2015 Speaker Bios

2016 GMM information coming soon!


Yaqub Ahmed
Senior Vice President, Head of Investment-Only Division U.S.
Franklin Templeton

Session Title: The Changing Distribution Model

About Yaqub:
Yaqub Ahmed is a senior vice president and head of Investment-Only Division-U.S. for North America Advisory Services. He is responsible for Franklin Templeton's U.S. advisory defined contribution and variable annuity investment-only business.
Mr. Ahmed has over 20 years of experience in financial services, with a focus on the corporate retirement markets. Prior to joining Franklin Templeton Investments in 2009, he served as managing director for Columbia Management's investment-only division responsible for overseeing both the defined contribution and sub-advisory businesses. Mr. Ahmed holds a bachelor's degree in political science from Boston University, and is an Accredited Investment Fiduciary (AIF). Mr. Ahmed has been named as one of the “100 Most Influential” in the defined contribution industry by InvestmentWires.com each year from 2008 through 2014. He is a frequent speaker at industry conferences and client forums.

He is a member of the DCIIA Public Policy Committee, SPARK Institute Board of Directors, IRI Asset Management Committee and the Advisory Board of EACH Enterprise, LLC.

 


Alyssa A. Albertelli, Esq.
Chief Compliance Officer
State Street Global Advisors (SSGA)

Session Title: Global Trends in Regulation

About Alyssa:
Alyssa Albertelli is the chief compliance officer for State Street Global Advisors (SSGA). She is a member of the SSGA Executive Management Group and reports to the chief executive officer of SSGA and chief compliance officer of State Street Corporation. Alyssa manages a global team of approximately 125 individuals.

Alyssa joined SSGA in March 2012 as a senior vice president and chief legal officer for SSGA Funds Management Inc. In that role, she was responsible for the legal teams supporting Global Product and Marketing and the US registered advisory, mutual fund, money market fund, and exchange traded fund businesses.

Previously, Alyssa was a partner at Ropes & Gray LLP and a member of the investment management practice for 15 years. She provided legal advice to investment companies, their independent directors and investment advisers. Alyssa also counseled clients in the establishment, registration and operation of retail and institutional fund products. She represented clients in merger and acquisition transactions, as well the post-merger integration of operations and products. In addition, she assisted clients experiencing or anticipating compliance, examination, enforcement or other regulatory issues with the Securities and Exchange Commission and other regulatory agencies. Prior to joining Ropes & Gray, Alyssa was an associate in the investment management group at K&L Gates for two years. She worked in finance in the mutual fund industry before attending law school.

Alyssa earned her Juris Doctor from Boston University School of Law, cum laude, and Master of Business Administration from Boston University School of Management. She earned her Bachelor of Arts in economics and finance from Simmons College.




Bala Annadorai
Director
PwC Financial Services Advisory

Session Title: Processing Cleared and Bilateral OTC Derivatives Trades

About Bala:
Bala is a Director in PwC’s Banking & Capital Markets practice where he co-leads the Collateral Management and Clearing Service offering. His financial services experience spans program management, business process design, re-engineering, architecture, solution structuring and delivery.

He has over 20 years experience in developing business, technology, and architectural solutions for global investment banks. His recent engagements include analysis and review of regulatory/client reports delivered by a global SDR; conducting operations and technology assessment for major custodial bank’s middle-office collateral management buy-side offering;  developing a collateral product definition for cleared swaps services that include definition of segregation models, operational flows for LSOC and quad party segregation.

Prior to PwC, Bala worked with global investment banks to provide application architecture and technology solutions. During this time, he assisted clients to design and delivery technology solutions for credit limits management, fixed income hub, trade surveillance, and middle/back office components.

Bala holds an engineering degree from College of Engineering, Anna University. India.
 


Robert Bagdasarian
Senior Vice President, Investment Manager Services
State Street

Session Title: In House or Outsourced? Middle Office Case Study

About Robert:
Mr. Robert Bagdasarian is a Senior Vice President in Investment Manager Services (IMS).  He serves as Product Management head for IMS as well as business development lead for select new business opportunities.  Prior to his current role Mr. Bagdasarian served as business lead for several clients and led the North America Product and Process Consulting Group.  As part of this role, he has led middle and back office integration efforts with several strategic clients. 

In his 26 year history at State Street, Mr. Bagdasarian responsibilities have also included management roles in Mutual Fund Operations & State Street Japan.  

Mr. Bagdasarian graduated from University of New Hampshire in 1989, and received his Masters in Business Administration from Babson College in 1998.


Michael Barnes
Senior Manager
EY, Financial Services Regulatory Practice

Session Title: Global Trends in Regulation

About Michael:
Michael Barnes is a senior manager in Ernst & Young’s Financial Services Regulatory practice. He has over 13 years of industry and consulting experience. During that time, Mr. Barnes has assisted clients in performing strategic assessments related to US and global regulation as well as the design and implementation of compliance programs. His clients have included global financial institutions and US Regulators.

