2019 Speaker Bios

 

 

Stephen Alepa
CEO, Olmstead Associates

Session: When Stars Align: How to Align Your Sales and Distribution Organizations

About Stephen:

Stephen is CEO of Olmstead Associates and leads Olmsteadís Client Engagement capability, advising investment managers on their sales enablement, client communications, and information delivery solutions.  He has 25+ years as a management consultant and financial technology executive, helping investment managers of all sizes define and achieve their business objectives and navigate through todayís industry inflection point.  Regarding our client's client experience, he drives Olmstead's services, considering all client touchpoints when devising client engagement operating models and integrated sales, marketing and servicing solutions.  ​

Stephen held senior positions at Andersen Consulting (now Accenture), PwC, and Arthur Andersen, where he was the partner-in-charge of the New England financial markets consulting practice. Prior to Olmstead, Stephen held leadership positions at trading pioneers ITG and Macgregor, where he led sales and service, and architected and ran the ITG Net business unit, the firm's end-to-end electronic trading and trade processing network, building it to a community of over 750 buy-sides, sell-sides, custodians, and industry utilities.
 
A graduate of Georgetown University, in his free time you can find Stephen enjoying time with his wife and three children, around a baseball diamond or on a stand-up paddle board.  Stephen holds the Chartered Financial Analyst (CFA) designation​.

 

 

 Michael Andrews
Head of Investment Products Research and Consulting, SS&C Research, Analytics, and Consulting

Session: When Stars Align: How to Align Your Sales and Distribution Organizations

About Michael:

Michael Andrews, CFA, has over 20 years of experience in a variety of senior distribution, product development and product management roles.  In addition to senior retail and institutional positions with Nomura Asset Management, Michael also worked in Hong Kong and London for HSBC Asset Management and Henderson Global Investors, respectively.  


In his present role with SS&C Research, Analytics and Consulting, he is responsible for thought leadership as the head of investment products research and consulting.  Michael is extremely familiar with a wide variety of product structures including 40 Act mutual funds and ETFs, managed accounts, international mutual funds (SICAVs) and alternative structures such as interval funds. 


A graduate of Dartmouth College, Michael also has a Masters of International Affairs degree from Columbia Universityís School of International and Public Affairs and holds the Chartered Financial Analyst designation.


 

Cari Armstrong
Vice President, Business Information Resource Group, American Funds

Session: Sharpen Your Tools Against Fraud

About Cari:

Cari Armstrong is a Vice President of American Funds Service Company, with the responsibility for the Business Information Resource Group (BIRG.) Among other responsibilities, she leads the Fraud Analyst service team in mitigating fraud and risk.  She has been with Capital Group for over 18 years and prior to Capital Group she was a Financial Advisor. Cari is based in San Antonio, Texas.

 

 

Gary Bigley
Managing Director, Global Head of the Process Automation Center of Excellence, Blackrock

Session: Prioritizing Your Tech Spend: A Guide to Strategic Sourcing

About Gary:

Gary M. Bigley, Managing Director, is a member of the DataOps Engineering team within Technology & Enterprise Services.  Mr. Bigley is Global Head of the Process Automation Center of Excellence, delivering on the mission to enable Process Automation across the firm.  He leads several automation initiatives and technologies delivering solutions and services to the enterprise for Robotic Process Automation, Cognitive Chatbot and Machine Learning.

Prior to his current role, Mr. Bigley was Head of Global Digital Workplace and had responsibility for the technology end user experience of all BlackRock employees.  He led the following teams: Digital User Experience, Unified Communications & Collaboration and Mobility Engineering, which included the functions of Deskside Services, Desktop Engineering, Print/Mail/Copy, Premiere Support, Help Desk, Multimedia Services, Telecommunications, Mobility and the SharePoint & OneDrive Document and Collaboration Platforms.

Mr. Bigley's service with the firm dates to 1997, including his years with State Street Research & Management (SSRM), which merged with BlackRock in 2005.  At SSRM, he served as Head of Application Development.  Mr. Bigley also spent seven years at Putnam Investments and two years at Fidelity where he was responsible for leading a broad range of Information Technology projects.

