Speaker Bios

 

 Scott Anderson
Vice President, Research, BNY Mellon, Intermediary Analytics

Session | Is the Asset Management Industry 'Data Driven' Yet?

About Scott:
Scott is responsible for all research and custom analysis delivered to clients in the form of industry summaries, presentations and special reports. He develops research and analysis that delivers insights into the national broker-dealer community, detailing trends within specific investment vehicles,  investment styles, platforms and products. Scott has been with the Intermediary Analytics group since 2009.

Prior to joining Intermediary Analytics, Scott spent four years at PNC Global Investment Servicing as a member of the Marketing and Distribution Services team. Before that, he worked at Arnold Worldwide, a national advertising agency, in the Strategic Analytics group. Scott earned a Bachelor of Arts degree in Economics from the University of Massachusetts.

 

 

Ken Arakelian
Head of Innovation Engagement, Nuance Communications, Inc.

Session | Artificial Intelligence: Transforming the Asset Management Industry

About Ken:
Ken Arakelian is the Head of Innovation Engagement for Nuance Communications. With more than 15 years of experience, Ken has worked in the contact center industry as a consultant, account manager and product manager.

 

Whitfield Athey
CEO, Delta Data

Session | The Principles of Product

About Whitfield:
Whitfield Athey is CEO of Delta Data Software. Prior to being named CEO, Whitfield served as Chief Operating Officer from April of 2012 to January 2015. Before being named COO, Whitfield was head of Product Strategy and continues to influence that organization both directly and as a member of the executive team. His role at Delta Data is focused on growth of the product base, satisfaction of clients and scalability of the organization.


Prior to joining the Delta Data team he spent more than 8 years working with a large broker dealer (Lehman Brothers) in Tokyo and New York. His experience spanned operations, technology and the wealth management front office. Within wealth management he has experience on both the manufacturing side and the distribution side of the business. He also has experience within the logistics industry where he was a Director of Finance for a medium-sized logistics firm. He graduated from Auburn University with a BS in Management Information Systems and International Business.

 

Scott Brady

Vice President, Head of Product Development and Strategy, Columbia Threadneedle Investments


Session | The Principles of Product

About Scott:
Scott Brady is the head of Product Development and Strategy for Columbia Threadneedle Investments. Mr. Brady joined Columbia Threadneedle Investments in 2016.

Previously, Mr. Brady was Head of Global Mutual Funds at Merrill Lynch. Prior to that, he served as Head of U.S. Mutual Funds and Director of Asset Transition Services. Before joining Merrill Lynch in 2004, Mr. Brady held various roles within Eaton Vance and Putnam Investments. He has been a member of the investment community since 1995.

Mr. Brady received a B.S. in Finance from Boston College. He holds Series 7, 24, and 66 licenses with FINRA.

 

Kelley Conway

Managing Director, Technology Advisory Practice, Accenture


Session | Artificial Intelligence: Transforming the Asset Management Industry

About Kelley:
Kelley Conway is a Managing Director at Accenture, a member of the Financial Services leadership team.  She leads the Technology Advisory practice, partnering with clients to drive practical and rapid business impact by strategically applying new technologies and approaches such as Agile-DevOps, Cloud, Artificial Intelligence, Robotics and Blockchain. 

Kelley brings over 20 years of consulting experience, and is a recognized leader in financial services, regularly presenting at industry conferences and publishing thought leadership.  A passionate advocate of diversity, she is a member of Leadership Greater Chicago class of 2018 and sits on the board of Year Up Chicago. 

 

Jonathan Crane

Chief Commercial Officer, IPsoft


Session | Artificial Intelligence: Transforming the Asset Management Industry

About Jonathan:
Jonathan Crane has been a communications industry leader for more than 35 years. Jonathan has held numerous executive positions in corporations such as ROLM, Savvis, Lightstream, Marcam Solutions and MCI. He was one of the key architects of the early success of MCI, and was brought back to lead the troubled Worldcom out of bankruptcy. As the Chief Strategy Officer, he orchestrated the acquisitions of key strategic assets. Most recently, Jonathan was the Chairman of the Board and President of Savvis.

 

 

Andrew Dougherty

Managing Director, Americas Head of Asset Managers and Alternative Investors, BNP Paribas Securities Services


Session | Perspectives From Abroad

About Andrew:
Andrew Dougherty is a Managing Director and the Americas Head of Asset Managers and Alternative Investors for BNP Paribas Securities Services. He also serves as a Director of BNP Paribas Bank & Trust Cayman Limited. He has been with BNP Paribas for more than 17 years.


In his current role, Mr. Dougherty is responsible for managing the group’s asset manager and alternative investor clients across North and Latin America.  He is responsible for all operations, platforms, product development and strategy for these client segments.  He oversees teams in New York and King of Prussia, PA, the current fund services operations hub for the Americas.

