget van Kralingen

Senior Vice President, Global Industries, Platforms and Blockchain

IBM

Bridget van Kralingen’s Biography

9:35am – 10:05am

From Curation to Insights: Governing Data Transformation

From Curation to Insights: Governing Data Transformation

Participants

Grainne McNamara, Jeffrey S. Wecker

Moderator

Grainne McNamara

Principal

EY

Grainne McNamara’s Biography

Speaker

Jeffrey S. Wecker

Chief Data Officer

Goldman Sachs

Jeffrey S. Wecker’s Biography

10:05am – 10:30am

Participants

Ira D. Hammerman, Robert J. Jackson, Jr.

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Speaker

10:30am – 10:50am

Sponsored by Google Cloud 

Sponsored by Google Cloud 

10:50am – 11:50am

The transformative impacts of emerging technologies are not limited to new ways of interacting with customers, but have the potential to reshape the operations, systems, and processes that drive the…

The transformative impacts of emerging technologies are not limited to new ways of interacting with customers, but have the potential to reshape the operations, systems, and processes that drive the securities industry.  This panel brings together operations leaders to explore looking how new technologies and industry initiatives can drive greater efficiency and reduce risk, and how the industry and the role of the operations professional may evolve over the next five years.

Participants

Joseph Guardino, Michael DeBevec, Thomas A. Giacalone, Kelly Metz, Claire Santaniello, Thomas Tremaine

Moderator

Joseph Guardino

Managing Director, Client Operational Services, Global Banking & Markets Operations

Bank of America Merrill Lynch

Joseph Guardino’s Biography

Panelists

Michael DeBevec

Head of Global Investment Operations

BlackRock

Michael DeBevec’s Biography

Thomas A. Giacalone

Managing Director

UBS AG

Thomas A. Giacalone’s Biography

Kelly Metz

Managing Director, Operations

Wells Fargo Clearing Services, LLC

Kelly Metz’s Biography

Claire Santaniello

Managing Director & Head of Operations

Pershing LLC, a BNY Mellon Company

Claire Santaniello’s Biography

Thomas Tremaine

Executive Vice President and Chief Operations Officer

Raymond James Financial, Inc.

Thomas Tremaine’s Biography

11:50am – 12:15pm

Operations Transformation – The Journey Continues As the 4th Industrial Revolution continues to evolve through advances in technology, the financial services industry is beginning to drive business transformation through technology…

Operations Transformation – The Journey Continues

As the 4th Industrial Revolution continues to evolve through advances in technology, the financial services industry is beginning to drive business transformation through technology enablement. Operational functionsare being reimagined, redesigned and fundamentally transformed. Last year, we led a discussion on “What If” and we set the challenge to think big and to be the catalyst for change in your organization. In this session, Bob Walley will continue the journey and discuss the ”Operations Transformation”, reflect on some of the lessons learned and provide a perspective on where we see the industry is headed.

Participants

Robert Walley

Speaker

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

12:15pm – 2:00pm

12:40pm – 1:00pm

Automation technologies, such as Robotic Process Automation (RPA), present opportunities to reduce cost and improve quality, leveraging existing legacy platforms. However, firms have struggled to gain significant scale with RPA…

Automation technologies, such as Robotic Process Automation (RPA), present opportunities to reduce cost and improve quality, leveraging existing legacy platforms. However, firms have struggled to gain significant scale with RPA using centralized, top-down efforts.  This struggle is often caused by ineffective opportunity identification mechanisms and ROI hurdles that only allow for large implementations.  PWC and UIPath will introduce the concept of Citizen Led automation, allowing users to drive both ideation and implementation of big and small automation projects, surrounded by the appropriate crowd sourcing mechanisms, change management processes, and control framework.  This approach and framework provide the starting point for key considerations in Digital Upskilling of the workforce and provide a way to engage your staff in framing the Operations analyst of the future.

Participants

Kevin Kroen, Jay McGrath

Speakers

Kevin Kroen

Partner, US Financial Services Digital Labor Leader

PwC

Kevin Kroen’s Biography

Jay McGrath

Vice President, Financial Services and Insurance

UiPath, Inc.

Jay McGrath’s Biography

1:10pm – 1:30pm

Blockchain and Distributed ledger technology has everybody talking about the golden source of truth.  Given that, the state of a singular dataset has been extremely difficult to achieve in practice,…

Blockchain and Distributed ledger technology has everybody talking about the golden source of truth.  Given that, the state of a singular dataset has been extremely difficult to achieve in practice, what constitutes a “golden copy” as it applies to data and how data is actually ensured to be this golden source.  Does DLT truly enhance the notion of Golden source of data and how can we leverage it for production scale applications.

  • Understand applications of single trusted & verifiable representation of data or “golden source” in Blockchain and Distributed Ledger Technology
  • Introduces the field of golden source of data, including information systems design for DLT, data normalization & canonicalization.
  • Reviews how a golden source is achieved and its applications in DLT.

Participants

Bala Annadorai, Mark Jennis

Speakers

Bala Annadorai

Senior Director of Business Development and Strategy

PeerNova, Inc.

Bala Annadorai’s Biography

Mark Jennis

Global Head of Customer Engagements

PeerNova, Inc.

