Overview

SIFMA’s Ops Virtual Forum will gather key industry leaders and regulators to discuss important operations and technology issues facing financial services, including a review of COVID-19 related activities and regulatory relief.

In addition to discussing the key drivers of change, such as regulation and technology, this two-day program will also focus on areas where the financial industry continues to improve operational processes and efficiencies as well as manage risk in a digitized world.

Learn about our special virtual event pricing and join us on November 4-5 to examine critical priorities.

Can’t join live? On demand access available with your registration.

Sessions include:

  • 2020 Election Results and Impact on Financial Services
  • Financial Services Operations – Leadership Perspectives
  • Cybersecurity Threats to the Financial Sector
  • Wall Street Meets Silicon Valley: Securities Operations Now
  • DTCC Leadership Panel
  • Regulatory Priorities
  • The Pandemic Stress Test: U.S. Government Securities Clearance and Repo During COVID-19
  • Emerging Issues in Digital Asset Securities
  • Ops Workforce of the Future: Including a focus on Post-COVID-19 Strategies
  • And more

Explore the Program – and stay tuned for more speaker announcements

SIFMA Ops Virtual Forum

An industry discussion about the financial operations ecosystem

Date

November 04 - November 05, 2020

Location

Virtual

Registration Rates – Until 11/4/20

  • Member $299
  • Non-Member $399
  • Regulator $99

Overview

SIFMA’s Ops Virtual Forum will gather key industry leaders and regulators to discuss important operations and technology issues facing financial services, including a review of COVID-19 related activities and regulatory relief.

In addition to discussing the key drivers of change, such as regulation and technology, this two-day program will also focus on areas where the financial industry continues to improve operational processes and efficiencies as well as manage risk in a digitized world.

Learn about our special virtual event pricing and join us on November 4-5 to examine critical priorities.

Can’t join live? On demand access available with your registration.

Sessions include:

  • 2020 Election Results and Impact on Financial Services
  • Financial Services Operations – Leadership Perspectives
  • Cybersecurity Threats to the Financial Sector
  • Wall Street Meets Silicon Valley: Securities Operations Now
  • DTCC Leadership Panel
  • Regulatory Priorities
  • The Pandemic Stress Test: U.S. Government Securities Clearance and Repo During COVID-19
  • Emerging Issues in Digital Asset Securities
  • Ops Workforce of the Future: Including a focus on Post-COVID-19 Strategies
  • And more

Explore the Program – and stay tuned for more speaker announcements

Program

10:00am – 11:00am

Virtual Exhibit Hall

11:00am – 11:10am

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

11:10am – 11:20am

Participants

Jamie Wall

Speaker

Jamie Wall

Executive Vice President, Advocacy

SIFMA

Jamie Wall’s Biography

11:25am – 12:15pm

What are the operations priorities that drove the industry’s efforts in 2020? This panel of operations leaders will also look ahead to 2021 and beyond as they describe emerging technologies…

What are the operations priorities that drove the industry’s efforts in 2020? This panel of operations leaders will also look ahead to 2021 and beyond as they describe emerging technologies and initiatives, and how the evolution of the securities industry will transform the role of the operations professional.

Participants

Thomas Tremaine, Bob Adams, Graeme McEvoy, Claire Santaniello

Moderator

Thomas Tremaine

Executive Vice President and Chief Operations Officer

Raymond James Financial, Inc.

Thomas Tremaine’s Biography

Panelists

Bob Adams

Chief Operations Officer, Head of Operations and Services Group

Fidelity Investments

Bob Adams’s Biography

Graeme McEvoy

Managing Director & Global Head, ISG Product Operations

Morgan Stanley

Graeme McEvoy’s Biography

Claire Santaniello

Managing Director & Head of Operations

BNY Mellon | Pershing

Claire Santaniello’s Biography

12:20pm – 12:50pm

In recent years, we have witnessed an upswing in cyber attacks, including significant breaches at many major institutions. Rachel Wilson, a 15-year veteran of the National Security Agency (NSA), is…

In recent years, we have witnessed an upswing in cyber attacks, including significant breaches at many major institutions. Rachel Wilson, a 15-year veteran of the National Security Agency (NSA), is Morgan Stanley’s Head of Cybersecurity for Wealth Management. She will brief attendees on the cyber risks facing the financial sector and offer best practices for protecting financial data and assets.

Participants

Rachel Wilson

Panelist

Rachel Wilson

Managing Director, Technology & Risk

Morgan Stanley

Rachel Wilson’s Biography

12:55pm – 1:45pm

Hear from DTCC leadership as they describe emerging technologies and initiatives, and also how the evolution of the securities industry will transform the post trade infrastructure. The panel will highlight…

Hear from DTCC leadership as they describe emerging technologies and initiatives, and also how the evolution of the securities industry will transform the post trade infrastructure. The panel will highlight the operations priorities that will drive the industry’s efforts in 2021 and beyond.