 

 

Sandy Bolton
Managing Director, Head of Managed Investments - Investment Solutions Group, Merrill Lynch

Session: Architects of Innovation: Product Creation in Asset Management

About Sandy:

Sandy is the Head of Managed Investments within the Investment Solutions Group for Bank of America. In this role, Sandy leads the delivery of the firmís investment product offerings across all channels, including Merrill Lynch Wealth Management, Merrill Private Wealth Management, Bank of America Private Bank, Merrill Edge Self-directed and Merrill Guided Investing. Sandyís team includes product management professionals who are responsible for product development, management and ongoing governance and investment oversight for domestic and offshore mutual funds, global exchange traded products, separately managed accounts, model portfolio solutions and money market funds. She also leads the Diversity & Inclusion Council for the Investment Solutions Group.


Before joining Bank of America Merrill Lynch in March 2015, Sandy was Head of Investment Solutions for Pershing LLC, a BNY Mellon company. In this role she was responsible for delivering the investment product offering for independent broker dealers and RIAs. Prior to that, Sandy was responsible for the product management, oversight, marketing and management of various investment solutions offerings at TD Ameritrade, Morgan Stanley and Merrill Lynch.


Sandy earned a Bachelorís degree from The College of New Jersey and an MBA from Fairleigh Dickinson University. She is a graduate of the Securities Industry Institute Executive Development Program at The Wharton School of the University of Pennsylvania. Sandy is also a Member of the Board of Directors for Expect Miracles Foundation Ė Financial Services against Cancer.

 

 

 

Glen Casey
Senior Vice President, Global Head of Products & Marketing, American Century Investments

Session: Architects of Innovation: Product Creation in Asset Management

About Glen:

Glen Casey is a senior vice president and global head of products and marketing for American Century Investments, a premier investment manager headquartered in Kansas City, Mo.  Mr. Casey leads global product strategy, management and development as well as marketing for all investment disciplines and across all distribution channels.  He is based at the firmís New York office.

Mr. Casey joined American Century in 2014 from Goldman Sachs Asset Management (GSAM), where he worked for 17 years, most recently as head of product and portfolio strategy, U.S. third-party distribution. In that capacity he led the firmís product development and product management efforts across all vehicle structures supporting GSAMís retail and high-net-worth channels. Previously, he served in senior consulting and analysis roles for Cerulli Associates and Fidelity Investments.

Mr. Casey earned a Bachelor of Science degree in accounting from Bentley College, Waltham, Mass. He holds a Master of Science degree in finance from Boston College.

 

 

Kelley Conway
Managing Director, Accenture

Session: Prioritizing Your Tech Spend: A Guide to Strategic Sourcing

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 Artificial Intelligence, Advanced Analytics, Cloud, Agile-DevOps 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. 

 

 

 

Eve Cout
Director, Model Portfolio Pillar, U.S. Wealth Advisory, Blackrock

Session: Developments in Asset Management Allocation Models

About Eve:

Eve Cout, Director, leads the Model Portfolio Pillar within U.S. Wealth Advisory (USWA) and is a member of USWA's Platform Development Team. She partners with U.S.-based intermediaries to develop scalable investment solutions through model portfolios. By providing support that spans investments, marketing and technology, Eve and her team are helping advisors maximize time spent on servicing clients and building their practice.
Prior to her current role, Ms. Cout was a member of iShares USWA Marketing team. In this role she was responsible for developing and managing iShares marketing campaigns, lifecycle marketing efforts and the Model Portfolio subscription program. She began her career at BlackRock in USWA Marketing.

Ms. Cout earned a BA with Honors in History and Political Science from the University of North Carolina at Chapel Hill where she was a Morehead Scholar. She is currently pursuing her MBA from Temple University, Fox School of Business.

 

Kelly Coyne
Vice President, Global Women's Strategies, Impax Asset Management LLC and Pax Ellevate Management LLC

Session: Engaging and Servicing the Next Generation

About Kelly:

Vice President, Global Womenís Strategies, Impax Asset Management LLC and Pax Ellevate Management LLC

Kelly Coyne is Vice President, Global Womenís Strategies at Impax Asset Management LLC and Pax Ellevate Management LLC. Kelly is responsible for national sales and marketing initiatives related to the Pax Ellevate Global Womenís Leadership Fund.