Mark Jennis’s Biography

2:00pm – 3:00pm

Robotics Process Automation (RPA) is a powerful technological tool that firms can use to transform their operations to build greater efficiency and accuracy, and better understand and manage risk.  As…

Robotics Process Automation (RPA) is a powerful technological tool that firms can use to transform their operations to build greater efficiency and accuracy, and better understand and manage risk.  As the industry increasingly adopts RPA, this expert panel will explore what you need to do to successfully implement this technology – from identifying the right use cases and applying the technology to building it into risk management and governance frameworks.

Participants

Charles DeSimone, Todd Lohr, Todd Purdy, Sridhar Rajan, Andrew Wedderburn

Moderator

Charles DeSimone

Vice President, Technology and Operations

SIFMA

Charles DeSimone’s Biography

Panelists

Todd Lohr

Principal, Technology Enablement & Automation

KPMG LLP

Todd Lohr’s Biography

Todd Purdy

General Partner

Edward Jones

Todd Purdy’s Biography

Sridhar Rajan

Principal

Deloitte

Sridhar Rajan’s Biography

Andrew Wedderburn

Executive Director

UBS

Andrew Wedderburn’s Biography

What it is, what does it require, and what challenges does it present? Timing and implementation period for the final rule? Fiduciary proliferation – Nevada, other States, CFP Board, who…

  • What it is, what does it require, and what challenges does it present?
  • Timing and implementation period for the final rule?
  • Fiduciary proliferation – Nevada, other States, CFP Board, who else?
  • Practical implications for complying with multiple standards?

Participants

Kevin Carroll, David Forman, Merri Jo Gillette, Julie Glynn, Yoon-Young Lee

Moderator

Kevin Carroll

Managing Director and Associate General Counsel

SIFMA

Kevin Carroll’s Biography

Panelists

David Forman

Senior Vice President & Deputy General Counsel

Fidelity Investments

Chief Legal Officer

Fidelity Brokerage Services

David Forman’s Biography

Merri Jo Gillette

Deputy General Counsel

Edward Jones

Merri Jo Gillette’s Biography

Julie Glynn

Deputy Chief Legal Officer

J.P. Morgan Securities LLC

Julie Glynn’s Biography

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Operations professionals continue to focus on the enhancement of the customer experience while at the same time mitigating risk created by the complexity and regulatory requirements in the corporate actions…

Operations professionals continue to focus on the enhancement of the customer experience while at the same time mitigating risk created by the complexity and regulatory requirements in the corporate actions space.  This session will highlight how firms and financial service providers are looking to manage regulatory and operational risk in corporate actions.  Panelists will explore challenges and financial risks associated with voluntary elections, claims processing, and proxy shareholder services, while looking at ways automation and technology solutions can reduce risk and improve customer experience.

Participants

Carly Byrd, Lawrence Conover, James Monahan, John O’Day, Michael Tae, Andrew Zelenka

Moderator

Carly Byrd

Director, Global Tax Utility

Deutsche Bank AG

Carly Byrd’s Biography

Panelists

Lawrence Conover

Vice President, Operations and Services Group (OSG)

Fidelity Investments

Lawrence Conover’s Biography

James Monahan

Executive Director & Regional Head of North America Position Services

Morgan Stanley

James Monahan’s Biography

John O’Day

Director, Global Asset Services

Bank of America Merrill Lynch

John O’Day’s Biography

Michael Tae

Senior Vice President, Corporate Strategy

Broadridge Financial Solutions, Inc.

Michael Tae’s Biography

Andrew Zelenka

Director, Asset Services

Tata Consultancy Services

Andrew Zelenka’s Biography

With Consolidated Audit Trail (CAT) testing quickly approaching in December 2019 and the CAT's go-live date set for April 2020, firms are working through this complex implementation project to ensure…

With Consolidated Audit Trail (CAT) testing quickly approaching in December 2019 and the CAT’s go-live date set for April 2020, firms are working through this complex implementation project to ensure they meet their reporting obligations. The industry – in conjunction with the Exchanges, FINRA, and the SEC – has been preparing for this milestone over the last several years given that the CAT is one of the industry’s most significant builds in recent memory.  During this session, subject matter experts will discuss various aspects of CAT reporting and what should be top of mind for firms as this critical reporting date approaches.

Participants

Ellen Greene, Shelly Bohlin, David Emero, Manisha Kimmel, Judy A. McDonald

Moderator

Ellen Greene

Managing Director, Financial Services Operations

SIFMA

Ellen Greene’s Biography

Panelists

Shelly Bohlin

Chief Operating Officer, FINRA CAT LLC

FINRA

Shelly Bohlin’s Biography

David Emero

Vice President, Regulatory Operations

Goldman Sachs

David Emero’s Biography

Judy A. McDonald

Associate Director, Technology

Susquehanna International Group, LLP

Judy A. McDonald’s Biography

As highlighted in the recent Treasury Markets Practice Group (TMPG) White Paper, clearing is a critical component of the past, present and future of the financial ecosystem. Benefit from the…

As highlighted in the recent Treasury Markets Practice Group (TMPG) White Paper, clearing is a critical component of the past, present and future of the financial ecosystem. Benefit from the panelists’ diverse perspectives and gain insights into what’s next for clearing across three key areas: capital management, risk management and product development.

