Operations Conference & Exhibition

Date

May 07 - May 10, 2018

Location

Phoenix, AZ

Overview

Watch the #SIFMAOPS Livestream

Watch the livestream of select sessions:

For 45 years, SIFMA’s Operations Conference & Exhibition has gathered operations, technology and regulatory leaders from across the securities industry to collaborate, share information and address challenges.

As the industry continues to evolve – responding to regulatory changes, shortening the settlement cycle, tapping into the transformative potential of technology and driving smarter efficiencies – today’s innovation is presenting new ways for firms to understand and interact with their customers, businesses, and the markets.

Join us at OPS 2018 as we explore the practical applications of breakthrough technologies in operations, compliance and the implementation of regulatory changes, evolving investor engagement, and management of new risks in support of safe and resilient capital markets.

Program

3:00pm – 7:00pm

Registration Desk Hours

3:00pm – 6:00pm

Sponsored by FIS

Sponsored by FIS

3:30pm – 4:00pm

"Blockchain Highlight” is a quick overview on blockchain as a technology including TCS' point of view on various trends for business adoption and a guide on where and how to…

"Blockchain Highlight” is a quick overview on blockchain as a technology including TCS' point of view on various trends for business adoption and a guide on where and how to start on your blockchain journey.

Participants

Melanie Alvarez

Speaker

Melanie Alvarez

Global Head of Go-to-Market and Delivery in the TCS Blockchain Practice

TaTa Consultancy Services

Melanie Alvarez’s Biography

4:00pm – 4:30pm

Moving Corporate Actions processing from being a risk ridden back office function to reliable decision making tool. This session will discuss how modern Corporate Actions technology is leveraging Analytics, AI,…

Moving Corporate Actions processing from being a risk ridden back office function to reliable decision making tool. This session will discuss how modern Corporate Actions technology is leveraging Analytics, AI, NLP and DLT to transform the business processes for financial institutions and their customers alike.

Participants

Kshitiz Mittal, Kevin Blair, Gary Dedilectis, Jeremy Jackson, Sanjay Prasad

Moderator

Kshitiz Mittal

Director of Sales

TCS BaNCS

Kshitiz Mittal’s Biography

Panelists

Kevin Blair

Senior Vice President, Enterprise Enablement, Head of Asset Servicing Capability Management

Northern Trust

Kevin Blair’s Biography

Gary Dedilectis

Financial Services Professional

Gary Dedilectis’s Biography

Jeremy Jackson

Vice President for Corporate Trust Services

Wells Fargo

Jeremy Jackson’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 

6:00am – 7:00am

7:00am – 4:30pm

Registration Desk Hours

7:15am – 8:15am

Continental Breakfast – Exhibition Hall

7:45am – 8:05am

Ready or not, the Consolidated Audit Trail is coming. What can we learn from the past regulatory compliance implementations such as MIFiD II or OATS? MIFid II kept the specifications…

Ready or not, the Consolidated Audit Trail is coming. What can we learn from the past regulatory compliance implementations such as MIFiD II or OATS? MIFid II kept the specifications in suspense until the last minute, while OATS haunts the reporters for data inaccuracies made many years prior. During this session, FIS will review lessons learned and discuss other ways to skin the CAT and potentially alleviate daily operational challenges for broker-dealers, upon the CAT launch.

Participants

Nathan Call

Speaker

Nathan Call

Director of RegTech Solutions, Protegent, Global Financial Services

FIS

Nathan Call’s Biography

8:15am – 12:15pm

General Session Audio Visual Sponsored by Tata Consultancy Services / TCS BaNCS

General Session Audio Visual Sponsored by Tata Consultancy Services / TCS BaNCS

8:15am – 8:30am

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

8:30am – 8:55am

The Next Decade of Investing Access to the markets and advice is at an all-time high, while the cost to invest or gain information is at an all-time low. With…

The Next Decade of Investing

Access to the markets and advice is at an all-time high, while the cost to invest or gain information is at an all-time low. With technology leading much of the change, what opportunities, challenges, and responsibilities do we, as an industry, have to navigate through the next decade?

Participants

Lisa Kidd Hunt

Speaker

Lisa Kidd Hunt

Executive Vice President, Business Initiatives

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

8:55am – 9:20am

Beyond the Breach:  Cyber Preparedness and Risk Mitigation As technology becomes ever more complex, and as we digitize an increasing number of our most valuable assets, the scope and scale…

Beyond the Breach:  Cyber Preparedness and Risk Mitigation As technology becomes ever more complex, and as we digitize an increasing number of our most valuable assets, the scope and scale of cyberattacks and risks are proliferating at an unprecedented rate. Now more than ever, cyber issues are keeping boards of directors and senior management up at night.  Although it will never be possible to build walls high enough to prevent every cyber attack, there are many steps that companies can take to address and mitigate the risks, as well as respond appropriately when a compromise occurs. Security incidents can present significant risks to companies across every industry sector in a number of different ways, including damage to brand and reputation, loss of sales or customer churn, financial penalties, and legal exposure.  John Carlin, former Assistant Attorney General for the U.S. Department of Justice’s (DOJ) National Security Division (NSD) and Chief of Staff and Senior Counsel to former Director of the FBI, Robert S. Mueller, III, will cover the current cyber landscape, highlight emerging threats, and offer practical guidance and tips on how companies can remain resilient in preparing for and responding to cybersecurity challenges in a digital world.