Mr. Barne’s expertise includes knowledge of federal securities laws and regulations, including the direct application of the Investment Advisers and Investment Company Acts of 1940. His industry experience includes his time as a vice president in the Legal and Compliance Department at PIMCO. He was also a securities compliance examiner with the SEC, where his responsibilities included routine and cause on-site inspections of investment advisers, investment companies, variable insurance products, related broker/ dealers, and transfer agents.



Paul Biscaia
Vice President, Asset Manager Solutions Group
JP Morgan Fund Services

Session Title: Preparing for Money Market Reform

About Paul:
Paul G. Biscaia is a Vice President in the Asset Manager Solutions Group of the J.P. Morgan Corporate and Investment Bank. Paul is responsible for matching the needs of Asset Managers with J.P. Morgan’s array of fund administration and securities servicing products. Paul started his career with J.P. Morgan Chase in 1994, and has held a variety of operations and leadership positions in several areas including Transfer Agency, Fund Accounting, Valuation and Client Service. Prior to joining J.P. Morgan, Paul was a personal banker and retirement plan specialist with Shawmut Bank N.A. Paul is a graduate of Salem State University and completed his Master of Finance at Suffolk University.

 

Derek Bridges
Enterprise Risk Officer
DST Systems

Session Title: Service Provider Oversight

About Derek:
Derek joined DST Systems, Inc. (DTS) in April of 2015 as the organization’s first Enterprise Risk Officer.  He is responsible for assessing and mitigating significant competitive, technology, and regulatory risks across the enterprise.  He leads the efforts to assess, identify, monitor, and reduce pertinent business risks that could interfere with DST’s objectives and strategic goals.  As part of his responsibilities, Derek interacts with clients performing validation procedures on DST.  He is also a member of the team assessing and monitoring DST suppliers.

Prior to joining DST, Derek was the Chief Risk Officer and Chief Regulatory for a community bank.  He also has more than 15 years of risk management consulting experience with Big 4 accounting firms.

Derek received a Bachelor of Science degree in business administration/accounting with an emphasis in management information systems from the University of Kansas.  He is a Certified Information Systems Security Professional (CISSP), Certified Information Systems Auditor (CISA), and a Certified Internal Auditor (CIA).


Kenneth E. Burd, MBA, CMFC
Vice President, Head of Internal Sales & Third Party Business Development
Delaware Investment


Session Title: The Changing Distribution Model

About Kenneth:
Ken joined Delaware Investments in Philadelphia, PA in March 2012 as head of internal sales and Third Party Business Development. In this role, Ken leads a team of 2 desk managers and 30 internal sales consultants.  He also oversees business strategy and analytics for the retail distribution team. Prior to joining Delaware, Ken worked with Fidelity Investments, first as Director of new business development for the internal sales desk and then as Vice President, director of internal sales for both the wire-house and registered investment advisor (RIA) internal sales teams. In the latter role, he was also responsible for building and launching the investment specialist sales desk, which served as the intermediary between sales and the product, relationship management, and capital markets groups. Previously, he worked with Evergreen Investments from 2003 to 2009, leaving the firm as divisional director of internal sales, responsible for their Charlotte, NC sales desks (Wire-house, Banks and Alternative Investment teams).

In 1999, Burd began his career with Lincoln Financial Advisors as a financial consultant and then worked as a product specialist with Oppenheimer Funds Dist, Inc. from 2000 – 2002 in New York City.  Ken earned his bachelor’s degree in business from The Pennsylvania State University, an MBA with a concentration in management and Communications from Fairleigh Dickinson University and is currently completing a Doctorate in Business Strategy and Innovation at Cappella University.




Patrick Campbell
Director
Assistant Treasurer
Bank of America Global Capital Management

Session Title: Preparing for Money Market Reform

About Patrick:
Patrick Campbell is director of Transfer Agency Oversight for BofA Global Capital Management and assistant treasurer of BofA Funds. In this role, Mr. Campbell is responsible for managing and providing oversight to the external transfer agents for the money market mutual funds. His role involves establishing and maintaining policies and procedures for ensuring third‐party vendors provide satisfactory services outlined in service level agreements and contracts. He joined Bank of America in 2010 and has been a member of the investment community since 1980.

Prior to joining Bank of America, Mr. Campbell was a vice president of Transfer Agent Oversight and Business Intelligence/Data Warehouse at OppenheimerFunds from 2004 to 2009. His responsibilities included providing program oversight for a data warehouse and business intelligence initiative, managing correspondence, monetary control and oversight organizations for over 100 individuals with responsibility for customer communication, money movements, fund balancing, monitoring and designing operational risk practices, and ensuring compliance with SEC, FINRA, MSRB and IRS regulations. In addition, Mr. Campbell worked for a former affiliate of Bank of America as a vice president of Operations Development and Client Services from 2000 to 2003. Mr. Campbell also held positions as vice president and assistant vice president at Liberty Funds Services, Inc. and Colonial Investors Service Center, Inc., respectively, from 1984 to 2000.

Mr. Campbell earned a B.A. degree from Suffolk University.