Previously, Dougherty was the North American Head of Alternative and Institutional Solutions for BNP Paribas Securities Services, and before that he served as Chief Operating Officer for BNP Paribas Financial Services.

Prior to BNP Paribas, Dougherty worked at CooperNeff Advisors as Vice President, Market Control & Development with responsibility for the risk control, middle office, and IT development groups on both the proprietary trading and hedge fund areas of the business.

 

 

 

Heather Fischer

Vice President, Mutual Fund and ETF Platforms, Charles Schwab & Co., Inc.


Session | Disruption from Both Sides: Broker-Dealer Viewpoint

About Heather:
Heather Fischer currently leads the Mutual Fund, ETF and 529 Platform Management team at Schwab. The Mutual Fund, ETF and 529 team is responsible for building and developing Schwab's resources for investors and advisors to create a best-in-class experience for understanding and investing in those products. This team is also responsible for managing Schwab’s relationships with the third-party providers who offer these products through Schwab’s platforms.


Prior to her current role, Heather was Vice President of Affluent Client Experience Innovation where she was responsible for the development of business strategy, offer design and process improvements geared at shaping future state client experience, particularly in areas of white space between Schwab’s Affluent, Mass Affluent, and Retirement segments and Managed Investing offers. Before her last role, Heather held multiple positions within Schwab in various areas of the company, including Marketing Strategy & Integration, Client Acquisition and Schwab Investor Development.


Before joining Schwab in 2006, Heather worked at Bain & Company, a top management consulting firm and Kraft Foods, one of the largest, most renowned food and beverage businesses in North America.


Heather earned her Master of Business Administration degree in Strategy, Marketing and Finance from University of Chicago. She holds a Bachelor of Science degree in Chemical Engineering and a Bachelor of Arts degree in History, both from the University of Florida. Heather holds the Series 7, 24, and 51 securities registrations.

 

 

Chuck Gallant

Director, Asset Servicing, BNY Mellon


Session | Fraud Prevention in Today's Multi-Channel Cyber Environment

About Chuck:
Chuck Gallant has over 30 of experience in the investment industry with BNY Mellon.  He currently works in Asset Servicing Product Management, responsible for overseeing the product capabilities and development for many of our strategic digital products and services, including our web / mobile self-service technologies, process optimization and automation products, and digital and data delivery tools. 


Chuck has served as Chief Information and Technology Officer in former roles and has held numerous strategic business and technology positions in the areas of digital transformation, portals, data delivery, business process automation, and other customer-facing technologies. Chuck earned his Bachelor of Science degree in Business Administration/Management Information Systems from the University of Massachusetts at Lowell, and holds a Master’s degree in Computer Information Systems from Boston University.  Chuck is also a co-chair for the NICSA Technology Committee.


 

Mike Greene

Senior Vice President, Financial Planning and the Advisor Business Development Group, Ameriprise Financial Services


Session | Distribution Disruption from Both Sides

About Mike:
Mike Greene is senior vice president of Financial Planning and the Advisor Business Development Group at Ameriprise Financial. Greene’s teams help Ameriprise advisors develop strong financial planning relationships, acquire more high-value clients, and increase net flows, all while following the foundation of the Ideal Practice Model.


He has represented Ameriprise as a spokesperson and has been quoted in numerous national publications including OnWallStreet, Financial Planning and Fox Business.


Greene has been with Ameriprise since 2002, working in various roles. He was also recently the chairman for the Certified Financial Planner Board of Standards. Prior to Ameriprise, Greene was an associate consultant for McKinsey & Company. Additionally, he served as an engineer officer in the U.S. Army. Greene is a graduate of West Point and holds a Master’s degree from London School of Economics.
 

 

Dr. Stephen Horan

Managing Director, Credentialing, CFA Institute


Session | Uncovering Unconscious Bias

About Stephen:
Stephen M. Horan, Ph.D., CFA, CIPM, CAIA is Managing Director, Credentialing at CFA Institute where he provides vision and leadership for a global team designing, developing, and delivering professional credentialing programs for candidates in the CFA Program, CIPM Program, and Investment Foundations Program.  In industry, he has served as an expert witness in support of securities litigation, a forensic economist in private practice preparing economic impact studies, a principal of a financial advisory firm, a financial analyst, and as a buy-side account manager and sell-side stockbroker. In academia, Dr. Horan served as a professor of finance at St. Bonaventure University and is a recognized researcher in wealth management, tax efficient investing, and derivatives.
 
Dr. Horan is the author or co-author of several books, including Strategic Value Investing (which was on Warren Buffet’s recommended reading list for four consecutive years), The New Wealth Management: A Financial Advisers Guide to Managing and Investing Client Assets and the Forbes/CFA Institute Investment Course.  His articles have appeared in peer-reviewed journals, such as the Financial Analysts Journal, Harvard Business Review Latin America, Journal of Financial Research, Journal of Wealth Management, and Financial Services Review. Dr. Horan has received numerous research grants and awards, including the 2012 Graham and Dodd Readers’ Choice Award. His award-winning research has been profiled in leading practitioner publications, including CFA Digest and Barron’s, as well as the popular press.