Participants

Brian Ruane, Joseph Barkley, Jim Hraska, John Morik, Suzanne Sprague

Moderator

Brian Ruane

Chief Executive Officer, Government Securities Services and Broker Dealer Services

BNY Mellon

Brian Ruane’s Biography

Panelists

Joseph Barkley

Senior Vice President, Operations

Raymond James & Associates, Inc.

Joseph Barkley’s Biography

Jim Hraska

Managing Director and General Manager

DTCC

Jim Hraska’s Biography

John Morik

Managing Director

BNY Mellon

John Morik’s Biography

Suzanne Sprague

Managing Director, Credit Risk, Risk Policy, Banking & Solutions

CME Group

Suzanne Sprague’s Biography

A deeper dive discussion and demonstration on some of the tools and technologies that underpin the “Operations Transformation” initiative. The team of hands-on solution providers will share their insights and…

A deeper dive discussion and demonstration on some of the tools and technologies that underpin the “Operations Transformation” initiative. The team of hands-on solution providers will share their insights and lessons from the field in designing and implementing next generation of technology in Operations functions.

Participants

Sriram Gopalakrishnan, Garrett O’Brien, Shumona Roy, Sachin Sondhi, Robert Walley

Speakers

Sriram Gopalakrishnan

Managing Director

Deloitte

Sriram Gopalakrishnan’s Biography

Garrett O’Brien

Principal

Deloitte

Garrett O’Brien’s Biography

Shumona Roy

Senior Manager, Deloitte Advisory

Deloitte

Shumona Roy’s Biography

Sachin Sondhi

Principal, Deloitte Consulting

Deloitte

Sachin Sondhi’s Biography

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

The challenges facing institutional broker dealers and wealth management firms continue to evolve. Firms strive to optimize operational efficiencies, mitigate risk, and reduce costs and errors, while at the same…

The challenges facing institutional broker dealers and wealth management firms continue to evolve. Firms strive to optimize operational efficiencies, mitigate risk, and reduce costs and errors, while at the same time maximizing revenue. Expansion into global market opportunities provides an untapped revenue potential for firms as the sophistication of advisors and investors grows. With the evolution of technology, solutions evolve as well. Innovation, integration and strategic partnerships are critical to success. Our panel of distinguished leaders will discuss how they’re preparing for this increasing future expansion by improving usability, enhancing functionality, and simplifying operations and accessibility to global markets processing.

Participants

Dave Allen, Colette Rex, Don Witynski, Larry Zywicki

Speakers

Dave Allen

Senior Product Manager

NRI

Dave Allen’s Biography

Colette Rex

Executive Vice President of Operations

Axos Clearing LLC

Colette Rex’s Biography

Don Witynski

Senior Product Manager

Refinitiv

Don Witynski’s Biography

Larry Zywicki

Director, BETA Platform Interactive Solutions

Refinitiv

Larry Zywicki’s Biography

3:00pm – 3:30pm

Sponsored by Google Cloud 

Sponsored by Google Cloud 

3:30pm – 4:30pm

Personal financial data is an increasingly valuable asset in today’s global economy. Improving data quality to enhance the customer experience is critical to business success but protecting data from improper…

Personal financial data is an increasingly valuable asset in today’s global economy. Improving data quality to enhance the customer experience is critical to business success but protecting data from improper use is paramount. Discover the best practices to collect, store and use data while also safeguarding it from internal and external threats in an evolving environment.

Participants

Mark Steinhoff, CIPP, Leigh Feldman, Jodi Pinedo, Stuart Rubinstein

Moderator

Mark Steinhoff, CIPP

Managing Director

Deloitte

Mark Steinhoff, CIPP’s Biography

Panelists

Leigh Feldman

Managing Director, Head of U.S. Privacy within the Global Privacy and Data Protection Practice

Promontory, an IBM Company

Leigh Feldman’s Biography

Jodi Pinedo

Director & Senior Managing Counsel

Pershing LLC, a BNY Mellon Company

Jodi Pinedo’s Biography

Stuart Rubinstein

President, Fidelity Wealth Technologies

Fidelity Investments

Stuart Rubinstein’s Biography

The panel will discuss the Bulk Transfer initiative, a collaboration among regulators and the industry to create a common data and regulatory architecture for the efficient and speedy ‘bulk transfer’…

The panel will discuss the Bulk Transfer initiative, a collaboration among regulators and the industry to create a common data and regulatory architecture for the efficient and speedy ‘bulk transfer’ of customer accounts, from a carrying broker dealer experiencing financial difficulties to a new carrying broker dealer(s). Subject matter experts and regulators will discuss the recently published Bulk Transfer Playbook, and the ongoing effort to standardize Bulk Transfer conversion files with the assistance of Sheltered Harbor.

Participants

Grace Vogel, Michael J. Alexander, Michele Hillery, Lawrence Holmes, Carlos Recalde

Moderator

Grace Vogel

Managing Director, Financial Services Advisory Practice

PwC

Grace Vogel’s Biography

Panelists

Michael J. Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael J. Alexander’s Biography

Michele Hillery

Managing Director

DTCC

Michele Hillery’s Biography

Lawrence Holmes

Senior Broker Dealer Operations Specialist, Division of Trading & Markets

U.S. Securities and Exchange Commission (SEC)

Lawrence Holmes’s Biography

Carlos Recalde

President & Chief Operating Officer

Sheltered Harbor LLC

Carlos Recalde’s Biography

As Firms are getting ready for the brave new world of the Consolidated Audit Trail (CAT), what are the CAT challenges and solutions they should consider?  During this session, subject…

As Firms are getting ready for the brave new world of the Consolidated Audit Trail (CAT), what are the CAT challenges and solutions they should consider?  During this session, subject matter experts will discuss the operational, technical and governance aspects of CAT implementation including data sourcing, control frameworks, vendor readiness, customer information, industry testing, regulatory operations, and more.