Participants

John P. Carlin

Speaker

John P. Carlin

Partner

Morrison & Foerster LLP

Former Assistant Attorney General for the U.S. Department of Justice’s National Security Division

John P. Carlin’s Biography

9:20am – 9:45am

The financial services industry is a leading adopter of AI technologies, many of which are in a nascent stage. Hans-Juergen Rieder, Group CTO for UBS AG, will discuss his observations…

The financial services industry is a leading adopter of AI technologies, many of which are in a nascent stage. Hans-Juergen Rieder, Group CTO for UBS AG, will discuss his observations and concerns around the rapid pace of change in this field, the risks and implications inherent for large organizations, and how UBS is working to evolve its enterprise to take advantage of their benefits while ensuring the long-term strategic vision is maintained.

Participants

Hans-Juergen Rieder

Speaker

Hans-Juergen Rieder

Group Chief Technology Officer

UBS AG

Hans-Juergen Rieder’s Biography

9:45am – 10:10am

SIFMA’s President & CEO, Ken Bentsen will interview Mike Bodson who will share his insights as CEO of the world’s largest market infrastructure on the top trends reshaping the post-trade…

SIFMA’s President & CEO, Ken Bentsen will interview Mike Bodson who will share his insights as CEO of the world’s largest market infrastructure on the top trends reshaping the post-trade environment – from how new technologies will transform financial services to why he’s disrupting DTCC by embracing the fintech revolution and the need to balance innovation and financial stability during this period of dynamic change.

Participants

Kenneth E. Bentsen, Jr., Michael C. Bodson

Speakers

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Michael C. Bodson

President & Chief Executive Officer

DTCC

Michael C. Bodson’s Biography

10:10am – 10:35am

Networking Break – Exhibition Hall

10:35am – 11:00am

Participants

Commissioner Brian D. Quintenz

11:00am – 12:15pm

As lead solo pilot of the Blue Angels, John Foley had to consistently perform as part of a team in an intense, high-stakes environment. Reaching that level of excellence required…

As lead solo pilot of the Blue Angels, John Foley had to consistently perform as part of a team in an intense, high-stakes environment. Reaching that level of excellence required commitment, discipline, and trust. Using Blue Angel methodology as a model, Foley has developed a unique approach that equips others to make the same journey toward excellence. His message, delivered with contagious enthusiasm, emphasizes principles of trust, alignment, clarity, and commitment, positioning individuals and teams to achieve and sustain higher levels of excellence than they ever dreamed possible.

Participants

John Foley

Speaker

John Foley

Former Blue Angels Lead Solo Pilot

John Foley’s Biography

12:15pm – 2:00pm

Sponsored by Tata Consultancy Services / TCS BaNCS

Sponsored by Tata Consultancy Services / TCS BaNCS

Location

Exhibition Hall

12:45pm – 1:05pm

Traditional transformation efforts have been slow to deliver returns and unable to sustain initial gains for broker-dealers, banks and asset managers.  The cost of change and change control must be…

Traditional transformation efforts have been slow to deliver returns and unable to sustain initial gains for broker-dealers, banks and asset managers.  The cost of change and change control must be addressed to fully realize and sustain desired efficiencies. In this lab, we will discuss how Business Decision Management (BDM) and Model Driven Development (MDD) can dramatically lower the cost and risk of change in processing heavy environments by streamlining requirements development, testing and code release processes while strengthening change governance.

Participants

Sanjiv Nathwani

Speaker

1:30pm – 1:50pm

Stagnating revenue. Increased competition. Weak returns. How does your firm stay ahead of the curve? Join Accenture’s Wynn Davies as he reveals five technology design principles to prepare for digital…

Stagnating revenue. Increased competition. Weak returns. How does your firm stay ahead of the curve? Join Accenture’s Wynn Davies as he reveals five technology design principles to prepare for digital capital markets in 2022 and beyond.

Participants

Wynn Davies

Speaker

Wynn Davies

Managing Director

Accenture

Wynn Davies’s Biography

2:00pm – 3:00pm

Payments are changing faster than ever due to a convergence of rising client expectations and new entrants and technologies. Shrinking settlement windows, bigger data demands, cybersecurity concerns, the need for…

Payments are changing faster than ever due to a convergence of rising client expectations and new entrants and technologies. Shrinking settlement windows, bigger data demands, cybersecurity concerns, the need for transparency and the desire to lower costs are putting pressure on operations and technology and straining compliance and risk management teams to respond. New revenue opportunities are emerging by exploiting the same trends. This panel will discuss how financial services companies are responding with new capabilities to meet increased expectations.

Participants

Tim O’Donnell, Ryan Masters, Carl Slabicki

Moderator

Tim O’Donnell

Managing Director

PwC

Tim O’Donnell’s Biography

Panelists

Ryan Masters

Executive Director, Strategic Relationships

SWIFT

Ryan Masters’s Biography

Carl Slabicki

Director, Treasury Services

BNY Mellon

Carl Slabicki’s Biography

Join buy-side operational leaders and subject matter experts for an informative discussion on Buy-Side operational perspectives.  Topics include fintech and what asset management ops are doing now to adopt emerging…

Join buy-side operational leaders and subject matter experts for an informative discussion on Buy-Side operational perspectives.  Topics include fintech and what asset management ops are doing now to adopt emerging technologies and other innovations to solve operational challenges across the full investment life cycle and broader eco-system.