 

 

Joanne Kane

Director, Operations & Transfer Agency, Investment Company Institute (ICI)


Session | Fraud Prevention in Today's Multi-Channel Cyber Environment

About Joanne:
Joanne Kane is the Director of Operations and Transfer Agency of the Investment Company Institute (ICI).  Ms. Kane joined ICI in 2013 and is responsible for facilitating transfer agent initiatives with industry stakeholders, and collaborating with stakeholders to pursue and achieve related regulatory, legislative, and public policy goals. Ms. Kane has over 30 years of experience in the financial services industry, including extensive knowledge of transfer agency and compliance.


Prior to joining ICI, Ms. Kane served as Vice President of Transfer Agent Governance and Administration for Columbia Management Investors Services, Corp. Earlier in her career, she served as Assistant Vice President of Transfer Agent Compliance with IXIS Asset Management Services. Ms. Kane graduated Magna Cum Laude from Providence College with a BS degree in finance. 

 

 

Amrit Kanwal

Executive Vice President and Chief Financial Officer, MFS Investment Management


Session | Face the Membership

About Amrit:
Amrit Kanwal is executive vice president and chief financial officer of MFS Investment Management® (MFS®). His duties include overseeing all aspects of corporate finance, strategy, fund treasury, corporate services & security and the transfer agency. He joined MFS in 2009.

Previously, Amrit was senior managing director and chief financial officer of Putnam Investments. Prior to his role as CFO, he held several senior finance roles during his nine-year tenure at Putnam. He previously served as vice president of corporate development and strategy for Sequa Corporation of New York, before which he held senior strategy and corporate development roles at PepsiCo and Miller Brewing Company.

Outside of his duties at MFS, Amrit serves on the board of US Squash, the sport's national governing body, and chairs the board of National Urban Squash & Education Association, a national non-profit after-school program for under-privileged youth.

Amrit holds a Bachelor of Business Administration degree from the University of Texas at Austin and an MBA from the Marshall School of Business at University of Southern California.

 

Nadeem Khan

Head of Corporate Strategy & Development, Capital Group


Session | Distribution Disruption from Both Sides: Asset Manager Viewpoint

About Nadeem:
Nadeem Khan (NADK) is Head of Corporate Strategy and Development, joining the team in Jan 2017 from Visa Inc., where he held a number of Strategy leadership roles, most recently, Head of Global Merchant Strategy. Prior to Visa, Nadeem was a Principal at the Boston Consulting Group focused on Financial Services. Nadeem has an MBA from University of Michigan and a bachelor’s degree in Electronics and Telecom Engineering from Jamia University, India.

 

 

Tim Kresl
Principal, Atom Analytics, Broadridge

Session | Is the Asset Management Industry 'Data Driven' Yet?

About Tim:
Tim Kresl is a Founding Partner and Principal of Atom Analytics, now part of the Broadridge Data & Analytics group. Tim has spent his career partnering with leading financial services providers to help translate data and research into meaningful actions that improve business outcomes.

Tim Kresl cofounded Atom Analytics in January 2018 with the goal of helping financial services providers use their existing data more effectively and systematically to drive distribution effectiveness. Combining in-depth interviews of sales, marketing, and business intelligence teams, Broadridge’s unmatched distribution dataset, and cutting-edge data science techniques, Atom Analytics integrates their unique view of the customer landscape with clients' business goals and data to create a bespoke segmentation strategy and client journey map.

Prior to starting Atom Analytics, Tim was a Principal of Market Metrics and subsequently a Strategic Advisor to Strategic Insight. In these roles he became a recognized leader in the industry for utilizing data to drive distribution effectiveness. He has worked with a range of asset managers to design sales territories, develop optimal rotations, implement data-based solutions, and train end users to drive adoption. In addition, Tim has worked extensively with senior managers to develop management tools that measure the effectiveness, productivity, and improvement of their distribution organizations.

Tim completed his undergraduate studies at the University of Vermont, graduating with a Bachelor of Science in Business Administration and Bachelor of Arts in Sociology. He currently resides in Arlington, MA with his wife and daughter.

 

 

Renee LaRoche-Morries
Chief Operating Officer, BNY Mellon Investment Management

Session | Face the Membership with Tyler Mathisen

About Renee:
Renee LaRoche-Morris is the Chief Operating Officer of BNY Mellon Investment Management; in this role, Renee oversees Investment Management’s Operations & Technology, U.S. Strategic Initiatives, Chief Administrative Officer, Proxy and Data Solutions.   She also manages a wide range of related responsibilities, including information security, IM's global premises strategy and strategic projects.