Participants

Murray C. Pozmanter, Ann Bergin, Lynn Bishop, Lallande de Gravelle, Michael McClain, Jennifer C. Peve

Moderator

Murray C. Pozmanter

Head of Clearing Agency Services and Global Business Operations

DTCC

Murray C. Pozmanter’s Biography

Panelists

Ann Bergin

Managing Director & General Manager, Wealth Management Services and Asset Services

DTCC

Ann Bergin’s Biography

Lynn Bishop

Managing Director, Chief Information Officer

DTCC

Lynn Bishop’s Biography

Lallande de Gravelle

Managing Director, Head of Corporate Strategy

DTCC

Lallande de Gravelle’s Biography

Michael McClain

Managing Director

DTCC

Michael McClain’s Biography

Jennifer C. Peve

Managing Director, Business Innovation

DTCC

Jennifer C. Peve’s Biography

1:50pm – 2:20pm

Technologies, trends, and cultural norms are reshaping operations faster than ever. Ulku Rowe, former Financial Services executive turned Googler, joins Joe Seidel, Chief Operating Officer of SIFMA, to discuss the…

Technologies, trends, and cultural norms are reshaping operations faster than ever. Ulku Rowe, former Financial Services executive turned Googler, joins Joe Seidel, Chief Operating Officer of SIFMA, to discuss the latest observations, obstacles, and opportunities that are defining the next chapter in securities operations.

Participants

Joseph L. Seidel, Ulku Rowe

Moderator

Joseph L. Seidel

Chief Operating Officer

SIFMA

Joseph L. Seidel’s Biography

Speaker

Ulku Rowe

Technical Director, Financial Services, Office of the CTO

Google Cloud

Ulku Rowe’s Biography

2:20pm – 3:20pm

Virtual Exhibit Hall

3:20pm – 3:40pm

Justin Llewellyn-Jones (Head of Capital Markets, North America, Equities, FX & Derivatives at Broadridge and guest(s) discuss the business drivers behind the current post-trade modernization…

Justin Llewellyn-Jones (Head of Capital Markets, North America, Equities, FX & Derivatives at Broadridge and guest(s) discuss the business drivers behind the current post-trade modernization initiatives at their organizations, and how they are using technology as an enabler to drive transformation, overcome obstacles, streamline operations and unlock data.

Participants

Justin Llewellyn-Jones

Speaker

Justin Llewellyn-Jones

Head of Capital Markets, North America (Equities & Derivatives)

Broadridge Financial Solutions

Justin Llewellyn-Jones’s Biography

3:45pm – 4:05pm

Participants

William Leahey

Speaker

William Leahey

Head of Regulatory Compliance

Refinitiv

William Leahey’s Biography

10:00am – 11:00am

Virtual Exhibit Hall

11:00am – 11:40am

Hear from the SEC, FINRA and the New York Fed as they join Ira Hammerman, Executive Vice President & General Counsel of SIFMA, to discuss current and potential key priorities…

Hear from the SEC, FINRA and the New York Fed as they join Ira Hammerman, Executive Vice President & General Counsel of SIFMA, to discuss current and potential key priorities as well as emerging regulatory issues facing financial services operations professionals.

Participants

Ira D. Hammerman, Vic Chakrian, Emily Westerberg Russell, Bill Wollman

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Vic Chakrian

Senior Vice President, Financial Market Infrastructure, Supervision Group

Federal Reserve Bank of New York

Vic Chakrian’s Biography

Emily Westerberg Russell

Chief Counsel of the Division of Trading and Markets

U.S. Securities and Exchange Commission

Emily Westerberg Russell’s Biography

Bill Wollman

Executive Vice President, Head of Office of Financial and Operational Risk Policy

FINRA

Bill Wollman’s Biography

11:45am – 12:05pm

The volatility of March 2020 represented the most serious test for U.S. capital markets since the 2008 global financial crisis. U.S. government securities clearance and repo came under particular pressure…

The volatility of March 2020 represented the most serious test for U.S. capital markets since the 2008 global financial crisis. U.S. government securities clearance and repo came under particular pressure as investors sought to bolster their cash liquidity while also seeking safety in U.S. Treasuries.

Join us for an informative session with senior leaders of BNY Mellon Clearance & Collateral Management to discuss findings from The Pandemic Stress Test, which provides new insight into how U.S. repo markets performed through the volatility.