Participants

Louis J. Rosato, III, Bill Galipeau, Michael Herskovitz, Joseph M. Liguori, Jason Minkler, Jesse Robinson

Moderator

Louis J. Rosato, III

Director, Investment Operations Group

BlackRock

Louis J. Rosato, III’s Biography

Panelists

Bill Galipeau

Executive Vice President and Head of Operations

PIMCO

Bill Galipeau’s Biography

Michael Herskovitz

Senior Vice President & Partner, Fixed Income Risk Operations & Technology

AB

Michael Herskovitz’s Biography

Joseph M. Liguori

Managing Director

JPMorgan Chase & Co.

Joseph M. Liguori’s Biography

Jason Minkler

Senior Vice President & Head of Operations

Jennison Associates, LLC

Jason Minkler’s Biography

Operations professionals continue to focus on the mitigation of risk and enhancement of the customer experience driven by the evolving complexity and regulatory requirements in the corporate actions space. This session…

Operations professionals continue to focus on the mitigation of risk and enhancement of the customer experience driven by the evolving complexity and regulatory requirements in the corporate actions space. This session will highlight how firms are looking to manage regulatory and operational risk with fintech opportunities in robotics and artificial intelligence introduced into tax processing and the corporate actions operations. Panelists will also explore efforts for a global standard in the announcement of events, as well as questions surrounding emerging trends, including the Issuers’ use of cryptocurrency for dividends.

Participants

Carly Byrd, Sharyn S. Bilenker, Lawrence Conover, James Monahan, Cynthia Rainis-Tirino, Daniel Thieke

Moderator

Carly Byrd

Director, Global Tax Utility

Deutsche Bank

Carly Byrd’s Biography

Panelists

Sharyn S. Bilenker

Vice President of Product Management, Corporate Actions and Reference Data

Broadridge Financial Solutions Inc.

Sharyn S. Bilenker’s Biography

Lawrence Conover

Vice President, Operations and Services Group (OSG)

Fidelity Investments

Lawrence Conover’s Biography

James Monahan

Executive Director and Regional Head of North America Position Services

Morgan Stanley

James Monahan’s Biography

Cynthia Rainis-Tirino

Vice President

Deutsche Bank

Cynthia Rainis-Tirino’s Biography

Daniel Thieke

Managing Director and General Manager, Settlement & Asset Services

DTCC

Daniel Thieke’s Biography

Cognitive and analytical technologies are poised to introduce widespread change in the financial services industry. From regulation to middle and back-office…

Cognitive and analytical technologies are poised to introduce widespread change in the financial services industry. From regulation to middle and back-office processes, panelists will explore what this means for operational professionals today, and how it may impact the landscape longer term. subject matter experts will also discuss how robotic process automation and machine learning may decrease the reliance upon human inputs and drive new efficiencies and work processes for financial services operations professionals.

Participants

Ron Lefferts, Thomas A. Giacalone, Graeme McEvoy, Grainne McNamara, Jennifer C. Peve

Moderator

Ron Lefferts

Managing Partner, Financial Services Sector

IBM Global Business Services

Ron Lefferts’s Biography

Panelists

Thomas A. Giacalone

Managing Director

UBS AG

Thomas A. Giacalone’s Biography

Graeme McEvoy

Managing Director & Global Head, ISG Product Operations

Morgan Stanley

Graeme McEvoy’s Biography

Grainne McNamara

Principal, Financial Services & Banking and Capital Markets

PwC

Grainne McNamara’s Biography

Jennifer C. Peve

Co-Head, Office of FinTech Strategy, Strategy and Business Development

DTCC

Jennifer C. Peve’s Biography

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

The panel will discuss the industry 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).

Participants

Michael Alexander, Michele Hillery, Lawrence Holmes, Christopher Pullano, Joseph Zaets

Moderator

Michael Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael Alexander’s Biography

Panelists

Michele Hillery

Executive Director, Equity Clearing Services, Fixed Income Product Management

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

Christopher Pullano

Partner, Financial Services Advisory

PwC

Christopher Pullano’s Biography

Joseph Zaets

Executive Director

Morgan Stanley

Joseph Zaets’s Biography

Why are leading financial institutions using an innovative digital platform approach to drive operational excellence? Tackling complex global financial issues requires powerful and new approaches for creating more compelling and…

Why are leading financial institutions using an innovative digital platform approach to drive operational excellence? Tackling complex global financial issues requires powerful and new approaches for creating more compelling and competitive customer outcomes. Also required is the ability to capitalize on data sources by integrating across data silos, while conforming to critical compliance requirements. Hear a first-hand success story from State Street Global Advisors about their digital transformation journey from strategy to results. With the support of a modern application platform, they achieved operational agility that extends from the back office through to the customer.

Location

Grand Saguaro East and West

Participants

Michael Heffner, Dennis Mackey

Speakers

Michael Heffner

Vice President, Global Financial Services and Insurance Industry Lead

Appian

Michael Heffner’s Biography

Dennis Mackey

Vice President & Head of Investment Operations Growth & Transformation

State Street Global Advisors

Dennis Mackey’s Biography

Intelligent Automation is enabling a dramatic revolution in Capital Markets Operations driving increased efficiencies and business growth. In this session we will explore how Intelligent Automation can transform client interactions,…

Intelligent Automation is enabling a dramatic revolution in Capital Markets Operations driving increased efficiencies and business growth. In this session we will explore how Intelligent Automation can transform client interactions, solve the impossible collateral challenge and streamline the LIBOR transition.