Amy Carroll
CISO, Vice President, Operational Risk & Process Management
President
Janus Capital Group

Session Title: Service Provider Oversight

About Amy:
Amy Carroll is a Vice President in the Global Technology & Operations group responsible for Operational Risk and Process Management and Chief Information Security Officer (CISO) for Janus Capital Group.  Amy joined Janus in January 2011. In her role, Ms. Carroll has built a team responsible for a variety of risk management programs and that provides process management services to support Global Technology & Operations. This group is directly responsible for Information Security, Data Privacy, Software Quality Assurance, Process Risk Analysis/Process Improvement, Project Management and Business Continuity.  Ms. Carroll is a member of the Cyber Protection Committee at Janus.  Prior to joining Janus, Ms. Carroll spent nine years at Evergreen Investments, the last six of which were spent in the role of Vice President, Technology Risk, wherein she was responsible for Information Security, Business Continuity, Software Quality Assurance and the PMO.  She also served as a member of the Operational Risk Committee and the Technology Executive Steering Committee. Ms. Carroll began her career at MFS Investments as a client representative in the Transfer Agency, later transferring to the Technology department where she became Group Vice President, Technology Client Support responsible for technology needs of the Service Company, Retirement Plan Services and Corporate Services. Ms. Carroll holds a Bachelor of Arts degree in history and political science from the University of Massachusetts, Amherst and an MBA from Suffolk University in Boston and has over 30 years of financial industry experience.


Dave Carson
Vice President – Director of Client Strategies
President
Ultimus Managers Trust

Session Title: Liquid Alternatives: The Current State of Play

About Dave:
Dave joined Ultimus in 2013. As Director of Client Strategies, Dave’s primary responsibility is to provide expert assistance to investment managers considering starting a fund. He provides guidance on strategic mutual fund issues such as product design, fund governance, distribution and pricing. He also consults with mutual fund clients and investment managers regarding new product development and regulatory matters. As the President of the Ultimus Managers Trust, he also manages the series trust product line. He is a graduate of Kenyon College in Gambier, Ohio.

Dave has been in the financial services industry since 1981, and has almost twenty years of fund and asset management experience. Dave has been Chief Compliance Officer for mutual fund families, registered investment advisors, and an ETF trust. He also served as Chief Operations Officer for a mutual fund family, and previously had senior management responsibility for fund and advisor marketing, fund wholesaling, transfer agency, shareholder servicing and advisor compliance. Earlier in his career Dave was a corporate IT audit manager, and managed holding company-level credit quality reporting.

Dave is co-founder and president of Advancing Fund Governance, a forum for fund trustees and senior officers. He is also a former trustee and secretary of the Greater Cincinnati Mutual Funds Association, and former trustee and board president of the Cincinnati Shakespeare Festival. Dave enjoys doing running, hiking and critiquing cooking shows with his wife, daughter and adult sons, and reading history and biographies.



Jeff Cook
Director of Regulatory Compliance
DST Systems, Inc.

Session Title: Preparing for Money Market Reform

About Jeff:
Jeff Cook is the Director of Regulatory Compliance at DST Systems, Inc. in Kansas City, Missouri.  He is also the member of DST management designated to perform the duties of the AML Compliance Officer and oversee DST’s Identity Theft Prevention Program.   His responsibilities also include overseeing and ensuring that DST's financial services products, technology products, output products, and transfer agency operations comply with federal and state regulations.  Jeff has served as a speaker at various mutual fund and transfer agent industry meetings and conferences, most notably, the Investment Company Institute (ICI), Executive Enterprises, NICSA, Investment Program Association (IPA), and the Midwest Securities Transfer Association. Jeff's areas of expertise include cost basis accounting, non-resident alien tax, information return reporting, Compliance Rule 38a-1, DST's Compliance + Program, Money Market Reform, and the USA PATRIOT Act.  Jeff has been with DST since 1987, mainly with the Regulatory Compliance group and, prior to that, the Internal Audit Department.  Jeff serves on several industry groups; the ICI Cost Basis Task Force, ICI Money Market Reform Committees, the ICI AML Rules Working Group, the NICSA TA Compliance Guide Committee, NICSA Risk & Compliance Committee, IPA Operations Committee, and DST’s Regulatory Compliance Advisory Group (RCAG) Steering Committee. He holds a B.S. degree from Kansas State University, with a dual major in accounting and management, and a minor in communications.  Prior to DST, Jeff worked in public accounting specializing in compliance audits of state and local governments.


Mark Demo
Director
AcadiaSoft, Inc.

Session Title: Processing Cleared and Bilateral OTC Derivatives Trades

About Mark:
Mark Demo is Regulatory Program Director at AcadiaSoft, Inc. Mark has more than 20 years experience in the OTC Derivatives market and has served as a co-chair of the ISDA Collateral Steering Committee. He has participated on ISDA working groups and has been involved in developing changes in collateral operations associated with financial regulations under Dodd Frank and EMIR. Mark is a collateral subject matter expert who is now leading the product steering committee for AcadiaSoft’s project Blazer. Project Blazer is the technology and regulation compliant implementation of an open frame, end-to-end margin processing hub for non-cleared derivatives.

Mr. Demo has a B.S. in Business Administration from Carnegie Mellon University and an M.B.A. from the Columbia Business School.