Participants

Josh Beaton, David Goldman, Jess Haberman, Janet Varner, Robert Walley

Moderator

Josh Beaton

Executive Director

Morgan Stanley

Josh Beaton’s Biography

Panelists

David Goldman

Director, Head of Regulatory Operations

RBC Capital Markets

David Goldman’s Biography

Jess Haberman

Senior Vice President and Compliance Officer

Fidessa

Jess Haberman’s Biography

Janet Varner

Division Leader, Trade Management & Asset Servicing

Wells Fargo Advisors

Janet Varner’s Biography

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

While buy-side is driving operational transformation to an ideal end-to-end automation, we still currently need to deal with the reality of working with archaic structures and processes across counter-parties and…

While buy-side is driving operational transformation to an ideal end-to-end automation, we still currently need to deal with the reality of working with archaic structures and processes across counter-parties and custodians. As the operational complexity and business environment are getting ever more challenging, join buy-side operational leaders and subject matter experts for an informative discussion on today’s solutions.

Participants

Louis J. Rosato, III, Joseph Haddock, Sharif Ismail, Jesse Robinson, Kevin Welch

Moderator

Louis J. Rosato, III

Director, Investment Operations Group

BlackRock

Louis J. Rosato, III’s Biography

Panelists

Joseph Haddock

Managing Director, Operational Risk

Annaly Capital Management, Inc.

Joseph Haddock’s Biography

Kevin Welch

Managing Director

Brown Brothers Harriman

Kevin Welch’s Biography

This panel of experts will focus on the business environment, political backdrop, and the implementation challenges of Brexit for financial service participants.  The audience will learn how participants are dealing…

This panel of experts will focus on the business environment, political backdrop, and the implementation challenges of Brexit for financial service participants.  The audience will learn how participants are dealing with key issues like market infrastructure, clearing, regulatory and client’s considerations.

Participants

Graeme McEvoy, Andrew Gray, Joseph M. Liguori, Michael Walsh

Moderator

Graeme McEvoy

Managing Director & Global Head, ISG Product Operations

Morgan Stanley

Graeme McEvoy’s Biography

Panelists

Andrew Gray

Partner and Global Head of Brexit for Financial Services

PwC

Andrew Gray’s Biography

Joseph M. Liguori

Managing Director

JPMorgan Chase & Co.

Joseph M. Liguori’s Biography

Michael Walsh

Head of Operations for the Americas

Société Générale

Michael Walsh’s Biography

Disruptive technologies like Artificial Intelligence (AI), Machine Learning (ML), Robotic Process Automation (RPA), and Smart Process Automation (SPA)are no longer the stuff of science fiction, nor the “next big thing”.…

Disruptive technologies like Artificial Intelligence (AI), Machine Learning (ML), Robotic Process Automation (RPA), and Smart Process Automation (SPA)are no longer the stuff of science fiction, nor the “next big thing”. Successful firms are leveraging these technologies *today* in many facets of their operations: from trade analytics to advisor insights to smarter processes. This workshop will highlight current successes and observation on innovation from industry-leading financial institutions and service providers.

Participants

Michael Tae, Robert Anselmo, David Easthope, Ramprasad ‘RP’ Sandilya

Moderator

Michael Tae

Senior Vice President, Corporate Strategy

Broadridge Financial Solutions, Inc.

Michael Tae’s Biography

Panelists

Robert Anselmo

Head of Technology, Wealth Management Americas

UBS

Robert Anselmo’s Biography

David Easthope

Senior Vice President

Celent

David Easthope’s Biography

Ramprasad ‘RP’ Sandilya

Vice President, Solutions Offerings

Broadridge Financial

Ramprasad ‘RP’ Sandilya’s Biography

Intelligent Automation is enabling a dramatic evolution in Capital Markets, enabling increased efficiencies and creating new ways of working and adding value for clients, employees and other stakeholders across the…

Intelligent Automation is enabling a dramatic evolution in Capital Markets, enabling increased efficiencies and creating new ways of working and adding value for clients, employees and other stakeholders across the organization. The maturing of the underlying technologies creates new opportunities to help human employees to consider new strategies and approaches, expand product and service offerings, make informed decisions and create a new level of client interactions.

In this industry panel discussion, we will explore how Intelligent Automation is being adopted today and how it is transforming the way we interact with clients, streamline operations and allows us to create value across the organization in entirely new ways.