Participants

Tim Cerino, Chris Long, Atul Subbiah

Speakers

Tim Cerino

Director

KPMG LLP

Tim Cerino’s Biography

Chris Long

Principal

KPMG LLP

Chris Long’s Biography

Atul Subbiah

Principal

KPMG LLP

Atul Subbiah’s Biography

3:00pm – 3:30pm

Networking Break – Exhibition Hall

3:30pm – 4:30pm

Blockchain holds great promise to help transform securities markets and processes – but what does actual implementation of this technology look like? This panel will explore how the industry is…

Blockchain holds great promise to help transform securities markets and processes – but what does actual implementation of this technology look like? This panel will explore how the industry is actually applying distributed ledger technologies, and what the path to production looks like. How are exchanges and utilities using blockchain, and what lessons can the industry learn about realizing the potential of this technology – from selecting the right use cases to implementation to understanding the regulatory context?

Participants

Christopher Rigg, Pramod Achanta, Chris Church, James O’Neill, Jennifer C. Peve

Moderator

Christopher Rigg

Principal and Capital Markets Technology Lead

EY

Christopher Rigg’s Biography

Panelists

Pramod Achanta

IBM Blockchain Services Leader- North America

IBM

Pramod Achanta’s Biography

Chris Church

Chief Business Development Officer

Digital Asset

Chris Church’s Biography

James O’Neill

Vice President, Operations Risk

Fidelity Investments

James O’Neill’s Biography

Jennifer C. Peve

Co-Head, Office of FinTech Strategy, Strategy and Business Development

DTCC

Jennifer C. Peve’s Biography

Nearly 25% of all cyber incidents today are caused by malicious insiders or by employees unintentionally introducing malware into their environments through phishing attacks. Along with this, the number of…

Nearly 25% of all cyber incidents today are caused by malicious insiders or by employees unintentionally introducing malware into their environments through phishing attacks. Along with this, the number of data breaches, particularly among third-parties holding sensitive financial industry data, has increased substantially in the past ten years from hundreds to several thousand incidents per year. This panel will explore how firms should be preparing their organizations, employees and dependent third-parties to protect against this rising threat.

Participants

Thomas M. Wagner, Craig Byrkit, Matt Miller, Alan Charles Raul, Ellen Schubert

Moderator

Thomas M. Wagner

Managing Director, Financial Services Operations

SIFMA

Thomas M. Wagner’s Biography

Panelists

Craig Byrkit

Department Leader, Information Systems Threat and Vulnerability Department and Cyber Risk Management Department

Edward Jones

Craig Byrkit’s Biography

Matt Miller

Vice President, Operational Risk Management and Analysis

Goldman, Sachs & Co.

Matt Miller’s Biography

Ellen Schubert

Chief Executive Officer

IHS Markit KY3P

Ellen Schubert’s Biography

In a world of instantaneous information and high-speed transaction processing, the account transfer process – which moves accounts between brokerage firms and/or banks – must ensure that it takes the…

In a world of instantaneous information and high-speed transaction processing, the account transfer process – which moves accounts between brokerage firms and/or banks – must ensure that it takes the necessary steps to modernize its infrastructure from both operational efficiency and technology perspectives. This panel will review the ACATS evolution and the drive to improve the investor experience and reduce risk; the industry perspectives on the many upcoming ACATS process improvements; and the strategic view of the ACATS process and the multi-year roadmap of change and its impact on operations officers.

Participants

Ellen Bocina, Kelly Cornwell, Helene W. Garcia, Bill J. Kapogiannis, Evan Oliveaux

Moderator

Ellen Bocina

Vice President and Product Manager

Fidelity Investments

Ellen Bocina’s Biography

Panelists

Kelly Cornwell

Industry Relations Specialist

Vanguard

Kelly Cornwell’s Biography

Bill J. Kapogiannis

Executive Director, Product Management - Equity Clearing

DTCC

Bill J. Kapogiannis’s Biography

Evan Oliveaux

Vice President

Fidelity Investments

Evan Oliveaux’s Biography

Join subject matter experts to better understand how firms are currently applying the DOL’s fiduciary rule and an update on the status of the SEC’s Development of a Best Interest…

Join subject matter experts to better understand how firms are currently applying the DOL’s fiduciary rule and an update on the status of the SEC’s Development of a Best Interest Standard of Care. Panelists will also review the evolution occurring at the state level on expanding the scope of fiduciary activity and piece together how these various standards will work together.

Participants

Kevin Carroll, Daniel Bender, Robert Cirrotti, Jay Haines, Daniel Kleinman

Moderator

Kevin Carroll

Managing Director & Associate General Counsel

SIFMA

Kevin Carroll’s Biography

Panelists

Daniel Bender

Executive Director

EY

Daniel Bender’s Biography

Robert Cirrotti

Managing Director, Retirement & Investment Solutions

Pershing LLC, a BNY Mellon Company

Robert Cirrotti’s Biography

Jay Haines

Senior Vice President and General Counsel

Fidelity Investments

Jay Haines’s Biography

Following the successful implementation of T+2, DTCC is looking to further modernize the settlement process in order to capture many of the benefits realized by compressing the settlement cycle. This…

Following the successful implementation of T+2, DTCC is looking to further modernize the settlement process in order to capture many of the benefits realized by compressing the settlement cycle. This panel will explore the concept of Settlement Optimization, which proposes a reengineering of DTC’s night cycle to drive a higher rate of settlement earlier in the processing day and creates the possibility of a morning settlement slice.