 

Joe DeRice
Managing Associate
Beacon Consulting Group

Session Title: In House or Outsourced? Middle Office Case Study

About Joe:
Joe DeRice is a Managing Associate at Beacon Consulting Group where he specializes in strategic business transformation initiatives in the middle and back office.  Mr. DeRice has over 15 years of experience in the financial services industry, including fund accounting, global custody, middle office, trade lifecycle management and straight through processing.  He was a product manager at Omgeo, LLC prior to joining Beacon and started his career in financial services at Brown Brothers Harriman. 

Mr. DeRice received his BS Degree in Business Administration from Saint Joseph’s College of Maine.




Elizabeth Duggan
Managing Director, Global Evaluated Pricing Business Development
Interactive Data Corporation


Session Title: Current Perspectives on Investment Valuation

About Elizabeth:
Liz Duggan is managing director, Global Evaluated Pricing Business Development for Interactive Data’s Pricing and Reference Data business. She has more than 20 years of experience in market data services, working with investment companies, investment advisors, broker/dealers and other financial institutions.

Liz oversees key initiatives related to enhancing and expanding the Company’s evaluated pricing services, broadening overall market coverage and providing increased transparency to evaluation services.

Liz joined Interactive Data in 1999 and has held several roles within the Company —most recently serving as Managing Director of Global Evaluated Pricing Operations. Prior to joining the Company, Liz served as a senior vice president of Thomson Financial Securities Management.

Interactive Data is a leading independent provider of daily evaluations for fixed income securities. The Company supports thousands of financial institutions worldwide, ranging from central banks to large investment banks, with daily evaluations spanning more than 2.8 million fixed income and international equity securities. With over 30 years of experience, its teams of evaluators operate in three major time zones.



Frank P. Gaffney
Vice President, Wealth Management Services
Depository Trust and Clearing Corporation (DTCC)


Session Title: Liquid Alternatives: The Current State of Play

About Frank:
Mr. Gaffney is Vice President, leads business development for the Alternative Investment Products (AIP). He is an accomplished senior operations and IT leader in the financial services industry with over 22 years experience.

He has successfully established and led the operations and IT functions for mutual funds and alternative investments. His expertise in operations management has resulted in numerous business process improvements by combining the innovative use of technology with business functions.

Previously, Mr. Gaffney was the Senior Vice President – Director of Operations for Dividend Capital Securities, a real estate based investment Management Company sponsoring mutual funds and non-traded REITS, hedge funds and private equity funds where he built and oversaw the operations and IT functions. Prior to joining Dividend Capital Securities, Mr. Gaffney was employed by Founders Asset Management, a mutual fund investment advisor as Senior Vice President of Operations and Treasurer of the Dreyfus/Founders funds. Mr. Gaffney was also a management consultant for Accenture where he provided management consulting services for clients in the financial services, utilities and health care industries.


Erik D. Gosule, CFA
Senior Vice President, Head of Marketing and Product Development, U.S.
Pioneer Investments


Session Title: Liquid Alternatives: The Current State of Play

About Erik:
Erik Gosule joined Pioneer in December of 2014. He is the Head of Marketing and Product Development for the U.S.

Erik is responsible for developing an integrated marketing platform for Pioneer’s investment solutions across all channels, including intermediary and institutional. He will also lead the U.S. Division’s product development efforts. Erik is a member of the firm’s U.S. Management Committee and reports to Lisa Jones.

Before joining Pioneer Investments, Gosule was Head of Client and Product Solutions at PanAgora Asset Management, where he was responsible for overseeing strategic and tactical marketing initiatives including product development, and for communicating PanAgora’s investment capabilities through a variety and distribution channels around the world. Prior to joining PanAgora, Gosule worked at the D.E. Shaw Group, where he was a member of their Institutional Asset Management team focused on systematic equity strategies. Prior to joining D. E. Shaw, Gosule held investment oriented roles at Putnam Investments and Fidelity Investments, where he participated in several business development initiatives.

Gosule has a B.S. from Western New England College and is a CFA® charterholder.



Jen HoffenKamp, CPA
Vice President, Enterprise Cash Product
Northern Trust

Session Title: Preparing for Money Market Reform

About Jen:
Jen Hoffenkamp is a CPA and Vice President at Northern Trust within Enterprise Cash Product. In Enterprise Cash Product Jen leads strategic initiatives related to client cash management products, which include on and off balance sheet offerings across Northern Trust. As part of this Jen is responsible for leading Northern Trust’s Money Market Fund Reform efforts focusing on driving the design and delivery of Money Market Fund compliance requirements while still providing leading cash management products and services to clients. Prior to this, Jen has held various roles related to Asset Management, Risk Management and Audit at Northern Trust. Before joining Northern Trust in 2011, Jen was at Ernst & Young providing assurance services over for hedge funds, mutual funds, private equity funds, and trading companies.

 


Mayur Java
Manager
PwC Financial Services Advisory

Session Title: Processing Cleared and Bilateral OTC Derivatives Trades

About Mayur:
Mayur Java is a New York-based manager in PwC's Capital Markets Technology and Operations Advisory practice with more than 7 years experience as a practitioner and consultant in process and operations consulting for large and mid size buy side clients, broker dealers and custodian firms.