Renee has a key responsibility as COO to oversee all IM strategic activities, monitoring, facilitating, and ensuring accountability for IM initiatives.
As the former Chief Financial Officer of BNY Mellon Wealth Management, Renee has the unique perspective of understanding both business and financial drivers that are key to growth and client satisfaction.


Prior to joining Wealth Management, Renee led Pershing’s Financial Planning & Analysis and Corporate Development functions. Renee joined BNY Mellon in 2003 on Pershing’s Global Client Relationships team where she held a leadership role focused on global strategy and operations. 


Renee is the Global Co-chair of IMPACT, BNY Mellon’s Multi-cultural Business Resource Group and she is Treasurer of the board of Dress for Success Worldwide.
Prior to joining BNY Mellon, Renee was a Senior Manager at Deloitte Consulting where she specialized in strategy and operations for the financial services industry.
Renee began her career at the Chase Manhattan Bank where she completed the Retail Management Development Program and held positions in Database Marketing and Product Management.


Renee holds a BA in Foreign Affairs from the University of Virginia and an MBA in Finance and Marketing from the Columbia Business School.

 

Mark Lavan
Managing Director, Co-Head of Retail Sales, Legg Mason Global Asset Management

Session | Distribution Disruption From Both Sides: Broker-Dealer Viewpoint

About Mark:
Mark Lavan is Co-Head of the Retail Intermediary Channel for Legg Mason. In this role, Mark is responsible for US Sales and the strategic efforts of the US Field Sales Teams focused on the distribution of Legg Mason’s investment solutions to wirehouse, regional and independent financial advisors nationally.

Prior to this role, Mark managed the Retail National Account research and relationship management teams.  This team is responsible for driving greater partnership and platform penetration for Legg Mason’s suite of investment solutions across the wirehouse, independent and regional advisory firms. Mark brings over 18 years of investment industry experience. Before joining Legg Mason, Mark managed a Product Specialist Desk at Merrill Lynch working closely with financial advisors supporting portfolio development across managed account platforms.  Prior to Merrill Lynch, he held a position at Lord Abbett as a Portfolio Specialist.  Mark began his career with TD Ameritrade.

Mark graduated from the University of Rhode Island with a Bachelor of Science degree in Management Information Systems. He holds a Master of Business Administration from Fordham University. He currently holds FINRA Series 7, 24, 63, and 65 licenses.

 

Shonyel Lyons
Vice President, Enterprise Data Governance, T. Rowe Price

Session | Is the Asset Management Industry 'Data Driven' Yet?

About Shonyel:
Shonyel Lyons is a Vice President at T. Rowe Price, responsible for the Distribution Intelligence organization which is a part of Global Investment Management Services (GIMS) Distribution Enablement. She joined T. Rowe Price in April 2015 to establish the Enterprise Data Governance function and transitioned to her current role in November 2017. Shonyel joined us from Prudential Financial, Inc., where she was head of Data Governance and Solutions for their Retirement business, leading teams to deliver innovative data governance, reporting and analytics solutions.


Shonyel has acquired over 17 years of data management experience in the financial services industry working in various capacities at Prudential Financial, Inc. and the Federal Home Loan Mortgage Corporation (Freddie Mac). Shonyel earned a B.A. from University of Maryland, College Park and an M.B.A. from University of Virginia, Darden School of Business.

 

 

  Kevin Mahn
President and Chief Investment Officer, Hennion & Walsh Asset Management

Session | Face the Membership

About Kevin:
Kevin D. Mahn is the President and Chief Investment Officer of Hennion & Walsh Asset Management, Mr. Mahn is responsible for all of the Wealth and Asset Management products and services offered at the Firm including the portfolio creation and portfolio supervision of the various portfolio strategies within the SmartTrust® series of Unit Investment Trusts (UITs). Mr. Mahn also was the Portfolio Manager of the family of SmartGrowth® Mutual Funds.

Mr. Mahn is the author of the quarterly “ETF and CEF Insights” and "Market Outlook" newsletters as well as a co-author of the book, Exchange Traded Funds: Conceptual and Practical Investment Approaches, © 2009 Riskbooks. Articles written by Mr. Mahn have been published in The Journal of Investing and The Journal of Index Investing. Mr. Mahn is also a member of the Forbes Investor team and a frequent contributor to the Forbes Advisor Intelligence blog and the Seeking Alpha website.

Prior to Hennion & Walsh, Mr. Mahn was a Senior Vice President at Lehman Brothers where he held several senior management positions, including CAO of the High Net Worth Product and Services group within Lehman’s Wealth and Asset Management division as well as COO of Lehman Brothers Bank, during his eleven year tenure with the Firm.