Participants

Sigrid Seibold, Peter Akwaboah, Russ Kole, Brian Steele

Moderator

Sigrid Seibold

Principal, Advisory, Financial Services Solutions

KPMG LLP

Sigrid Seibold’s Biography

Panelists

Peter Akwaboah

Managing Director

Morgan Stanley

Peter Akwaboah’s Biography

Russ Kole

Engineering Manager, Financial Services

Google Cloud

Russ Kole’s Biography

Brian Steele

Global Head of Digital Transformation

Goldman Sachs

Brian Steele’s Biography

4:30pm – 6:00pm

Sponsored by Google Cloud 

Sponsored by Google Cloud 

7:00am – 4:30pm

Registration Desk Hours

7:00am – 8:00am

Networking Breakfast – Exhibition Hall

7:30am – 7:50am

Throughout the industry, firms are looking to Artificial Intelligence and Machine Learning technologies to optimize their business. Text analytics uses AI, ML, and Natural Language Processing to unlock data from documents,…

Throughout the industry, firms are looking to Artificial Intelligence and Machine Learning technologies to optimize their business. Text analytics uses AI, ML, and Natural Language Processing to unlock data from documents, filings, forms, agreements, and other unstructured formats. From risk monitoring and corporate actions processing to client on-boarding and data management, this Learning Lab explains text analytics and provides practical applications of text analytics for capital markets leaders.

Participants

Tony Brownlee

Speaker

Tony Brownlee

Executive Vice President, Chief Strategy Officer

Kingland

Tony Brownlee’s Biography

8:00am – 12:00pm

General Session

8:00am – 8:05am

Participants

Joseph L. Seidel

Speaker

Joseph L. Seidel

Chief Operating Officer

SIFMA

Joseph L. Seidel’s Biography

8:05am – 8:30am

Industry Insights, Tech Transformation and the Power of Partnership With a broad view across financial services, Timothy C. Gokey, President and CEO of Broadridge Financial Solutions, shares his unique view…

Industry Insights, Tech Transformation and the Power of Partnership

With a broad view across financial services, Timothy C. Gokey, President and CEO of Broadridge Financial Solutions, shares his unique view and perspective on the latest industry trends. Tim will provide a different approach to the challenges facing investors and institutions. He will discuss how innovation can drive technology transformation to enhance the business value of technology and operations.

Participants

Joseph L. Seidel, Timothy C. Gokey

Moderator

Joseph L. Seidel

Chief Operating Officer

SIFMA

Joseph L. Seidel’s Biography

Speaker

Timothy C. Gokey

President & Chief Executive Officer

Broadridge Financial Solutions, Inc.

Timothy C. Gokey’s Biography

8:30am – 8:50am

Staying Vigilant to Protect Investors

Staying Vigilant to Protect Investors

Participants

Peter Driscoll

Speaker

Peter Driscoll

Director, Office of Compliance Inspections and Examinations

U.S. Securities and Exchange Commission (SEC)

Peter Driscoll’s Biography

8:50am – 9:40am

This panel of regulatory and industry leaders will address key priorities and emerging regulatory issues facing financial services operations professionals.  Regulators will share their perspectives on agency priorities and discuss…

This panel of regulatory and industry leaders will address key priorities and emerging regulatory issues facing financial services operations professionals.  Regulators will share their perspectives on agency priorities and discuss current and potential regulatory initiatives for 2019 and beyond.

Participants

Ira D. Hammerman, Ornella Bergeron, Vic Chakrian, Mark Katzelnick, Peter Driscoll

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Ornella Bergeron

Senior Vice President, Regulatory Oversight & Operational Regulation

FINRA

Ornella Bergeron’s Biography

Vic Chakrian

Senior Vice President, Financial Market Infrastructure, Supervision Group

Federal Reserve Bank of New York

Vic Chakrian’s Biography

Mark Katzelnick

Chief Risk and Compliance Officer

Fidelity Investments

Mark Katzelnick’s Biography

Peter Driscoll

Director, Office of Compliance Inspections and Examinations

U.S. Securities and Exchange Commission (SEC)

Peter Driscoll’s Biography

9:40am – 10:00am

Appreciating Clearing and Settlement Risks in the UST Market: Recent work by the Treasury Market Practices Group (TMPG) Following the Joint Staff Report (2015), the TMPG began a study of…

Appreciating Clearing and Settlement Risks in the UST Market: Recent work by the Treasury Market Practices Group (TMPG)

Following the Joint Staff Report (2015), the TMPG began a study of clearing and settlement practices in the Treasury securities market in 2016 to see if they have kept pace with market evolution, culminating in the publication of a white paper exploring such issues and a recent paper recommending enhanced best practices in this area.  A member of the TMPG will provide an overview of the work done by the TMPG, the feedback received from market participants, and TMPG’s recommendation that all market stakeholders ensure they contribute to a healthy and robust clearing and settlement ecosystem for this critically important market.

Participants

Stuart Wexler

Speaker

Stuart Wexler

Group General Counsel

NEX Group

Stuart Wexler’s Biography

10:00am – 10:20am

10:20am – 11:00am

Join industry leaders as they discuss the importance of leadership and innovation in our industry given changing consumer expectations, a changing workforce, industry consolidation and transformation.  Panelists will share their…

Join industry leaders as they discuss the importance of leadership and innovation in our industry given changing consumer expectations, a changing workforce, industry consolidation and transformation.  Panelists will share their views on the skills and attributes required for future leaders and what their firms are doing to take their leadership development programs to the next level.  The session will include a discussion on diversity and firms’ approach for both short and long term with a specific focus on adding more diversity in senior leadership roles.  Panelists will also opine on how digital has transformed and is transforming the entire value chain in financial services and provide views on fintech issues and disruptive technologies are your firms grappling with now.