He has lead successful projects in collateral management with a focus on designing end-to-end processes for derivatives and collateral life-cycle management. He also leverages his knowledge and experience of current regulatory reforms (DFA, EMIR) impacting Collateral Management to provide an impact analysis to client's business processes.

Prior to PwC, Mayur worked for a smaller financial services consulting firm where he focused on helping clients assess risks and apply  controls within Information Security, Information Technology, and Information Risk Management. Prior to entering Consulting, Mayur spent over four years at fund of hedge funds performing portfolio and operational due diligence.
 


Timothy S. Johnson
Partner
Reed Smith


Session Title: What's Next in Sub Accounting?

About Tim:
Tim is an investment management lawyer in Reed Smith's Financial Industry Group and co-chair of the firm's regulatory investment management practice. Tim has been counseling asset servicing entities (custodians, transfer agents, administrators, etc.) for most of his 20-plus years of practice. His practice also focuses on all aspects of investment company and investment adviser regulation and compliance.

Tim’s experience includes negotiating strategic transactions (acquisitions, dispositions, outsourcings); negotiating operational agreements (custody agreements, administrative services agreements, sub-accounting agreements, transfer agency agreements, etc.);counseling advisers on their compliance obligations; assisting in the design of compliance programs; counseling investment advisers and mutual funds in connection with regulatory inspections; advising mutual funds on disclosure materials, contracts, board duties and presentations; designing policies and procedures for the performance of services by mutual fund administrative services providers; and generally rendering advice on other regulatory and corporate matters impacting investment advisers and mutual funds.

He serves as fund counsel and counsel to independent trustees of registered investment companies and, in that role, counsels the board and funds as to regulatory and compliance matters.

Tim received an AV Preeminent® rating from Martindale Hubbell in 2013, the highest peer rating available, based upon legal ability and professional ethics.


Matt Jones
Managing Director, Trading and Liquidity Strategies
BlackRock

Session Title: Preparing for Money Market Reform

About Matt:
Matt Jones, CFA, Managing Director, is a member of BlackRock's Trading & Liquidity Strategies business within the Cash Management Group (CMG). As Head of CMG's U.S. Sales Bank distribution channel he is responsible for leading a team of sales professionals in developing opportunities to deliver BlackRock's liquidity and short term fixed income investment management capabilities through BlackRock’s global and domestic bank intermediary partners. Mr. Jones' service with the firm dates back to 2008, including his years with Barclays Global Investors (BGI), which merged with BlackRock in 2009. At BGI, Mr. Jones was co-Head of the US Sales team for the BGI Cash business. Prior to joining BGI, Mr. Jones spent 10 years at JPMorgan Asset Management, the majority of which was spent in various senior sales and product development roles for the JPMorgan Global Liquidity business in both the US and international markets. Mr. Jones began his career in corporate banking at NatWest Bank in the UK, where he worked for six years.

 



Gaurav Joshi
Manager
PwC Financial Services Advisory

Session Title: Processing Cleared and Bilateral OTC Derivatives Trades

About Gaurav:
Gaurav is a Manager in PwC’s Capital Markets Advisory Practice. He has extensively worked with capital markets participants across buy side, sell side, custody banks, and industry and vendor utilities.

He has successfully led large transformation projects in the areas of collateral management, derivatives processing, and securities settlement. In 2015, Gaurav was engaged as a senior project manager leading the development of an industry utility for OTC derivatives margin and dispute management.

He recently led the development of an industry whitepaper on the U.S. market move to T+2 settlement. He also co-authored PwC’s Point on View on Collateral Management. Gaurav is an active participant on several ISDA and SIFMA working groups.

Prior to PwC, he worked for a strategy consulting firm specializing in providing services to leading sell side and buy side clients.

Gaurav holds MBA (Finance) and Engineering (Information Technology) degrees from top ranked schools. He is also a certified Project Management Professional (PMP).



Craig Kolzow
Vice President
DST Market Services

Session Title: What's Next in Sub Accounting?

About Craig:
Craig Kolzow is Vice President responsible for DST Market Services’ subaccounting operations and services.

He came to DST Brokerage Solutions from Conferre Solutions, a boutique consulting firm that he founded in 2008 to specialize in mutual fund omnibus processing. His work involved helping major brokerage firm’s transition to a mutual fund omnibus model under a variety of service models. He previously held leadership roles with Charles Schwab's Denver mutual fund operations and mutual fund clearing groups, and Crabbe Huson Funds’ transfer agent and service center.

Mr. Kolzow graduated from Oregon State University. As a current member of ICI’s Broker-Dealer Advisory Committee, he presents on panels for a number of ICI and NICSA panels regarding omnibus processing and subaccounting. He previously served on the ICI’s Operations Committee.


Paul Kraft
Deloitte

Session Title: Current Perspectives on Investment Valuation

About Paul:
Paul Kraft leads Deloitte’s US Mutual Fund practice. He oversees the national development and delivery of mutual fund strategies across Deloitte’s audit, tax, consulting, and advisory businesses to mutual fund complexes, boards of directors, and service providers. Paul has 25 years of experience in serving some of our largest investment managers with accounting, financial reporting, operational, international, and regulatory compliance matters.