Participants

Daniel Thieke, John Abel, Graeme McEvoy, Kevin Souder

Moderator

Daniel Thieke

Managing Director and General Manager, Settlement & Asset Services

DTCC

Daniel Thieke’s Biography

Panelists

John Abel

Executive Director, Product Management

DTCC

John Abel’s Biography

Graeme McEvoy

Managing Director & Global Head, ISG Product Operations

Morgan Stanley

Graeme McEvoy’s Biography

Kevin Souder

Director of Operations

Janney Montgomery Scott LLC

Kevin Souder’s Biography

The successful wealth management firm of the future will have to use new technology platforms to be able to deliver personalized client service and experience to different target groups. To…

The successful wealth management firm of the future will have to use new technology platforms to be able to deliver personalized client service and experience to different target groups. To gain this competitive advantage early, firms should start thinking about four key areas now to differentiate themselves and identify technologies and innovations to leverage. Join Accenture’s Kendra Thompson and Scott Reddel as they paint a picture of tomorrow’s wealth management platform, from Wealthtech to Applied Intelligence, to help grow and retain client base.

Location

Grand Saguaro East and West

Participants

Scott Reddel, Kendra Thompson

Speakers

Scott Reddel

Managing Director, Wealth Management

Accenture

Scott Reddel’s Biography

Kendra Thompson

Managing Director, NA Head of Wealth Management

Accenture

Kendra Thompson’s Biography

The adoption of Artificial Intelligence (AI), Machine Learning (ML), and Robotic Process Automation (RPA) by financial services firms has accelerated in the last two years, driven by the explosion of…

The adoption of Artificial Intelligence (AI), Machine Learning (ML), and Robotic Process Automation (RPA) by financial services firms has accelerated in the last two years, driven by the explosion of data caused by the Internet of Things, advancement in computing power and maturing of algorithms. These technologies are expected to have a tangible impact on productivity within the next three to five years. Business leaders see AI in particular becoming a significant business advantage. Join Broadridge to hear how capital markets firms are transforming with AI. Our panel of industry leaders from financial institutions, analyst firms and fintech providers will share their perspectives on the AI market landscape, including where we are today, challenges and opportunities for banks, and what they are doing to take “Bots to Products.”

Location

Grand Saguaro North and South

Participants

Erik DiGiacomo, Michael Alexander, David Easthope, Michael Walsh

Moderator

Erik DiGiacomo

Managing Partner and Global Head of Professional Services

Broadridge Financial Solutions, Inc.

Erik DiGiacomo’s Biography

Panelists

Michael Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael Alexander’s Biography

David Easthope

Senior Vice President

Celent

David Easthope’s Biography

Michael Walsh

Head of Operations for the Americas

Société Générale

Michael Walsh’s Biography

4:30pm – 6:00pm

Sponsored by Accenture 

Sponsored by Accenture 

Location

Exhibition Hall

7:00am – 4:30pm

Registration Desk Hours

7:00am – 8:10am

Expect the unexpected – that was the takeaway from the 2016 presidential elections.  With just six months remaining before voters cast their ballots in congressional and gubernatorial elections, Accenture’s head…

Expect the unexpected – that was the takeaway from the 2016 presidential elections.  With just six months remaining before voters cast their ballots in congressional and gubernatorial elections, Accenture’s head of North American Government Relations, Robert Hoffman, will attempt to separate fact from fake and forecast the fate of those seeking to gain or remain in public service. Join members of the Corporate Actions Section (CAS), Credit & Margin Section (CMS), Customer Account Transfer Section (CAT) and Securities Operations Section (SOS) for a networking breakfast. This event is open to all current members of the society. Hear from all four section Presidents and a guest speaker. Invitations are non-transferrable and an RSVP is required. Please reach out to Meagan Prescott to reserve your seat.

Participants

Robert Hoffman

Speaker

Robert Hoffman

Managing Director, Government Relations (North America)

Accenture

Robert Hoffman’s Biography

7:30am – 8:30am

Continental Breakfast – Exhibition Hall

7:45am – 8:05am

Amazon’s inevitable entry into financial services reinforces the urgency for firms to explore technology to increase revenue and profitability while reimagining client experience. Amazon’s scale and customer data-centric focus positions…

Amazon’s inevitable entry into financial services reinforces the urgency for firms to explore technology to increase revenue and profitability while reimagining client experience. Amazon’s scale and customer data-centric focus positions them well to service a growing millennial customer base with personalized offerings and a differentiated digital experience. This session will examine Amazon’s success through an operational lens for insights on how data, trust, and scale can accelerate your business.

Participants

Philip Wilkins

Speaker

Philip Wilkins

Director, Enterprise Sales

Agreement Express

Philip Wilkins’s Biography

8:15am – 11:55pm

General Session Audio Visual Sponsored by Tata Consultancy Services / TCS BaNCS

General Session Audio Visual Sponsored by Tata Consultancy Services / TCS BaNCS

8:15am – 8:25am

Participants

Randy Snook

Speaker

Randy Snook

Executive Vice President, Business Policies & Practices

SIFMA

Randy Snook’s Biography

8:25am – 8:45am

During the next two to five years, the financial services industry will continue to undergo a digital transformation, driven by blockchain and other emerging technologies. Ms. McNamara will discuss what…

During the next two to five years, the financial services industry will continue to undergo a digital transformation, driven by blockchain and other emerging technologies. Ms. McNamara will discuss what this means for an Operations professional, including the recipe for success in the digital era.