She also helps financial advisors build their practices and better engage and serve the next generation of clients through the firmís Millennials & Money practice management initiative.

Kelly joined the firm in 2014, bringing with her several years of sales and client service experience within the mutual fund industry at Eaton Vance Corporation and F-Squared Investments.

Kelly earned a Bachelor of Arts degree in Human Rights from Trinity College. She holds the Financial Industry Regulatory Authority (FINRA) Series 6, 63 and 65 registrations.

Kelly Coyne is a registered representative of ALPS Distributors, Inc.

 

Wilson D'Souza
Chief Technology Officer, Akoya

Session: Prioritizing Your Tech Spend: A Guide to Strategic Sourcing

About Wilson:

Wilson DíSouza is Chief Technology Officer (CTO) of Akoya LLC. In this role, he is responsible for all product development, security, design and technology.

Akoya is a new business of FMR LLC, the parent of Fidelity Investments. Akoya is delivering a managed data delivery platform leveraging industry standards for Financial Institutions, Aggregators, and FinTechs, to empower their customers with a secure and transparent means to share data.

Prior to this role, he headed the Associate Digital Solutions organization for Personal Investing, a division of Fidelity Investments. In this role, he had responsibilities for all the digital and technology needs for all customer facing associates across all of Fidelityís business units globally. Prior to this role, he ran the End User Computing group within Fidelityís Enterprise Technology business. In that role, he had P&L/operating responsibilities for all employee facing technologies and services for all of Fidelity Investments globally.


Prior to joining Fidelity, he was director of the Infrastructure Software Development and Architecture (ISDA) and the Client Support Services (CSS) organizations for MIT. He also founded MITís Kerberos Consortium and served on the board.


Prior to MIT, he served as director in the architecture and engineering group at Merrill Lynch, where he was responsible for directing strategy, engineering, compliance and operational support for applications and platforms. He has also had a variety of management and technical positions at Pepsi Cola International, Emirates Airlines and various companies in India.


Wilson received his bachelorís degree in electronics and communications from Karnataka University in India.

 

 

Thomas Faust, CFA
Chairman, CEO and President, Eaton Vance

Session: C-Suite Summit: How to Stay Relevant & Bolster Client Value

About Tom:

Tom Faust is chairman of the board, chief executive officer and president of Eaton Vance Corp.


Tom joined Eaton Vance in 1985 as an equity research analyst and also served as a portfolio manager, director of equity research and management, and chief equity investment officer during his 16 years in the firmís equity group. In November 2001, Tom assumed leadership of all investment functions at Eaton Vance with his appointment as chief investment officer. He was elected a vice president of Eaton Vance in 1987, executive vice president in 2000 and president in 2006. He became chairman and CEO on November 1, 2007. Prior to joining Eaton Vance, Tom was a research engineer with International Paper Company.


Tom earned B.S. degrees in mechanical engineering and economics from the Massachusetts Institute of Technology and an MBA from Harvard Business School. He is a CFA charterholder and a member of the board of governors of the Investment Company Institute. He is a native of Helena, Arkansas.

 

 

Travis Farrenkopf
Senior Solutions Consultant - Financial Services, Pegasystems

Session: Artificial Intelligence Mentorship Clinic

About Travis:

Over the past 14 years, Travis has been focused on helping organizations build better experiences. Travis has held roles digital and interactive design, IT consulting and solution design Ė all centered around digital transformation. Most recently, Travis led a Solution Engineering team at Experian that leveraged data quality, data management and modeling solutions to identify actionable insights for their clients.
 
In his role at Pega today as a Senior Solutions Consultant, Travis focuses on Financial Services clients and helps them succeed in both customer engagement and digital process automation through the use of artificial intelligence and robotic automation.

 

Vipul Gautam
Senior Vice President and Research Director of Fidelity Workplace Investing, a division of Fidelity Investments

Session: Architects of Innovation: Product Creation in Asset Management

About Vipul:

Vipul Gautam is Senior Vice President and Research Director of Fidelity Workplace Investing, a division of Fidelity Investments, a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing and other financial products and services to more than 26 million individuals, institutions and financial intermediaries. Since 1946,


Fidelity has been helping people live the lives they want through its customer-centered approach, innovative technology and investment solutions. In his current position, Vipul is responsible for the open-architecture manager research advice that goes out to more than 22,000 DC Plan Sponsor clients through Fidelity Investment Strategists and Relationship Managers. He serves as the Portfolio Manager for the Fidelity Flex plan lineup and the Fidelity HSA Funds to Consider.