 




Joseph Krause
Director
PwC

Session Title: Service Provider Oversight

About Joseph:
Joe is a Director with PwC’s Risk Assurance practice, focused on Cybersecurity for the Northeast market. He has over 19 years of experience in working in Federal and Private Sector verticals, assisting enterprise class organizations in the development and management of Information Security governance programs, as well as performing security compliance and IT risk assessments against a variety of Information Security frameworks.

Joe leads a growing team within PwC’s Cybersecurity practice which works with clients to identify and manage cyber and IT risk. Joe has led and managed large scale compliance and risk assessment projects for Healthcare, Financial Services, Retail, and Banking organizations.  Joe’s key business skills include: P&L Leadership ($20M), Growth/Business Development, Talent Acquisition, Career Development Planning, and Professional Mentorship.  Joe’s key technical skills include a foundation in Data Communications, Cybersecurity and Software Development Methodologies (Product Management).

Joe began his career in Cybersecurity as a Computer Scientist at the National Security Agency where he was a member of the Advanced Data Communications Engineering team before taking positions in the private sector.  Joe joins us from Coalfire Systems, Inc. where he was Vice President of Technology Audit and Assessment Services (TAAS) for Coalfire’s East Region, including offices in Boston, New York, Washington, D.C., Atlanta, and Denver.  At Coalfire, Joe led an organization of over 60 Cybersecurity professionals, and served as Delivery Engagement Lead for Coalfire’s largest and most complex customers.  Prior to Coalfire, Joe served as Vice President of Product Management for Trustwave, a global Managed Security Services firm.

Joe earned a Bachelor’s degree in Mathematics from the University of Maine, a Master’s of Science in Computer Science from The Johns Hopkins University in Baltimore, MD., and a Master’s of Business Administration from Suffolk University in Boston, MA.


Len Lanetti
Vice President and Product Manager
Envision Financial Systems Inc.

Session Title: What's Next in Sub Accounting?

About Len:
Len Lanetti has worked in the financial services industry for thirty-five years on both the brokerage firm side and mutual fund company side.  Twenty-eight years ago, along with a handful of people, he helped build the first commercial sub accounting system and has worked at perfecting mutual fund omnibus subaccounting practices for system vendors and service providers ever since.




Ted Leveroni
Managing Director
DTCC-Euroclear Global Collateral Ltd.

Session Title: Processing Cleared and Bilateral OTC Derivatives Trades

About Ted:
Ted Leveroni is Chief Commercial Officer of DTCC-Euroclear Global Collateral Ltd. where he is responsible for the coordination and execution of the commercialization of the derivatives and financing collateral solutions offered by the joint venture including sales, relationship management, marketing and communications. He works closely with the firm’s clients, especially those on the buy side, to meet their evolving needs in the areas of collateral management and collateral processing. A key area of focus for Mr. Leveroni is responding to market and regulatory developments impacting industry participants.

Prior to his current role, Mr. Leveroni was Executive Director of Derivative Strategy and External Relations at Omgeo where he drove the company’s derivatives business strategy. Before joining the DTCC / Omgeo organization, Mr. Leveroni was a Vice President at State Street where he held several positions including Global Product Manager of Collateral Services where he was responsible for helping to drive execution for State Street’s collateral services strategy globally, and Head of U.S. & Asia Pacific Business Development for State Street IMS, the firm’s middle office operations outsourcing business.

Mr. Leveroni holds a Masters of Business Administration from Boston College Carroll School of Management, a Juris Doctor degree from the University of Connecticut School of Law and a Bachelor of Arts in Economics from Fairfield University.


Karen Fay Luedtke
Senior Vice President
Director of Distribution Services
UMB Fund Services

Session Title: Active and Passive Management: Complements or Rivals?

About Karen:
Karen serves as the Chief Compliance Officer for UMB Distribution Services, LLC. She is responsible for ensuring broker-dealer compliance with all FINRA and SEC rules and regulations, including review, approval and FINRA filing of marketing communications with the public, as well as for registered representative oversight. She also oversees the work of the department’s compliance analysts.

Karen joined UMB Fund Services in 2010 with more than 25 years of financial services experience, along with knowledge in the areas of registered representative supervision and advertising regulation.
Karen previously held positions with Wells Fargo Funds Distributor, American Skandia, Berger Funds, Boston Financial Data Services, and Fidelity Investments.

Karen holds a bachelor’s degree in business administration from Western Michigan University and a master’s of science management degree with an emphasis in strategic innovation and change management from Colorado State University.



Kevin D. Mahn
President and Chief Investment Officer
Hennion & Walsh

Session Title: Active and Passive Management: Complements or Rivals?

About Kevin:
Kevin D. Mahn joined Parsippany, NJ based Hennion & Walsh as a Managing Director in 2004. Currently serving as the President and Chief Investment Officer (CIO) 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 fee-based money management and the various portfolio strategies within the SmartTrust® series of Unit Investment Trusts (UITs).  Mr. Mahn was also the former portfolio manager of the SmartGrowth® Mutual Funds.