Participants

Grainne McNamara

Speaker

Grainne McNamara

Principal, Financial Services & Banking and Capital Markets

PwC

Grainne McNamara’s Biography

8:45am – 9:55am

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 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

Joe Guardino, Phil Davies, Thomas A. Giacalone, Olga Naumovich, Murray C. Pozmanter, Thomas Tremaine

Moderator

Joe Guardino

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

Bank of America Merrill Lynch

Joe Guardino’s Biography

Panelists

Phil Davies

Managing Director and Global Head of Operations

Morgan Stanley

Phil Davies’s Biography

Thomas A. Giacalone

Managing Director

UBS AG

Thomas A. Giacalone’s Biography

Olga Naumovich

Managing Director

Goldman, Sachs & Co.

Olga Naumovich’s Biography

Murray C. Pozmanter

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

DTCC

Murray C. Pozmanter’s Biography

Thomas Tremaine

Executive Vice President and Chief Operations Officer

Raymond James Financial, Inc.

Thomas Tremaine’s Biography

9:55am – 10:45am

This panel will bring together regulators across multiple asset classes to share their views on the emerging regulatory landscape. Regulators will share their perspectives on agency priorities and discuss current…

This panel will bring together regulators across multiple asset classes to share their views on the emerging regulatory landscape. Regulators will share their perspectives on agency priorities and discuss current and potential new regulatory initiatives in 2018 and beyond.

Participants

Ira D. Hammerman, Saliha Olgun, Anthony Russell, Bill Wollman

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Saliha Olgun

Assistant General Counsel

MSRB

Saliha Olgun’s Biography

Bill Wollman

Executive Vice President, Member Regulation - Regulatory Oversight & Operational Regulation

FINRA

Bill Wollman’s Biography

10:45am – 11:15am

Networking Break – Exhibition Hall

11:15am – 11:55pm

ART OF THE POSSIBLE IN FUTURE OF OPERATIONS -  Emerging technologies are re-shaping the operations function in financial services and other industries. These technologies present limitless possibilities for the broker…

ART OF THE POSSIBLE IN FUTURE OF OPERATIONS -  Emerging technologies are re-shaping the operations function in financial services and other industries. These technologies present limitless possibilities for the broker dealer industry and have the potential to significantly transform, modernize and shape the future of work within Operations.  The Operations executives have a critical role in driving this transformation for their organization. Hear Deloitte’s perspective on the “Art of the Possible in Future of Operations”, and practical actions that can be taken today to help prosper and thrive in this disruptive environment.

Participants

Michael Wade

Speaker

Michael Wade

Managing Director

Deloitte & Touche LLP

Michael Wade’s Biography

12:00pm – 1:00pm

Implementation of the Consolidated Audit Trail (“CAT”) will be one of the largest and most complex projects that operations professionals will be tasked with in 2018 and beyond.  This informative…

Implementation of the Consolidated Audit Trail (“CAT”) will be one of the largest and most complex projects that operations professionals will be tasked with in 2018 and beyond.  This informative session will bring together key participants engaged in the development of the CAT, with a focus on timing, technical specifications, data security, PII, the elimination of duplicative systems and other issues critical to a successful launch.

Participants

Robert Walley, Gregg E. Berman, Ph.D., Shelly Bohlin, Andre Frank, Manisha Kimmel, Ronald J. Veith

Moderator

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

Panelists

Gregg E. Berman, Ph.D.

Director of Market Analytics and Regulatory Structure

Citadel

Gregg E. Berman, Ph.D.’s Biography

Shelly Bohlin

Vice President

FINRA

Shelly Bohlin’s Biography

Manisha Kimmel

Chief Regulatory Officer, Wealth Management

Thomson Reuters

Manisha Kimmel’s Biography

Ronald J. Veith

Executive Director

JPMorgan Chase & Co.

Ronald J. Veith’s Biography

The US Government Securities Market is going through many changes. The changes include post trade settlement, a greater need for clients to mobilize these high-quality assets around the globe and…

The US Government Securities Market is going through many changes. The changes include post trade settlement, a greater need for clients to mobilize these high-quality assets around the globe and finally, the reversal of quantitative easing and the impact it will have on the secured financing market.  The panel will discuss the changing landscape of the Government Securities Market and the Industry trends that result.  The session will also highlight recent initiatives led by TMPG’s Clearing & Settlement Working Group, including the development of clearing maps and identification of risks in the clearance and settlement process.

Participants

Brian Ruane, Edward Corral, Brian Disken, Michael Katz, Philippe Seyll, Suzanne Sprague, Mark Trivedi

Moderator

Brian Ruane

CEO, Government Securities Services and Broker Dealer Services

BNY Mellon

Brian Ruane’s Biography

Panelists

Edward Corral

Global Head of Collateral Management

Morgan Stanley

Edward Corral’s Biography

Brian Disken

Executive Director, Fixed Income Product Management

DTCC

Brian Disken’s Biography

Michael Katz

Americas Collateral Management Product Head

JPMorgan Chase & Co.