Mr. Mahn received his Bachelor's degree in Business Administration from Muhlenberg College and his M.B.A. in Finance from Fairleigh Dickinson University. Mr. Mahn has also served as an adjunct professor at Fairleigh Dickinson University within the Department of Economics, Finance and International Business. In 2015, Mr. Mahn received the "50 Under 50" award, which recognizes the College's top alumni business leaders under the age of 50, from the Silberman College of Business at Fairleigh Dickinson University. Mr. Mahn currently serves as Co-Chair of the NICSA UIT Industry Committee and won the 2014 and 2016 NICSA MVP Awards for his accomplishments in this role as well as the Rising Stars of Mutual Funds Award from Institutional Investor in 2009. Interviews with, as well as byline articles and insights from, Mr. Mahn have appeared in/on CBS News, Fox News, CNBC, Fox Business News, Wall Street Journal, Investor’s Business Daily, Fortune, Forbes, New York Times, Financial Times, USA Today, Bloomberg, Business Week, Reuters, Wall Street Week, SmartMoney, CNNMoney, Investment News, Yahoo! Finance, MarketWatch and The Street.com.


 

Jaime Magyera
Managing Director - Head of National Accounts, Blackrock

Session | Distribution Disruption from Both Sides: Asset Manager Viewpoint

About Jaime:
Jaime Magyera, Managing Director, is Head of National Accounts for BlackRock’s National Wealth Business. In this role, Ms. Magyera leads a team responsible for strategy, relationship and development for some of BlackRock's largest clients across BlackRock's alpha, index and factors investment capabilities, as well as BlackRock's portfolio construction and digital wealth technologies.

Previously, Ms. Magyera led Marketing for BlackRock's US & Canada Defined Contribution Group, where she and her team were responsible for thought leadership and education, product positioning, brand-building programs and participant communications. Ms. Magyera's service with the firm dates back to 2001, including her years with Merrill Lynch Investment Managers, which merged with BlackRock in 2006. Over the course of her career, Ms. Magyera has held various roles in Digital Marketing, Strategy and Technology, and was part of the original team that designed and developed iRetireTM and the BlackRock CoRI Retirement Indexes.

Ms. Magyera is a member of BlackRock's Women's Initiative Network and sponsors BlackRock's OUT Network.  Outside of BlackRock, she is a member of the Board of Directors for Encore.org, an organization focused on tapping into the skills and experience of those in midlife and beyond to improve communities and the world.
Ms. Magyera earned a BA from the University of Pennsylvania and holds her Series 7, 66 and 24 licenses. She resides in Princeton, NJ with her husband.



Bill McManus, CIMA
Managing Director - Strategic Markets, Hartford Funds

Session | The Great Wealth Transfer: Is Your Firm Prepared?

About Bill:
Bill is part of the Strategic Markets Team for Hartford Funds. In his current position, Bill is responsible for engaging and educating both financial advisors and their clients about current and emerging opportunities in the financial-services marketplace. These opportunities range from tactical strategies in areas such as retirement-income planning, investment planning, and charitable planning, to anticipating and preparing for long-term demographic and lifestyle changes.


Bill joined the organization in 2003 as an advisor consultant responsible for marketing Hartford Funds in Virginia and West Virginia. Bill earned his Certified Investment Management Analyst (CIMA®) designation, is FINRA Series 7 and 63 registered, and holds his life and variable insurance licenses.


Bill has been widely quoted in consumer and trade publications such as US News and World Report and Wealth Management.com. He has also appeared as a featured guest on Bloomberg Radio to discuss his views on retirement-related topics.


Originally from Smithville, New Jersey, Bill attended the University of Pennsylvania where he earned a bachelor’s degree in political science. He currently lives in Philadelphia, Pennsylvania.

 

Jennifer McGovern
Managing Director, Blackrock

Session | Empowering Women in Asset Management

About Jennifer:

Jennifer McGovern, Managing Director, leads BlackRock’s US Wealth Advisory Product Structure and Oversight Team.  The team is responsible for US mutual fund product management and development, including product lifecycle events.  Ms. McGovern is an officer of BlackRock’s US mutual fund family and a member of BlackRock’s Americas Product Development Committee.

Ms. McGovern began her career at BlackRock 1999 as an analyst in BlackRock’s Retail Product Management and Development Group working on open-end and closed-end funds.  From 2007-2008, she was Assistant Vice President and Counsel at Harris and Harris Group, Inc., an early stage venture capital company. 

Ms. McGovern earned a B.A. degree in economics and art history from Columbia University and a J.D. degree, cum laude, from Brooklyn Law School. 

 

Rick Moreno
Director of Business Development and Client Experience, Aperio Group, LLC

Session | Distribution Disruption From Both Sides: Asset Manager Viewpoint

About Rick:
Rick Moreno is Aperio’s Director of Business Development and Client Experience. He has over 30 years of experience in the US capital markets. Rick was most recently a Director at KKR, where he headed up the firm’s family office business for the western US. Prior to that, he was a Managing Director at BlackRock, where he helped establish the firm’s family office, foundation, and endowment group.