Mr. Mahn is the author of the quarterly “ETF and CEF Insights” newsletter as well as one of the co-authors of the book, Exchange Traded Funds: Conceptual and Practical Investment Approaches, © 2009 Riskbooks. Mr. Mahn is a member of the Forbes Investor team and a frequent contributor to the Forbes Intelligent Investing and Advisor Intelligence blogs as well as 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.

Mr. Mahn was the recipient of the 2009 Institutional Investor Rising Stars of Mutual Funds Award.   Mr. Mahn is also the Co-Chair of the NICSA UIT Industry Committee and received an MVP award from NICSA for his leadership of the UIT committee.

 



Sam Marrone
Head of Trade Operations
GMO

Session Title: In House or Outsourced? Middle Office Case Study

About Sam:
Sam Marrone is the Head of Trade Operations at GMO and has been at the firm for 9 years. In this role, he leads a group of professionals that provide front and middle office operational support to the investment process. He played a lead role in the effort to centralize trading within the firm, and is responsible for the Trade Support, Derivatives Administration, & Global Custody operations teams.

Prior to this he was head of GMO’s Investment Control Group, and had responsibility for Portfolio Accounting, Valuation, Corporate Actions, Proxy Voting, & Data Management groups. Prior to GMO, Mr. Marrone spent 8 years at MFS Investment Management as a Vice President in Global Investment Support, and previous to that spent 8 years at State Street Bank in various Fund Accounting & Custody roles.

Mr. Marrone graduated from Bentley University in 1989.


Shawn McNinch
Senior Vice President and Global Head of Exchange Traded Fund Services
Brown Brothers Harriman

Session Title: Active ETFs


About Shawn:
Shawn McNinch is a Senior Vice President and Global Head of Exchange Traded Fund Services at Brown Brothers Harriman.
 
Shawn has over 20 years of experience in the financial services industry. He joined BBH in 2009, prior to which he worked at Barclays Global Investors as a Senior Principal in the iShares (ETFs) product strategy group. Shawn worked on numerous strategic initiatives for the iShares business, including assisting with the launch of new ETFs, developing a distribution strategy, conducting a technology assessment to position the business for growth, and assessing numerous new business opportunities. Shawn has worked as a Senior Director at Investors Bank and Trust, where he was the senior relationship officer for several clients, including Barclays Global Investors, its largest client. Shawn has also worked as a Senior Manager at BearingPoint/Andersen Business Consulting, focusing on selling and executing strategic consulting engagements for financial services firms. He began his career in financial services at Merrill Lynch.
 
Shawn graduated from Syracuse University, and has an MBA degree from the Leonard N. Stern School of Business at New York University. He holds Series 7 and Series 63 FINRA registrations.


Steve Messinger

Beacon Consulting Group

Session Title: Active ETFs

About Steve:
Steve Messinger specializes in Exchange Traded Fund (ETF) product design, operating models and sales and marketing support. He has 20 years of experience in the financial services industry, including business strategy, project management, change management, the application of technology, due diligence, vendor oversight and global asset management operations. Prior to joining Beacon Consulting Group, Mr. Messinger was a Managing Director with iShares and BlackRock for 7 years focused on ETF operations, sales support, and project management. Prior to joining iShares, Mr. Messinger led the West Coast Asset Management Advisory Services practice with Ernst & Young. Additionally, Mr. Messinger was responsible for corporate strategy and eBusiness for the Van Kampen Mutual Funds division of Morgan Stanley.
 
Mr. Messinger holds a BA from Brown University, a MIA, from the School of International & Public Affairs at Columbia University and a MBA, The Wharton School, University of Pennsylvania.



Holly M. Miller
Director, Institutional and Private Client Team
SEI

Session Title: In House or Outsourced? Middle Office Case Study

About Holly:
Holly H. Miller is the managing director responsible for middle-office services within SEI’s Investment Manager Services division. In this role, she leads strategic planning, implementation and delivery of SEI’s middle-office outsourcing solution for both traditional and alternative institutional investment managers.

During her 30-year career in the investment management industry, Ms. Miller has worked for both traditional and alternative investment managers and has provided strategic and operational consulting to many of the world’s leading buy-side firms. Her experience has been particularly focused on investment operations, middle-office outsourcing, performance measurement and operational risk.

Prior to joining SEI, Ms. Miller was the founding partner of Stone House Consulting, LLC, providing strategic, operational and IT consulting services to investment managers and hedge funds. In 2003, Ms. Miller opened the New York office for the London-based consultancy, Citisoft PLC. Ms. Miller’s hands-on operational experience on the buy side includes serving as Senior Vice President and Chief Operating Officer at M.D. Sass Investor Services. She has also managed investment operations teams for Bank Julius Baer, J.&W. Seligman and Citigroup.

Ms. Miller is a co-author of The Top Ten Operational Risks: A Survival Guide for Investment Managers and Hedge Funds and has authored numerous articles on buy-side issues and trends. She has taught several popular seminars including “Surviving an Operational Due Diligence Review,” “How to Launch a Hedge Fund” and “Performance Measurement 101.” She is a member of SIFMA’s AMF Steering Committee and Operational Risk Committee. As an advisor to the CFA Institute, Ms. Miller previously served on the Certificate in Investment Performance Measurement (CIPM) Examination Review Panel (for both the Principles and Expert exams) and the Promotion and Awareness Subcommittee for the Global Investment Performance Standards (GIPS®). She is a former member of the editorial board for the Journal for Performance Measurement and was an active member of the Hedge Fund COO Forum. Ms. Miller is a frequent speaker at industry conferences.