Michael Katz’s Biography

Philippe Seyll

Co-Chief Executive Officer

Clearstream Banking SA

Philippe Seyll’s Biography

Suzanne Sprague

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

CME Group

Suzanne Sprague’s Biography

Mark Trivedi

Managing Director

JPMorgan Chase & Co.

Mark Trivedi’s Biography

Managing operational risk is a critical responsibility for operations leaders. This expert panel will share how operational risk management is evolving in response to new technologies, changing processes, and changing…

Managing operational risk is a critical responsibility for operations leaders. This expert panel will share how operational risk management is evolving in response to new technologies, changing processes, and changing regulations are reshaping the discipline of operational risk management.  They will explore how operational risk fits into the broader enterprise and operations framework and share their perspectives on what makes risk management strategies effective.

Participants

Staci Sullivan, John P. Davidson, Thomas Ferlazzo, David Inggs, Michael McClain

Moderator

Panelists

John P. Davidson

President and Chief Operating Officer

Options Clearing Corporation

John P. Davidson’s Biography

Thomas Ferlazzo

Senior Vice President, Operational Risk Supervision

Federal Reserve Bank of New York

Thomas Ferlazzo’s Biography

David Inggs

Senior Vice President, Operations

E*TRADE

David Inggs’s Biography

Michael McClain

Managing Director

DTCC

Michael McClain’s Biography

Fannie Mae and Freddie Mac are scheduled to implement the Single Security in Q2 2019. Will you be ready for this significant change impacting the to-be-announced (TBA) mortgage=backed security (MBS)…

Fannie Mae and Freddie Mac are scheduled to implement the Single Security in Q2 2019. Will you be ready for this significant change impacting the to-be-announced (TBA) mortgage=backed security (MBS) market? Front-, middle-, and back-office operations departments all potentially have impacts from the associated new securities names and labeling, as well as planned exchanges of Freddie Mac’s mortgage-backed security, the Gold PC. Join us at this interactive workshop to hear more about key vendor plans and milestones, industry testing discussions, and how the exchange will work.

Location

Grand Saguaro East and West

Participants

Stephanie Milner, Barbara Pak

Speakers

Stephanie Milner

Director - Capital Markets and Securitization

Fannie Mae

Stephanie Milner’s Biography

Barbara Pak

Vice President, Investments & Capital Markets

Freddie Mac

Barbara Pak’s Biography

The challenges facing institutional broker dealers and wealth management firms are familiar, but evolving. Senior leaders have long grappled with how best to optimize operational efficiencies, mitigate risk, and reduce…

The challenges facing institutional broker dealers and wealth management firms are familiar, but evolving. Senior leaders have long grappled with how best to optimize operational efficiencies, mitigate risk, and reduce costs and errors. As the technology evolves, so do the solutions to these longstanding questions. What once was considered to be the “answer” may no longer be innovative or forward-looking enough to meet the rigorous regulatory requirements or the ever increasing demand for differentiation. Our panel of distinguished leaders will discuss how they're preparing for the future by improving ease-of-use, enhancing functionality, and simplifying operations.

Location

Grand Saguaro North and South

Participants

Colette Rex, Roger Shaffer, Don Witynski, Larry Zywicki

Speakers

Colette Rex

Executive Vice President of Operations

COR Clearing

Colette Rex’s Biography

Roger Shaffer

Managing Member of the Correspondent Clearing

INTLFCStone Financial Inc.

Roger Shaffer’s Biography

Don Witynski

Senior Product Manager

Thomson Reuters

Don Witynski’s Biography

Larry Zywicki

Head of Trading Solutions

Thomson Reuters

Larry Zywicki’s Biography

Operations in the industry is under great pressure to transform given changing client needs, continuing margin pressures and the potential for technology-based disruption.  All the while, Operations must ensure the…

Operations in the industry is under great pressure to transform given changing client needs, continuing margin pressures and the potential for technology-based disruption.  All the while, Operations must ensure the right balance of cost, risk and client service to keep the business controlled, profitable and growing.  The panel brings together a set of technology firms that are positioned to help the industry achieve their immediate and most ambitious transformation goals.

Participants

Sanjiv Nathwani, James Heinzman, Bradley Killinger, Leonard Law, Lauren Robbins

Moderator

Panelists

James Heinzman

Executive Vice President, Financial Services Solutions

ThetaRay

James Heinzman’s Biography

Bradley Killinger

Chief Executive Officer

Sapience Analytics

Bradley Killinger’s Biography

Leonard Law

Product Management Lead

Google Cloud Platform

Leonard Law’s Biography

Lauren Robbins

Institutional Banking & Markets business Leader

Salesforce

Lauren Robbins’s Biography

1:00pm – 3:00pm

Networking Lunch – Exhibition Hall

1:45pm – 2:05pm

With the uncertainty surrounding final effective dates and requirements for Consolidated Audit Trail, understanding the intent of the regulation, the reportable events that will need to be captured and where…

With the uncertainty surrounding final effective dates and requirements for Consolidated Audit Trail, understanding the intent of the regulation, the reportable events that will need to be captured and where these events take place along your broker-dealer’s trading lifecycle will better position broker-dealers to respond when final specs are released

Participants

Sriram Gopalakrishnan, Robert Walley

Speakers

Sriram Gopalakrishnan

Managing Director

Deloitte

Sriram Gopalakrishnan’s Biography

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

2:20pm – 2:40pm

Post-financial crisis, financial services firms have focused on the reduction and outsourcing of middle and back-office headcount.  The use of legacy systems continues to be the greatest middle and back-office…

Post-financial crisis, financial services firms have focused on the reduction and outsourcing of middle and back-office headcount.  The use of legacy systems continues to be the greatest middle and back-office pain point and represents the next major cost reduction opportunity.  This lab will discuss production proven innovation that has transformed the middle and back-office by taking full advantage of 21st Century technology and its capabilities.