Vipul also serves as the Chairperson of the Personal Investing Product Review Committee. Additionally, his responsibilities include leading the Sales Support team that assists Plan Sponsors with RFPs, lineup fund mappings and investment reporting. Prior to joining Fidelity, Vipul was a Vice President at Morgan Stanley & Co., leading manager research for Impact Investing across public equity, fixed income and private equity, serving over 15,000 financial advisors. Previously, he was a Vice President at Bank
of America Merrill Lynch and spent seven years as a lead and senior manager research analyst covering fixed income, public equity and private equity over time.


Before joining the investment world, Vipul spent a year in the Technology Infrastructure division at Merrill Lynch & Co, developing the product and engineering roadmaps for
wireless technologies. Vipul earned his Bachelor of Science degree in Computer Engineering from New York University Polytechnic Institute and a Master of Science degree in Computer Engineering with a focus on optical networks

 

Ingrid Jacobs
Vice President, Chief Diversity Officer, Eaton Vance

Session: Engaging and Servicing the Next Generation

About Ingrid:

Ingrid Jacobs is a vice president of Eaton Vance Management and chief diversity officer. She is responsible for leading efforts to attract, develop and retain a diverse workforce and to foster more inclusive work environments across the firmís subsidiaries and affiliates.


She joined Eaton Vance in 2018. Ingrid has a wealth of experience designing and implementing diversity and inclusion strategies at global corporations. Before joining Eaton Vance, she was head of corporate diversity and inclusion at Raytheon Corporation. Previously, she was global head of diversity and inclusion at Whirlpool Corporation and was associated with Fifth Third Bank, General Electric and Bank of America.


Ingrid earned a B.S. in agricultural business from The Ohio State University and a master's degree in human resources development from Xavier University.

 

 

Lisa Jones
Head of the Americas, Chairman, President and Chief Executive Officer, Amundi Pioneer Asset Management

Session: C-Suite Summit: How to Stay Relevant & Bolster Client Value

About Lisa:

Lisa M. Jones is Head of the Americas, Chairman, President and Chief Executive Officer of Amundi Pioneer Asset Management USA, Inc., the U.S. Division of Amundi Asset Management. She is Trustee of the Pioneer Funds, and President and Chief Executive Officer of the Pioneer Funds. Lisa is also President of Amundi Pioneer Distributor, Inc. She is head of the US Executive Committee and US Management Committee, and a member of the Global Executive Committee.

She has over 25 years of experience in global financial services developing and building asset management businesses. In 2016, Lisa received the Top Women in Asset Management Award from Money Management Executive.

Prior to joining Amundi Pioneer, Lisa was Global Head of Distribution at Morgan Stanley Investment Management (MSIM) and President of MSIM Distribution Inc. In this role, she oversaw all MSIM distribution channels globally, including retail and institutional. Prior to that, Lisa was Head of the Global Institutional Division at Eaton Vance Management. She also spent more than 16 years at MFS Investment Management in leadership roles across both retail and institutional divisions. She began her career at E.F. Hutton & Co. in New York.

Lisa is a member of the Board of Governors of the Investment Company Institute and a member of the MIT Sloan Finance Group Advisory Board at MIT Sloan School of Management. Lisa has served on other boards such as the Foreign Policy Association in New York, the Advisory Board of the Institutional Investor Institute and the Board of Fellows at Trinity College in Hartford, CT. She is also a former trustee at the Pingree School Board of Trustees in South Hamilton, MA. She has a B.A. in Economics from Trinity College.


Thomas Jones
Head of Strategic Relations, Columbia Threadneedle

Session: Developments in Asset Management Allocation Models

About Thomas:
Mr. Jones is Head of Strategic Relations for Columbia ThreadneedleInvestments. Thom leads the team responsible for business development including corporate enterprise relationships, National Accounts and Advisory Research. Thom also serves on several firm leadership committees including Product, Fiduciary, Managed Accounts and Strategy. He joined Columbia Threadneedlein 2014. Previously, Mr. Jones was Senior Vice President, Director of U.S. Business Development and Client Strategy for Pioneer Investments. He served on the firmís U.S. Operating Committee, the Management Committee of Pioneerís U.S. Distribution organization, was a leader of the Global Strategic Partnership group based in London, sat on the U.S. Product Development Committee and led the firmís Alternative Investment Task Force.