 

Participants

Victor O’Laughlen, Brian Ruane

Moderator

Victor O’Laughlen

Digital Business Leader, Clearance and Collateral Management

BNY Mellon

Victor O’Laughlen’s Biography

Speaker

Brian Ruane

Chief Executive Officer, Government Securities Services and Broker Dealer Services

BNY Mellon

Brian Ruane’s Biography

12:10pm – 12:45pm

Explore the emerging area of digital assets. This panel will discuss the regulatory and operational considerations related to operationalizing security tokens as well as their impact on retail investors.

Explore the emerging area of digital assets. This panel will discuss the regulatory and operational considerations related to operationalizing security tokens as well as their impact on retail investors.

Participants

Grace Vogel, Emmanuel Aidoo, Thomas K. McGowan, Drew Van der Werff

Moderator

Grace Vogel

Managing Director, Financial Services Advisory Practice

PwC

Grace Vogel’s Biography

Panelists

Emmanuel Aidoo

Head of Digital Asset Markets

Credit Suisse

Emmanuel Aidoo’s Biography

Thomas K. McGowan

Associate Director, Division of Trading and Markets, Office of Broker-Dealer Finances

U.S. Securities and Exchange Commission

Thomas K. McGowan’s Biography

Drew Van der Werff

Vice President

Goldman Sachs

Drew Van der Werff’s Biography

12:50pm – 1:30pm

Discover the lessons learned so far at this stage of the pandemic, and the initiatives that firms are already considering to improve preparedness and resiliency. This panel will discuss Return…

Discover the lessons learned so far at this stage of the pandemic, and the initiatives that firms are already considering to improve preparedness and resiliency. This panel will discuss Return to Office strategies and plans, how firms have enhanced Work-from-Home technologies, the digital transformations that are streamlining operations, and related global regulatory reform efforts.

Participants

Ron Lefferts, Robert Kaiser, Anthony Lichty, Amy Shanle

Moderator

Ron Lefferts

Managing Director, Global Leader of Technology Consulting

Protiviti

Ron Lefferts’s Biography

Panelists

Robert Kaiser

Managing Director

BNP Paribas

Robert Kaiser’s Biography

Anthony Lichty

Director

Edward Jones

Anthony Lichty’s Biography

Amy Shanle

Managing Director, Global Head of Enterprise Change & Resiliency Office

Bank of New York Mellon

Amy Shanle’s Biography

1:35pm – 2:10pm

The digital era is also reshaping the workforce. Discover how teams are changing and the skills needed for next-generation operations. This panel will discuss the importance of building an agile…

The digital era is also reshaping the workforce. Discover how teams are changing and the skills needed for next-generation operations. This panel will discuss the importance of building an agile organization in an evolving industry and describe what firms need to do to address the growing talent gap.

Participants

Robert Walley, Staci Sullivan, Grainne McNamara, Lori Messer, Tonya Tyson

Moderator

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

Panelists

Staci Sullivan

President, Operations

TD Ameritrade Clearing, Inc.

Staci Sullivan’s Biography

Grainne McNamara

Principal

EY

Grainne McNamara’s Biography

Lori Messer

Managing Director, Global Head of Business & Client Services

RBC Capital Markets

Lori Messer’s Biography

Tonya Tyson

Chief Operations Officer

BB&T Securities, LLC

Tonya Tyson’s Biography

2:10pm – 3:10pm

Virtual Exhibit Hall

3:10pm – 3:30pm

Participants

Bratin Saha

Speaker

Bratin Saha

Vice President, Machine Learning Services

Amazon AI

Bratin Saha’s Biography

3:35pm – 3:55pm

Now that ongoing low interest rates and zero commissions are an everyday reality, finding ways to accelerate revenue growth to replace legacy commissions is top of mind. Many firms are…

Now that ongoing low interest rates and zero commissions are an everyday reality, finding ways to accelerate revenue growth to replace legacy commissions is top of mind. Many firms are looking for innovative ways to increase revenue and are exploring alternative paths.

Join the conversation as we discuss the latest trends in revenue growth.

Participants

Timothy D’Arcy, David Hoffman

Speakers

Timothy D’Arcy

Vice-President, FIS Business Solutions

FIS

Timothy D’Arcy’s Biography

David Hoffman

Manager, FIS Capital Markets Business Solutions Group

FIS

David Hoffman’s Biography

Venue

Virtual Gathering


Webinars, Webcasts, Virtual

Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.

Picture of venue

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official Webinar Press Policy.

Webinar Tips and FAQs

For an optimal virtual experience, we recommend attendees view this event using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).

You must have Javascript and Cookies enabled to access this virtual event. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.

Please note: Webinar access instructions will be sent within 24 hours of the start of the Ops Virtual Forum.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Cancellations
All cancellation requests are subject to a $25 processing fee and must be made in writing to SIFMA Conferences no later than 48 hours prior to the start of this virtual event. No substitutions or transfers will be accepted.