Participants

Claire Santaniello, Frederic Crosnier, Olga Naumovich, Staci Sullivan

Moderator

Claire Santaniello

Managing Director & Head of Operations

Pershing LLC, a BNY Mellon Company

Claire Santaniello’s Biography

Panelists

Frederic Crosnier

Head of Global Markets and Investment Banking and Capital Markets Operations

Credit Suisse

Frederic Crosnier’s Biography

Olga Naumovich

Managing Director

Goldman, Sachs & Co.

Olga Naumovich’s Biography

Staci Sullivan

President, Operations

TD Ameritrade Clearing, Inc.

Staci Sullivan’s Biography

11:00am – 11:20am

Changing the firms digital experience with FINRA FINRA has created a culture of innovation, and become industry leaders in the use of it’s technology tools and resources. With the move…

Changing the firms digital experience with FINRA

FINRA has created a culture of innovation, and become industry leaders in the use of it’s technology tools and resources. With the move to the cloud, devops automation over the years, and now being named the CAT Processor, there are many opportunities for becoming not only a better regulator, but a better service provider to the firms. FINRA is on a mission to change the digital experience that the firms have today, to make it easier, and simpler – changing the way we partner and continue to innovate to provide the best possible service.

 

Participants

Steven J. Randich

Speaker

Steven J. Randich

Executive Vice President and Chief Information Officer

FINRA

Steven J. Randich’s Biography

11:20am – 12:00pm

This panel will address the critical role of the DTCC in managing risk, clearing operations and capital on behalf of the industry. You will hear from the senior leaders of…

This panel will address the critical role of the DTCC in managing risk, clearing operations and capital on behalf of the industry. You will hear from the senior leaders of the DTCC who are shaping important capital and cyber risk management efforts and leading innovation as the industry’s largest financial markets utility. The panel will also discuss DTCC led projects for 2019 and beyond including Settlement Optimization and others.

Participants

Phil Davies, Timothy Cuddihy, Lisa Hershey, Murray C. Pozmanter

Moderator

Phil Davies

Managing Director and Global Head of Operations

Morgan Stanley

Phil Davies’s Biography

Panelists

Timothy Cuddihy

Managing Director, Financial and Operational Risk Management (FORM)

DTCC

Timothy Cuddihy’s Biography

Lisa Hershey

Managing Director, Head of Operational Risk Management

DTCC

Lisa Hershey’s Biography

Murray C. Pozmanter

Managing Director and General Manager, Systemically Important Financial Market Utility (SIFMU)

DTCC

Murray C. Pozmanter’s Biography

12:00pm – 1:00pm

LIBOR is the most widely used reference rate in the world, referenced in trillions of dollars of bond and swap transactions. However, its future is uncertain. Global regulators have directed…

LIBOR is the most widely used reference rate in the world, referenced in trillions of dollars of bond and swap transactions. However, its future is uncertain. Global regulators have directed market participants to develop alternatives to LIBOR, and it is unclear whether LIBOR will exist after 2021.  In the US, the Alternative Reference Rates Steering Committee has developed an alternative – SOFR – and trading has commenced in futures, swaps, and bonds referencing this new, more robust rate.

During this session, subject matter experts will discuss open issues and the roadmap. Many issues remain to be addressed, and much work still needs to be done across the industry to prepare for a broader transition to new rates. LIBOR is not just about bonds and swaps – it is also used in internal models, agreements, systems and other areas. Panelists will discuss where we are, where we are going, and what the industry needs to focus on to enhance resiliency and the robustness of our financial markets as we move towards new reference rates.

Participants

Chris Killian, David Bowman, Roy Choudhury, Jason Granet, Alex Roever

Moderator

Chris Killian

Managing Director, Securitization and Corporate Credit

SIFMA

Chris Killian’s Biography

Panelists

David Bowman

Special Adviser to the Board

Federal Reserve Board of Governors

David Bowman’s Biography

Roy Choudhury

Partner, Financial Services Advisory

EY

Roy Choudhury’s Biography

Jason Granet

Managing Director

Goldman Sachs

Jason Granet’s Biography

Alex Roever

Managing Director and Head of Interest Rate Strategy

JPMorgan Chase & Co.

Alex Roever’s Biography

The role of the operations professional continues to evolve – driving the securities industry’s efforts to adopt new technologies, innovate processes and products, and expand the role to understanding and…

The role of the operations professional continues to evolve – driving the securities industry’s efforts to adopt new technologies, innovate processes and products, and expand the role to understanding and managing risk. As operations changes and evolves, this panel will explore the new skills, responsibilities and the place in the firm that ops professionals will take on.

Participants

Marc Winters, Susan Crozier, Krissy Davis, Ed Morris

Moderator

Marc Winters

Managing Director, Global Head of Client Operations

Bank of America

Marc Winters’s Biography

Panelists

Susan Crozier

Director, Product Management & Regulatory Affairs

FIS

Susan Crozier’s Biography

Krissy Davis

Partner

Deloitte

Krissy Davis’s Biography

Ed Morris

Head of Sales, Financial Services

Google Cloud

Ed Morris’s Biography

The Customer Account Transfer (CAT) Forum, with their partner DTCC have identified opportunities to modernize the transfer process. This panel of industry experts will continue to explore the industry’s efforts…

The Customer Account Transfer (CAT) Forum, with their partner DTCC have identified opportunities to modernize the transfer process. This panel of industry experts will continue to explore the industry’s efforts to expedite the movement of assets, including the impact that interacting systems and processes have on our ability to significantly shorten the ACAT cycle.