Prior to that, he was Director of National Accounts at Deutsche Bank Asset Management where he was responsible for existing business and the implementation of new channel business lines including structured products and alternative Investments. Mr. Jones also served in several leadership roles within intermediary distribution as Managing Director of Putnam Investments and began his career as a Financial Advisor. He has been a member of the investment community since 1993. Mr. Jones received a Bachelor of Science Degree from the University of New Hampshire.

 

Nick Lombardo
Vice President, Sales Executive, Citi Securities Services

Session: Engaging and Servicing the Next Generation

About Nick:

Nick serves as a Sales Executive in Citiís Securities Services business. Nickís primary focus is to look after new business development and client engagement across a book of global clients within the asset management, insurance and healthcare segments.

Prior to joining Citi in 2018, Nick spent seven years at J.P. Morgan with his most recent venture serving as a Vice President in the Corporate & Investment Bank working in a variety of client management roles. Prior to J.P. Morganís Corporate & Investment Bank, Nick spent three years at J.P. Morgan Asset Management working within the Mutual Fund business with a main focus on product development and institutional sales across global equity, fixed income & asset allocation products.

Nick holds a B.A. from Seton Hall University and currently sits on the Next-Gen & Webinar Committees of the National investment Company Service (NICSA), a non-profit that connects the global asset management industry. Nick also sits on the Board of Gramercy Park Neighborhood Associates which is dedicated to preserving the historic character and significance of the Gramercy Park neighborhood of Manhattan.

 

Michael Mitchell
Vice President, Asset Servicing Operations, BNY Mellon

Session: Sharpen Your Tool Against Fraud

About Michael:

 
Michael Mitchell is a Vice President in the Asset Servicing Operations Control team within BNY Mellon.  Mr. Mitchell joined BNY Mellon in 2010 through the acquisition of PNC Global Investment Servicing and has 20 years of asset servicing operations experience. During this time Michaelís responsibilities have encompassed multiple operational management roles within Asset Servicing supporting the Transfer Agent and Sub-Accounting businesses.  Michael has lead the Financial Control Fund Settlement, Cash and Share Reconciliation functions; current responsibilities within the Transfer Agent and Sub-Accounting business include management of the record keeping system fund security master, fund distributions, security master pricing, 12b1 invoicing and commission processing, fulfillment of fund audits, payment processing and gain loss monitoring and reporting.  Michael has provided key leadership and execution of our business transformation and global integration of services.

Michael has contributed to industry initiatives involving the Investment Company Institute and Broker Dealer Advisory Committee related to Unscheduled Market Closure, Money Market Reform, and Mutual Fund Profile II distribution data standards. Michael is currently contributing to implementation of industry tools that will facilitate timely and standardized communication of corporate actions fund events and enhancements to documentation and dissemination of security master Mutual Fund Profile data points.

Mr. Mitchell earned a BA in economics and a Master of Business Administration from Clark University.  Mr. Mitchell is a member of the NICSA TA Committee and the Mutual Fund Profile II Security Master Committee.

 

 

Lyndsay Noble
Director of Data Science, SS&C

Session: When the Stars Align: How to Align Your Sales and Distribution Organizations

About Lyndsay:

Lyndsay Noble is the Director of Data Science for SS&C. Lyndsayís primary focus is to help SS&C customers gain insight into their business and solve business problems using data and analytics. Additionally, she advises on product development for SS&C data and analytics driven products. When those data and analytic products are complex enough to dip into AI, Lyndsayís team of data and machine learning scientist will develop prototypes to show capabilities and value and ensure client needs are met.

 

Prior to SS&C, she was Director of Data Insights and Operations for Acknowledge where she led a team of statisticians, machine learning scientists, and software engineers. She also performed consumer research and segmentation for several well-known brands, including Starbucks and Ernest & Julio Gallo Winery. When not neck deep in exploring the art of the possible, Lyndsay supports the tourism industry through long road trips and hauling her teenage and adult children to museums and national and state parks.