Before BlackRock, Rick was Director of the Client Research and Strategy group at Goldman Sachs, and he was also a member of the Steering Committee that established the Goldman Sachs Trust Company. Rick began his investment career at Salomon Brothers, where he was a Director in the Fixed-Income Research division. Rick received his BS in Economics, with honors, from Santa Clara University.

 

Lyndsay Noble
Head of Advance Analytics Practice, SS&C/DST

Session | Is the Asset Management Industry 'Data Driven' Yet?

About Lyndsay:
A member of the DST team since 2014, Lyndsay leads the Financial Services Data Science product development team and the Advanced Analytics Consulting Practice. In this role, Lyndsay’s primary focus is to help DST’s customers use data to gain insight into their business and solve business problems using data and analytics whether through the use of a DST product or through custom professional services.

In her day-to-day work, Lyndsay combines an advanced degree in statistics with a focus on business goals and a knack for finding the most practical and efficient solutions for business insight, customer engagement, operational process improvement, and data driven decision making.

She has 15 years of experience working as a statistician and consultant across multiple industries. Her experience includes performing consumer research and segmentation for several well-known brands, including Starbucks and Ernest & Julio Gallo Winery, as well as designing scientific research studies, analytically optimizing processes, and mentoring data scientists on the development of analytic techniques.

She earned both a Bachelor of Science and a Master of Science in Mathematics from McNeese State University and completed additional postgraduate work in Applied Statistics and Research Methods at the University of Northern Colorado.

 

Shaelyn Otikor
Senior Vice President - Global Strategy, Corporate & Institutional Services, Northern Trust

Session | Empowering Women in Asset Management

About Shaelyn:
haelyn is a Senior Vice President and Global Strategy Specialist in the Corporate and Institutional (C&IS) business unit at Northern Trust, a financial services company headquartered in Chicago. C&IS is dedicated to servicing fund managers and asset owners with a broad range of products.

Shaelyn is responsible for developing and leading the business unit’s global workforce strategy for 9,000+ employees across 20 countries. Her position includes diversity and inclusion, talent management, employee engagement, location strategy, and digital technology.

During her 23-year career at Northern Trust she has held multiple positions related to business development, operations, software upgrades, client relationship management, global program management, European financial regulation post-economic crisis, and corporate social responsibility publishing three annual reports (2010-2012) located at www.northerntrust.com/csr. She has also relocated to London twice on multi-year assignments to lead projects across Northern Trust’s European offices.

Shaelyn obtained her bachelor’s from DePaul University where she majored in international project management with a minor in computer science. She received her MBA from The University of Chicago Booth School of Business.

 

 

John Pavese
Managing Director, Head of Asset Manager Relationship Management, Bank of America/Merrill Lynch

Session | Distribution Disruption from Both Sides

About John:
John Pavese is the Managing Director and Head of Asset Manager Relationship Management for the Investment Solutions Group at Merrill Lynch which covers Separate Accounts, Mutual Funds, ETFs, UITs, Annuities, Life Insurance, all fee based programs and Offshore Mutual Funds. As Head of Asset Manager Relationship Management, John and his team are the key points of contact for senior management of third party providers on sales and distribution ideas that support the growth of their businesses as well as enhancing the Merrill Lynch client experience standard. John also manages the firm’s Advanced Education Symposiums and other National training events, where we train our Financial Advisors and provide them with training and education and CE credits on various topics from our third party partners, GWIM senior leadership, and internal product, solutions and tools groups.

Prior to joining Merrill Lynch, John was employed by UBS Financial Services where he was a Corporate Vice President, National Relationship Manager Product Manager with the Mutual Funds Consulting Services Group. John joined UBS Financial Services, Inc. (formerly PaineWebber) in 1998 as an Assistant Vice President for their mutual fund wrap fee program. He then went on to manage the mutual funds sales desk. Prior to joining UBS, John held various sales and marketing positions at Orbitex Management in New York City and Prudential Investments in Newark, N.J.

John serves on the Board of Directors for Invest In Others, which amplifies the charitable work of financial advisors and their firms to make a difference in communities across the United States and around the world.  He also serves on the Board of Directors for the Expect Miracles Foundation which rallies the financial services industry to invest in life-saving cancer research.

John received his B.S. in Marketing from Kean College in New Jersey and lives in New Providence, New Jersey with his wife Melissa and daughter Nicole.

 

Colleen Powell
Vice President, Director of Corporate Citizenship and Diversity, MFS Investment Management

Session | Uncovering Unconscious Bias

About Colleen:
Colleen Richards Powell oversees MFS’ diversity strategy, including related leadership training, strategic partnerships, education, employee benefits and talent management. She also directs the firm’s Corporate Citizenship program, including philanthropic partnerships, events and employee volunteering.

Prior to joining MFS, Colleen was the chief external relations and communications officer for the Massachusetts Convention Center Authority, where she created and led the authority’s corporate social responsibility program. Previously, she served as deputy director of Commonwealth Compact, an organization committed to increasing diversity in the Massachusetts business community, and spent several years as special assistant to the president of Harvard University.