Participants

Joe South

3:00pm – 4:30pm

SIFMA is pleased to announce the inaugural Women’s Leadership Event at this year’s Operations Conference & Exhibition.  For 45 years, this event has gathered operations, technology and regulatory leaders from…

SIFMA is pleased to announce the inaugural Women’s Leadership Event at this year’s Operations Conference & Exhibition.  For 45 years, this event has gathered operations, technology and regulatory leaders from across the securities industry to collaborate, share information and address challenges.  Join our esteemed panelists for a lively discussion during which they will share their unique views about financial services operations. Co-Sponsored by Broadridge Financial Solutions, Inc, DeloitteDonnelley  Financial Solutions/Mediant, Fidelity Clearing & Custody Solutions, PwC 

Participants

Sherry Moreland, Deborah A. Bussière, Ann P. Gonzalez, Samantha O’Neil, Felicia Sokalski

Moderator

Sherry Moreland

President and Chief Operating Officer

Mediant

Sherry Moreland’s Biography

Panelists

Deborah A. Bussière

Global Chief Marketing Officer

Broadridge Financial Solutions Inc.

Deborah A. Bussière’s Biography

Ann P. Gonzalez

Financial Services Advisory Partner

PwC

Ann P. Gonzalez’s Biography

Samantha O’Neil

Senior Vice President, Head of FCCS Marketing

Fidelity Clearing & Custody Solutions

Samantha O’Neil’s Biography

10:00pm – 12:00am

8:00am – 10:15am

Registration Desk Hours

8:30am – 10:15am

General Session Audio Visual Sponsored by Tata Consultancy Services / TCS BaNCS

General Session Audio Visual Sponsored by Tata Consultancy Services / TCS BaNCS

8:30am – 8:50am

What will the bank of tomorrow look like?  How will markets function in 10 years?  How will I interact with my financial life in the future?  We all wonder what…

What will the bank of tomorrow look like?  How will markets function in 10 years?  How will I interact with my financial life in the future?  We all wonder what the future will look like, and it’s often written about, debated, and discussed.  Join Scott Mullins, Head of Financial Services Business and Market Development at AWS, in a discussion on the use of technology in Financial Services that examines yesterday’s predictions, today’s truths, and the trends pointing towards tomorrow.

Participants

Scott Mullins

Speaker

Scott Mullins

Head of Worldwide Financial Services Business Development

Amazon Web Services (AWS)

Scott Mullins’s Biography

8:50am – 9:15am

SIFMA's Executive Vice President of Business Policies and Practices, Randy Snook, will interview Chris Church who will describe how financial services firms can modernize their infrastructure using Distributed Ledger Technology…

SIFMA's Executive Vice President of Business Policies and Practices, Randy Snook, will interview Chris Church who will describe how financial services firms can modernize their infrastructure using Distributed Ledger Technology (DLT). With FinTech powering the industry forward, this session will focus on driving innovation while maintaining secure, compliant and market transparent operations.

Participants

Chris Church, Randy Snook

Speakers

Chris Church

Chief Business Development Officer

Digital Asset

Chris Church’s Biography

Randy Snook

Executive Vice President, Business Policies & Practices

SIFMA

Randy Snook’s Biography

9:15am – 10:15am

The transformation of middle and back office functions is well underway, driven by recent advances in fintech. Firms are tasked with selecting those products and services that will be most…

The transformation of middle and back office functions is well underway, driven by recent advances in fintech. Firms are tasked with selecting those products and services that will be most impactful to their firms. From robotics to artificial intelligence, big data to cyber, subject matter experts will share their vision of new initiatives geared towards driving greater efficiencies while reducing risk. Panelists will also explore how the industry and the role of the buy- and sell-side operations professional may evolve over the next five years.

Participants

Stuart Bowers, Michael Alexander, Jan Dinger, Donald Marino, Laura Paul, Sanjay Vatsa

Moderator

Stuart Bowers

President, Brokerage Solutions

DST

Stuart Bowers’s Biography

Panelists

Michael Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael Alexander’s Biography

Jan Dinger

Sales Director, North America

Gresham Technologies plc

Jan Dinger’s Biography

Donald Marino

Chief Executive Officer

Shadow Financial Systems, Inc.

Donald Marino’s Biography

Laura Paul

Industry Lead, Financial Services

Appian

Laura Paul’s Biography

Sanjay Vatsa

Head of Americas

AIM Software

Sanjay Vatsa’s Biography

10:15am – 10:15am

Conference Adjourns

Venue

JW Marriott Phoenix Desert Ridge

5350 East Marriott Drive
Phoenix, AZ 85054

Set on 316 spectacular acres in the Sonoran Desert, the award-winning JW Marriott Phoenix Desert Ridge offers breathtaking views and everything you’ll require for a remarkable conference experience, less than 20 miles from downtown Scottsdale, Arizona.

Picture of venue

Related Resources

Media

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Conference registration substitutions are welcome. Email Lizzie Grimm at [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.