 

 

Jeffrey Saut
Chief Investment Strategist, Capital Wealth Planning

Session: Major Macro Trends Impacting the Asset Management Business

About Jeffrey:

Prior to affiliating with CWP, Jeffrey Saut was Raymond Jamesí chief investment strategist and a managing director of the firmís equity research department. In that role, he provided timely and insightful market commentary to Raymond James financial advisors, their clients, portfolio managers and institutional clients through daily strategy calls and weekly written commentary, as well as local and national media appearances.
 
He was managing director of research at Roney & Co. when it became part of Raymond James in 1999. Prior to that, he was managing director of equity capital markets for Sterne, Agee & Leach. His responsibilities included equity research, investment banking, institutional sales and syndicate.

Saut earned a bachelorís degree from St. Andrews and began his career on a trading desk in New York, becoming a trading desk manager in 1972. In 1973, he joined E.F. Hutton & Company, where he began following equities and providing research commentary. He subsequently worked as a securities analyst for Wheat First Securities, and then Branch Cabell & Co., where he was director of research and acted as portfolio manager for the firmís affiliate, Exeter Capital Management. Jeff was also director of research for the regional brokerage firm Ferris, Baker Watts, Inc., where he developed the firmís research and institutional sales efforts.
 
Jeff is well known for his insightful and colorful stock market commentary when appearing on various programs on PBS, NPR, CNBC, Bloomberg TV, USA Network and Fox News, as well as various local radio and television networks. He is often quoted in publications such as The Wall Street Journal, The New York Times, Barronís, The Washington Post, BusinessWeek, U.S. News & World Report, Fortune and SmartMoney, as well as on websites including thestreet.com and msnbc.com.

 

 

Al Sears
Vice President, Global Client Group, Dimensional

Session: Engaging and Servicing the Next Generation

About Al:

Al Sears received a Bachelor in Arts in Economics from the University of Massachusetts, graduating with Phi Beta Kappa honors. Recently he served as a representative to Charles Schwab's Advisor Council, Fidelity Investment's Steering Committee, and as a member of the Missouri State Treasurer's Advisor Council. As an active part of the industry, Al has championed multiple solutions, including a passive solution for Missouri's 529 plan. Al's professional background includes being a Board of Directors member for Buckingham and BAM Advisor Services. Al held various management positions at BAM during his 15 years at the firm beginning as the Director of Fixed Income Services and eventually moving to be the Chief Operating Officer for the firm and President of BAM Advisor Services. While at Buckingham/BAM, Al was an active participant in helping the firm grow from several billion in 2003 to nearly $35 Billion in 2018.


Al's passion and professional trajectory have always been guided by a focus on the advisor and end-investor experience, with building relationships at the center. During his time at BAM, Al main goal was to meet the needs of the nearly 150 members of the BAM ALLIANCE using the platform. By leveraging his relationships with clients and keeping abreast of updates to the industry, Al ensured BAM's evolution.


For the past nine years, Al has been an active part of Employment Connections serving as a Board Member, Treasurer, and Finance Committee Chair. Employment Connections works to find employment for those within the St Louis community with significant barriers to employment such as those with ex-offender status.
Al joined Dimensional Fund Advisors based in Austin, TX in 2018. His focus is on innovating the client experience, mainly as it involves the use of technology.


 

Scott Smith
Director Advice Relationships, Cerulli Associates

Session: Developments in Asset Management Allocation Models

About Scott:
With more than 20 years of financial services industry experience, Scott leads Cerulliís research efforts focused on investor behavior and advisory relationships. In his time at Cerulli he has authored more than two-dozen in-depth reports on topics ranging from wholesale distribution to digital advice platforms.  His research helps Cerulliís clients understand how to optimize their platforms given the evolving demand for financial advice.


Scott, who received his B.A. from The Johns Hopkins University in Economics and his M.B.A. from Bryant University, started his career wearing a headset at Putnam Investmentsí service center, before moving to more strategic roles at MFS Investment Management and then to Cerulli in 2007.