Participants

Kelly Cornwell, Bill J. Kapogiannis, Edward Leddy, Kevin Moran, Evan Oliveaux

Moderator

Kelly Cornwell

Manager, FAS Mutual Fund Administration

Vanguard

Kelly Cornwell’s Biography

Panelists

Bill J. Kapogiannis

Executive Director, Product Management - Equity Clearing

DTCC

Bill J. Kapogiannis’s Biography

Kevin Moran

Managing Director, Global Head of Managed Services Operations

Broadridge Financial Solutions, Inc.

Kevin Moran’s Biography

Evan Oliveaux

Vice President

Fidelity Investments

Evan Oliveaux’s Biography

This panel of industry experts will discuss the techniques and tools that firms are employing to increase resilience and reduce the probability of operational failure. Many failures were the result…

This panel of industry experts will discuss the techniques and tools that firms are employing to increase resilience and reduce the probability of operational failure. Many failures were the result of poor technology change management processes, prompting more awareness operational, cyber and technology resilience. How do you manage towards production stability and achieve recovery time objectives including the use of software and other tools without compromising client experience?

Participants

Anthony Lichty, Michael J. Alexander, Andrew Retrum, Louis J. Rosato, III

Moderator

Anthony Lichty

Director

Edward Jones

Anthony Lichty’s Biography

Panelists

Michael J. Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael J. Alexander’s Biography

Andrew Retrum

Managing Director

Protiviti

Andrew Retrum’s Biography

Louis J. Rosato, III

Director, Investment Operations Group

BlackRock

Louis J. Rosato, III’s Biography

This workshop reviews the upcoming changes to the “to-be-announced” (TBA) mortgage market with the implementation of the Single Security Initiative going live on June 3rd this year. Representatives from the…

This workshop reviews the upcoming changes to the “to-be-announced” (TBA) mortgage market with the implementation of the Single Security Initiative going live on June 3rd this year. Representatives from the government-sponsored enterprises (GSEs), both Fannie Mae and Freddie Mac, will present valuable information to any firm that participates in the TBA market or invests in single-family mortgage-backed securities (MBS). Workshop attendees have the opportunity to delve into the intricacies of the optional PC Exchange and the new “uniform MBS,” (UMBS) commingled securities. The GSEs are here to answer questions and assist firms in getting to the finish line.

Participants

Jamie Miller, Stephanie Milner

Speakers

Jamie Miller

Senior Director, Investments & Capital Markets

Freddie Mac

Jamie Miller’s Biography

Stephanie Milner

Director - Capital Markets and Securitization

Fannie Mae

Stephanie Milner’s Biography

Today’s operations teams manage processes. Tomorrow’s operations teams will manage automation that manages the processes. In this session, Google Cloud breaks down four compelling concepts operations teams must embrace to…

Today’s operations teams manage processes. Tomorrow’s operations teams will manage automation that manages the processes. In this session, Google Cloud breaks down four compelling concepts operations teams must embrace to effectively manage the automation behind a growing body of processes, and to flourish in a rapidly changing business environment. Learn how:

  • ML and chatbots help automate low-touch routine tasks, so humans can focus on building customer relationships.
  • Microservice architecture is redefining the financial services applications landscape (and how team members can best respond to this new normal).
  • Cloud accommodates evolving regulations and best practices for greater levels of auditability in a complex, microserviced environment.
  • Cloud is rapidly commodifying the stack, from virtual machines to risk calculation, and what skills are needed to accommodate this trend.

Participants

Matt Tait

Speaker

Matt Tait

Customer Engineer

Google Cloud

Matt Tait’s Biography

1:00pm – 2:30pm

Networking Lunch – Exhibition Hall

1:30pm – 1:50pm

5G is the next generation of mobile broadband technology that promises not only immense changes  in speed, throughput, connectivity and cost but changes in the way we do business and…

5G is the next generation of mobile broadband technology that promises not only immense changes  in speed, throughput, connectivity and cost but changes in the way we do business and our daily lives. This session will educate the audience on what 5G is, time frames for deployment and examples and use cases of how it will effect the financial services community.

Participants

Serhad Doken

Speaker

Serhad Doken

5G Emerging Technology Incubation & Innovation Ecosystem Leader

Verizon Business Group

Serhad Doken’s Biography

2:00pm – 2:20pm

Leaders from The Bancorp will outline how they used Doxim’s Client Onboarding solution to help transform the Securities Backed Lending (SBL) process, so clients can meet liquidity needs quickly, without…

Leaders from The Bancorp will outline how they used Doxim’s Client Onboarding solution to help transform the Securities Backed Lending (SBL) process, so clients can meet liquidity needs quickly, without selling holdings. They will share how they addressed pain points during SBLOC origination, used digitization to re-envision and streamline the process, and ensured their new tool was adopted across the organization. By incorporating liability management into their asset management conversations, The Bancorp’s advisors respond to lending needs as part of a broader investment strategy. They can do so knowing the technology is in place to deliver SBLOCs quickly and easily.

