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.

Join us on November 4-5 to examine critical priorities.

Sessions will include:

  • Financial Services Operations – Leadership Perspectives
  • Impact of COVID-19 on Financial Services Operations
  • Regulatory Panel
  • Operationalizing Security Tokens
  • Cybersecurity Threats to the Financial Sector
  • DTCC Leadership on Operations Priorities
  • Solving for Security
  • Technology and Operations Leaders on Digitization
  • Ops Workforce of the Future

Stay tuned for the program announcement coming soon!

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

  • Members $299
  • Non-Members $399
  • Regulators $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.

Join us on November 4-5 to examine critical priorities.

Sessions will include:

  • Financial Services Operations – Leadership Perspectives
  • Impact of COVID-19 on Financial Services Operations
  • Regulatory Panel
  • Operationalizing Security Tokens
  • Cybersecurity Threats to the Financial Sector
  • DTCC Leadership on Operations Priorities
  • Solving for Security
  • Technology and Operations Leaders on Digitization
  • Ops Workforce of the Future

Stay tuned for the program announcement coming soon!

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

11:30am – 12:15pm

What are the operations priorities that drove the industry’s efforts in 2020 and looking ahead towards 2021. Hear from operations leaders as they describe emerging technologies and initiatives, and also…

What are the operations priorities that drove the industry’s efforts in 2020 and looking ahead towards 2021. Hear from operations leaders as they describe emerging technologies and initiatives, and also how the evolution of the securities industry will transform the role of the operations professional.

Participants

Thomas Tremaine, Graeme McEvoy, Claire Santaniello

Moderator

Thomas Tremaine

Executive Vice President and Chief Operations Officer

Raymond James Financial, Inc.

Thomas Tremaine’s Biography

Panelists

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

12:25pm – 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

1:00pm – 1:45pm

What are the operations priorities that will drive the industry’s efforts in 2021 and beyond? Hear from DTCC leadership as they describe emerging technologies and initiatives, and also how the…

What are the operations priorities that will drive the industry’s efforts in 2021 and beyond? 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.

Participants

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

Panelists

Ann Bergin

Managing Director & General Manager, Asset Services & Wealth Management

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

1:55pm – 2:20pm

Participants

Ulku Rowe

Speaker

Ulku Rowe

Technical Director, Financial Services, Office of the CTO

Google Cloud

Ulku Rowe’s Biography

2:20pm – 3:20pm

Virtual Exhibit Hall

10:00am – 11:00am

Virtual Exhibit Hall

11:00am – 11:05am

Participants

Joseph L. Seidel

Speaker

Joseph L. Seidel

Chief Operating Officer

SIFMA

Joseph L. Seidel’s Biography

11:05am – 11:35am

This panel of regulatory and industry leaders will discuss current and potential key priorities as well as emerging regulatory issues facing financial services operations professionals.

This panel of regulatory and industry leaders will discuss current and potential key priorities as well as emerging regulatory issues facing financial services operations professionals.

Participants

Ira D. Hammerman, Emily Westerberg Russell, Bill Wollman

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

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 – 12:00pm

Participants

Victor O’Laughlen, Brian Ruane

Speakers

Victor O’Laughlen

Head of Digital Clearance & Collateral Management

BNY Mellon | Pershing

Victor O’Laughlen’s Biography

Brian Ruane

Chief Executive Officer, Government Securities Services and Broker Dealer Services

BNY Mellon

Brian Ruane’s Biography

12:10pm – 12:40pm

This panel of industry experts will address the emerging area of digital assets, specifically security tokens, in the industry.  These senior leaders will discuss the regulatory and operational considerations related…

This panel of industry experts will address the emerging area of digital assets, specifically security tokens, in the industry.  These senior leaders will discuss the regulatory and operational considerations related to operationalizing security tokens, and their impact on retail investors.

12:50pm – 1:30pm

This panel will explore Lessons Learned so far at this stage of the pandemic and what initiatives firms are already considering for improving preparedness and resiliency. Discussions will cover return…

This panel will explore Lessons Learned so far at this stage of the pandemic and what initiatives firms are already considering for improving preparedness and resiliency. Discussions will cover return to office strategies and plans, technology improvement firms have made to enhance work-from-home technologies, digital transformations taking place to streamline operations and related global regulatory reform efforts.

Participants

Ron Lefferts, Amy Shanle

Panelists

Ron Lefferts

Managing Director, Global Leader of Technology Consulting

Protiviti

Ron Lefferts’s Biography

Amy Shanle

Global Head of Enterprise Resiliency Strategy, Regulatory and Governance

BNY Mellon

Amy Shanle’s Biography

1:40pm – 2:10pm

The digital era is also reshaping the workforce. Discover how ops teams are changing and the skills needed for next-generation operations, what…

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

Participants

Robert Walley, Staci Sullivan, Grainne McNamara, Lori Messer

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

Global Head, Capital Markets Operations

RBC Capital Markets

Lori Messer’s Biography

2:10pm – 3:10pm

Virtual Exhibit Hall

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.