 

John Stadtler
Partner, US Financial Services Industry Group, PwC

Session: C-Suite Summit: How to Stay Relevant & Bolster Client Value

About John:

John has been PwCís Financial Services Industry leader with 30+ years of experience in Financial Services, working with asset managers, banks and insurance companies. He has served as our Global Relationship Partner (responsible for all aspects of engagement delivery and service) on some of our largest asset management clients and banks. His areas of expertise include SEC assurance, regulatory matters, financial reporting, corporate strategy, product management, and service provider operations. 


John is a graduate of Villanova University and he, his wife and two children live outside Boston, Massachusetts. John is a frequent speaker at industry events and is an active board member of the American Red Cross (in Massachusetts where he is the board chair), the New England Council and other local community boards.

 

Carol Tannous
Managing Director, Deloitte Risk and Financial Advisory Practice

Session: Sharpen Your Tools Against Fraud

About Carol:

Carol Tannous is a Managing Director in the Deloitte Risk and Financial Advisory practice and has over 15 years of experience specializing in advanced analytics and data management for forensic investigations and regulatory compliance within the financial services industry. She has led forensic analysis, analytics strategy development, data management and remediation efforts at asset managers, broker dealers, and global banking clients.

 

Her technical experience includes the design, development, and implementation of rules and machine learning models assisting with various dispute and litigation engagements including forensic accounting and financial investigations, bankruptcy cases, customer remediations, anti-money laundering and Foreign Corrupt Practice Act investigations. Carol has extensive experience working with internal and external counsel to assist firms in responding to the SEC and FINRA inquiries. Carol presented findings to regulators on behalf of clients and worked on simulations for regulators.

 

Pete Thatch
Managing Director, Deloitte Risk and Financial Advisory Practice, Capital Group

Session: Developments in Asset Management Allocation Models

About Pete:

Pete Thatch is a senior strategic relationship manager responsible for co-leading the Cross-Channel client segment at Capital Group, home of American Funds. He has 25 years of investment industry experience and has been with Capital Group for four years. Earlier in his career at Capital he was a product management director, responsible for retail product management and strategy. Prior to joining Capital, he was managing director and head of third-party product offering at Merrill Lynch. Before that, he worked in various roles supporting investment product and distribution at Merrill Lynch Investment Managers and BlackRock. He holds a bachelorís degree in economics from Rutgers University. Pete is based in Los Angeles.

 

 

 

Michael Woodall
Chief of Operations, Putnam Investments

Session: Prioritizing Your Tech Spend: A Guide to Strategic Sourcing

About Michael:

Mr. Woodall is Chief of Operations for Putnam Investments. He is responsible for Investor Services, Accounting, Middle Office and Control Services, Fund Administration and Investment Operations. In addition, he is President of the Putnam Fiduciary Trust Company (PFTC), and a member of Putnam's Operating Committee and Diversity Advisory Council. Mr. Woodall joined Putnam in 1993 and has been in the investment industry since 1983 spending the first 10 years of his career at Fidelity Investments. Under Mr. Woodall's leadership, Putnam has received the DALBAR Mutual Fund Service Award for 28 consecutive years and is the sole winner of DALBAR's Total Client Experience Award for the past seven years. Additionally, Putnam has received the National Quality Review 5 Star Rating for Superior Processing Accuracy and the Money Management Award for Innovation in back office efficiency. Previously at Putnam, he held several roles, including Head of Mutual Fund Shareholder Services, Vice President of Investor Services, Head of Business Planning and Development, and Head of Enterprise Services.


Mr. Woodall is the current Chairman of the Boston Water & Sewer Commission, appointed by and reporting to Mayor Martin J. Walsh. He is the former Chair of NICSA (National Investment Company Service Association) and a Director Emeritus. He is an active member of the DTCC (Depository Trust Clearing Corporation) Senior Wealth Advisory Board, and the ICI (Investment Company Institute) Operations Committee. A graduate of Northeastern University with distinction as a member of the Sigma Epsilon Rho Honor Society, he is also on the Board of Visitors of the Northeastern University DíAmore-McKim School of Business. In addition, Mr. Woodall is a founding member of the nonprofit Inspire Arts & Music, where he serves on the Board of Directors.

 

 

Robert Zembowicz
Chief Enterprise Architect, Vanguard

Session: Artificial Intelligence Mentorship Clinic

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.

 

 

 

 


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