Participants

William Cassidy, Jeff Hazelwood

Speakers

William Cassidy

Executive Vice President – Head of Sales, Institutional Banking

The Bancorp

William Cassidy’s Biography

Jeff Hazelwood

Managing Director –Banking Solution Manager, Institutional Banking

The Bancorp

Jeff Hazelwood’s Biography

3:00pm – 4:30pm

Join industry leaders for a lively conversation on the challenges and opportunities in the financial services sector. SIFMA’s second annual Women’s Leadership Event is open to all attendees and will…

Join industry leaders for a lively conversation on the challenges and opportunities in the financial services sector. SIFMA’s second annual Women’s Leadership Event is open to all attendees and will be immediately followed by a reception.

Sponsored by Deloitte , Fidelity Clearing & Custody Solutions | Fidelity Corporate Actions Solutions, MarketAxess Corporation , Protiviti and  PwC 

Participants

Gail Manley, Kim Bozzella, Krissy Davis, Camille McKelvey, Grace Vogel

Moderator

Gail Manley

Director, Diversity & Inclusion

Fidelity Investments

Gail Manley’s Biography

Panelists

Kim Bozzella

Managing Director

Protiviti

Kim Bozzella’s Biography

Krissy Davis

Partner

Deloitte

Krissy Davis’s Biography

Camille McKelvey

Head of Business Development STP

Trax

Camille McKelvey’s Biography

Grace Vogel

Managing Director, Financial Services Advisory Practice

PwC

Grace Vogel’s Biography

10:00pm – 12:00am

7:00am – 11:00am

Registration Desk Hours

7:45am – 11:00am

General Session with Breakfast

8:15am – 8:40am

Advanced AI for People in a Hurry- What if we could re-imagine and connect science, math, physics, biology, chemistry, and systems techniques that Einstein used for his theory of relativity…

Advanced AI for People in a Hurry- What if we could re-imagine and connect science, math, physics, biology, chemistry, and systems techniques that Einstein used for his theory of relativity work over 100 years ago? At Google, we do just that. We use the universal approximation theorem that, when applied correctly, improves processing time by 10^5-10^6, with double digit improvement in quality. Learn how yesterday’s innovations are still shaping today’s operations, specifically for capital markets firms.

Participants

Scott Penberthy

Speaker

Scott Penberthy

Director of Applied AI

Google

Scott Penberthy’s Biography

8:40am – 9:05am

The Future of the Capital Markets: How technology is disrupting the ecosystem that serves Issuers and Investors and the implications for the current participants. Technology has impacted virtually all aspects…

The Future of the Capital Markets: How technology is disrupting the ecosystem that serves Issuers and Investors and the implications for the current participants.

Technology has impacted virtually all aspects of the capital markets and the pace of change is accelerating. We will examine how these changes are impacting the roles and functions of the organizations that make up the ecosystem function and the value they are able to create.

Participants

Christopher Rigg

Speaker

Christopher Rigg

Principal and Capital Markets Technology Lead

EY

Christopher Rigg’s Biography

9:05am – 9:30am

The Future is Now - Innovative developments and disruptive technologies continue to morph the world we live in today. The gadgets and technologies we once thought were so “far-fetched” and…

The Future is Now – Innovative developments and disruptive technologies continue to morph the world we live in today. The gadgets and technologies we once thought were so “far-fetched” and “out of this world”…. are part of our now. It’s a very exciting time for technology!

Participants

Marianne Brown

Speaker

Marianne Brown

Chief Operating Officer, Global Financial Solutions

FIS

Marianne Brown’s Biography

9:30am – 10:00am

Client Experience / Examples of Excellence This program outlines specific approaches to help advisors delight clients and prospects through the experiences they deliver. Topics include: Best practice examples from inside/outside…

Client Experience / Examples of Excellence

This program outlines specific approaches to help advisors delight clients and prospects through the experiences they deliver. Topics include:

  • Best practice examples from inside/outside the industry
  • Client segmentation
  • Client communications
  • Creating impactful moments
  • Hosting meaningful events
  • Engaging centers of influence

Participants

Anand Sekhar

Speaker

Anand Sekhar

Vice President, Practice Management & Consulting

Fidelity Clearing & Custody Solutions

Anand Sekhar’s Biography

10:00am – 11:00am

Recent advances in Fintech have driven a transformation of middle- and back-office functions. As firms evaluate new products and services, which will be most impactful to their firms? With new…

Recent advances in Fintech have driven a transformation of middle- and back-office functions. As firms evaluate new products and services, which will be most impactful to their firms? With new offerings in robotics to artificial intelligence, big data to cyber, panelists will share how these new initiatives can reduce risk while driving greater efficiencies.

Participants

Kevin Pleiter, Dave Allen, Gerard Bermingham, Nathan Call, Rob Klapprodt

Moderator

Kevin Pleiter

Principal, Advisory Services

Grant Thornton

Kevin Pleiter’s Biography

Panelists

Dave Allen

Senior Product Manager

NRI

Dave Allen’s Biography

Gerard Bermingham

Executive Director

IHS Markit

Gerard Bermingham’s Biography

Nathan Call

Director of RegTech Solutions, Protegent, Institutional and Wholesale

FIS

Nathan Call’s Biography

Rob Klapprodt

Corporate Strategy Officer

Vestmark, Inc.

Rob Klapprodt’s Biography

11:00am – 11:00am

Conference Adjourns