She began her career by serving on the Capitol Hill staff of Senator Edward M. Kennedy, where she worked on policy concerning education, children and low‐income policy. Colleen earned a bachelor’s degree from Wellesley College and a master’s degree from Harvard University. She is a board member of the Overseers of Beth Israel Deaconess Medical Center, as well as a member of the Wellesley College Business Leadership Council and Bentley University's Dean’s Advisory Council for Arts and Sciences. She also serves on the Leadership Council of the Posse Foundation, the Cradles to Crayons Corporate Advisory Council, the Philanthropic Advisory Council for Healthcare for the Homeless, and the executive council of Partnership Inc. She is a former trustee of Wellesley College and former board member of the Rose Kennedy Greenway Conservancy and served two terms as a trustee of Bunker Hill Community College.


Mia Puzo
Fraud and Biometric Executive, Nuance Communications, Inc.

Session | Fraud Prevention in Today's Multi-Channel Cyber Environment

About Mia:
Mia is responsible for developing and executing on strategic sales plans for Nuance’s Security team. She has extensive knowledge of the fraud industry across all verticals and is experienced in guiding customers through biometric deployments globally.

Mia has been with Nuance since 2007, prior her sales role, she supported the Professional Services and Product teams at Nuance. Mia earned a Master’s degree in Human-Computer Interaction from the University of New York at Oswego.

 

 

Mona Sabet
Coach & Partner, Talking Cranes

Session | Uncovering Unconscious Bias

About Mona:
With two decades of experience in the tech sector as an advisor, an operating executive, and an entrepreneur, Mona brings her expertise in business, strategy and leadership development to every team she works with.


Mona serves as a board advisor to a number of technology companies and technology accelerators.  In her advisory role with Talking Cranes, she guided the development of the model for corporate programs for women and inclusive leaders and has delivered these programs to Fortune 500 companies across the United States. Mona's prior work experience covers large public companies and startups.  As Corporate Vice President, Business Development at Cadence, she led all mergers and acquisitions, strategic transactions and venture investments, delivering tens of millions of dollars in incremental revenue. Mona has also been an operator in two startups.


Mona spends a great deal of her time working with non-profits focused on improving diversity in the workplace.  She is on the advisory board of Women in Data Science, and on the board of ChIPs Women’s Network. Mona led the strategy and implementation that took The Grace Hopper Celebration, the world’s largest annual convention of women technologist, from 8000 to 15,000 attendees in 2 years.  Mona is also the founder and a member of Hipower, a group of women leaders accelerating one another’s leadership from professional success to wide-ranging significance.


Mona holds an engineering degree from the University of Toronto, a J.D. from Western, and management certificates from Simon Fraser University and UC, Berkeley. 

 

 

Mark Schlesinger
Chief Information Officer, Broadridge

Session | Fraud Prevention in Today's Multi-Channel Cyber Environment

About Mark:
At Broadridge, Mark is responsible for managing all IT shared services. This includes infrastructure engineering, cloud architecture and engineering, enterprise information security engineering, governance, outsource service provider management, global data center operations, corporate application development, disaster recovery and business continuity planning.
 
Mark graduated Summa Cum Laude from Queens College, New York in 1986 with a BA in Computer Science and a minor in Mathematics. Over thirty years of brokerage experience in data processing.  Mark held many key roles at Automatic Data Processing between 1989 and 2007:

•    Director of Systems Assurance
•    Vice President of Data Center Operations
•    Vice President of Technology Services
•    Senior Vice President and CTO responsible for Investor Communications Infrastructure and Application development
•    Senior Vice President of Systems Engineering in the ADP Corporate Engineering and Data Processing organization

Currently the Corporate CIO for Broadridge: responsible for managing all technology infrastructure services.  This includes infrastructure (data networks, voice networks, desktops, server environments, storage, monitoring, application support, service delivery, office technology), enterprise information security engineering, governance, outsource service provider management, cloud architecture and engineering, global data center operations, corporate application development, and disaster recovery and business continuity planning.

Personally, married with three children and lives on Long Island.  Most ‘free time’ is spent with family, playing many racket sports, and on the golf course whenever possible.

 

 

Jervis Smith
Luxembourg Head of Prime, Futures and Securities Services, Citi

Session | Perspectives from Abroad

About Jervis:
Jervis Smith is the Head of the Investor Services business in Luxembourg. Jervis is responsible for managing the product and business development of Luxembourg services across the globe. Citi's complete suite of Investor Services products cater to banks, pensions, insurances and asset managers.


Previously, Jervis was Head of Sales for APACj in Hong Kong, and Global Head of Client Executives for Securities Services in London, where he was responsible for relationship management to the investment community across the globe. Prior to that, he was Head of Financial Institutions for Managed Funds and the Middle East. He has held a number of roles with financial institutions for Citi, based in London and New York. 

 


Camille Thommes
Director General, ALFI

Session | Perspectives From Abroad

About Camille:
Camille Thommes is the Director General of ALFI, the Association of the Luxembourg Fund Industry. He joined the association back in 2007. Before joining ALFI, Camille Thommes was in in charge of the Investment Fund Department at the State and Savings Bank, Luxembourg (BCEE) from 2001-2006, after holding various senior positions in the Securities & Custody department since 1993. He started his professional career in 1986 at BGL (now BGL-BNP Paribas) where he held positions in the Securities and Custody Divisions.


He is a member of the Board of Directors of the Luxembourg Supervisory Authority (CSSF) and a member of the Consultative Committee for Prudential Regulation. Camille is also a member of the High-Level Committee of the Financial Centre set up by the Ministry of Finance. Furthermore, he represents ALFI at the Board of Directors of the European Fund and Asset Management association (EFAMA) and is a Board member of the Luxembourg Financial Industry Federation (PROFIL S.A.).
Camille holds a Master’s Degree in Economics from the University Louis Pasteur in Strasbourg (France), completed the Accelerated Development Program at the London Business School and accomplished traineeships in London and New York.


A Luxembourg native, Camille is fluent in English, French, German and Luxembourgish.

 

Jack Tierney
Head of Investment Policy and Governance, Invesco Unit Trusts

Session | The Principles of Product

About Jack:
Jack Tierney is the Head of Investment Policy and Governance for Invesco Unit Trusts. Mr. Tierney joined Invesco in 2010 when the firm combined with Van Kampen Investments. Prior to his current role, he had been in charge of unit trust product development and product management activities, as well as supervising Invesco's investment research teams, since 2003.

During his tenure with Van Kampen, Mr. Tierney held positions within Van Kampen Consulting, business development, marketing services, mutual fund product management, and distribution, having started as a wholesaler with Van Kampen Merritt in 1984. Prior to joining Van Kampen, Mr. Tierney spent four years with Merrill Lynch in Chicago as a financial advisor. He began his career as a high school business teacher and basketball coach in the Chicago suburbs.


Mr. Tierney earned a BS degree in marketing and an MS degree in business education from Northern Illinois University.

 

Robert Zembowicz
Chief Enterprise Architect, Vanguard

Session | Artificial Intelligence: Transforming the Asset Management Industry

About Robert:
Robert Zembowicz is a Chief Enterprise Architect at Vanguard, working in the CTO organization. In his role, Robert evaluates new technology and business trends to understand whether they can help improve Vanguard products, services, and operations. He works with various business and IT teams across the company to pilot and standardize such new solutions and approaches. For the last several years Robert has been focusing on AI, Machine Learning, Big Data, and Data Science.


Robert has PhD in Physics/Astronomy, and has been working for Vanguard for 21 years.

 

 

Megan Warren
Vice President, Global Head of Anti-Money Laundering and Fraud, T. Rowe Price

Session | Fraud Prevention in Today's Multi-Channel Cyber Environment

About Megan:
Megan Warren is a vice president of T. Rowe Price Group.  At T. Rowe Price, Megan is the Global Head of Anti-Money Laundering and Fraud. She has responsibility for the strategic oversight and ongoing operation of the firm’s anti-money laundering and fraud prevention programs globally. She joined T. Rowe Price in 2017.  Prior to joining the firm, Megan was an Executive Director at J.P. Morgan Chase & Co., where she was responsible for the firm’s global anti-money laundering and sanctions risk assessments.

 

Megan has 18 years of experience in financial crimes prevention for large global financial services firms, and she was a litigation Partner at a large global law firm.  She earned a B.A. in history from Yale College and a J.D. from Duke University School of Law.

 

 

Sally Wong
Chief Executive Officer, Hong Kong Investment Funds Association

Session | Perspectives From Abroad

About Sally:
Sally Wong is the Chief Executive Officer of the Hong Kong Investment Funds Association, which is a non-profit-making organization that represents the asset management industry in Hong Kong.  She represents the industry in liaising with the authorities, legislators, media and other stakeholder groups to discuss issues that have implications to the Hong Kong mutual fund market and the Mandatory Provident Fund (“MPF”) Schemes market.  She also takes an active role in investor education and research initiatives.

Mrs. Wong is a member of the 7th Steering Committee on ChinaBond Indices Experts of the China Central Depository and Clearing Co., Ltd. and a core member of the China Ageing Finance Forum 50.  She is a Vice President of the Hong Kong Green Finance Association (“HKGFA”) and is the Co-chair of ESG Disclosure and Integration Working Group under HKGFA.  She also sits on the SFC Committee on Real Estate Investment Trusts, SFC Public Shareholders Group, MPF Guidelines Committee and the Hang Seng Index Advisory Committee.  She sits on the Board of the International Investment Funds Association (www.iifa.ca).