Ryan J. Moore
Assistant Chief Accountant- Division of Investment Management
U.S. Securities Exchange Commission (SEC)


Session Title: Current Perspectives on Investment Valuation

About Ryan:
As an Assistant Chief Accountant within the Division of Investment Management at the SEC, Ryan assists the Chief Accountant in interpreting new accounting regulations and directing the financial reporting and accounting practices of investment companies in compliance with the federal securities laws.

Prior joining the SEC, Ryan was a Senior Manager at Deloitte, where he primarily served clients in the investment management industry and was also appointed to the National Office to assist the Investment Management Industry group in resolving industry consultations on accounting, financial reporting and auditing issues as well as developing Firm guidance for practitioners. Ryan is a CPA, member of the American Institute of Certified Public Accountants, and graduated from the College of the Holy Cross in Worcester, MA in 2003.




Kenneth Mortensen
Senior Managing Director
PwC

Session Title: Service Provider Oversight

About Kenneth:
With over 30 years experience in IT, cybersecurity/privacy, and law, Ken serves as part of PwC’s Global Cybersecurity & Privacy team leadership. Prior to joining PwC, Ken was the Vice President, Assistant General Counsel & Chief Privacy Officer at CVS Caremark, responsible for leading information governance including cybersecurity, privacy, and risk management.  Ken created and oversaw the cybersecurity and privacy programs to ensure compliance with CVS’s FTC Consent Agreement and OCR Resolution Agreement, including successfully addressing all aspect of the OCR Corrective Action Plan within less than the three years permitted in the Resolution Agreement.  He also served as the transitional CISO and instituted a successful PCI management program to achieve four annual Reports on Compliance on time for CVS as a level 1 merchant.  Ken was also the first Chief Privacy Officer for Boston Scientific Corporation, responsible for implementing a global privacy and security program, including controls for employee information and internal assessment for PCI.

Ken served in the Administration of President George W. Bush as the Associate Deputy Attorney General (Privacy & Civil Liberties) for the U.S. Dep’t of Justice, where he was the primary counsel and policy advisor to the Attorney General and Deputy AG on privacy, cybersecurity, and civil liberties matters, including support under the Foreign Intelligence Surveillance Act and drafting the Attorney General Guidelines for Domestic FBI Operations and EO 12333.  He negotiated a common set of privacy principles with the European Commission as head of the U.S. delegation (which included officials from DOJ, State, and DHS) from 2007-2009.  Ken led a U.S. agency delegation that negotiated national cooperative agreements supporting foreign intelligence, national security and law enforcement in a transnational setting.  Ken served as advisor counsel from DOJ in the annual U.S.-EU Safe Harbor meetings and served as counsel to CFIUS providing counsel related to OFAC and FinCEN for privacy concerns.  Before coming to Justice, Ken joined the Dep’t of Homeland Security early in its existence, eventually serving as the Deputy CPO.  Additionally, while a partner at his own law firm, Harvey & Mortensen, Ken served as Special Counsel to Pennsylvania AG Mike Fisher for Internet and cyber matters.

Ken is an adjunct professor of law teaching privacy law at Boston University School of Law and teaching national security privacy at Maine University School of Law. He was formerly on the IAPP Board of Directors serving as Secretary on the Executive Committee, he now serves as co-chair of the Research Advisory Board. He serves as a member of the Advisory Board for Shared Assessments. He is a frequent international speaker at cybersecurity and privacy events and is co-author of the West Publishing book Healthcare Privacy & Security.


Ryan Mullen, CIMA, ARPC
Senior Managing Director of National Sales
MFS Investment Management

Session Title: The Changing Distribution Model

About Ryan:
Ryan Mullen is senior managing director and head of sales and national accounts for the Investment Specialist Group (ISG) at MFS Investment Management® (MFS®). Ryan’s teams are responsible for MFS’ distribution efforts in five key channels: defined contribution investments, variable insurance, managed accounts, private banks and registered investment advisors.

Ryan has over 20 years of experience in the financial services industry and assumed his current position in 2006. He joined MFS in 1992 as a customer service representative and later served on the inbound marketing and insurance products sales desks. He joined the firm’s wholesaling team in 1996 in the Financial Advisors Division, became divisional vice president for ISG in 2000 and was named a senior divisional vice president in 2004.

Ryan is a graduate of Hobart College, where he earned a bachelor’s degree in economics and a double minor in political science and religious studies. He holds the Certified Investment Management Analyst (CIMA) and Accredited Retirement Plan Consultant (ARPC) designations.



Jackie Noblett
Senior Reporter
Ignites

Session Title: Active ETFs

About Jackie:
Jackie Noblett is a Senior Reporter at Ignites covering ETFs, and fund industry technology and operations. Prior to Ignites, she was a reporter at the Boston Business Journal covering technology and alternative energy businesses across New England. Jackie received her bachelor of science in journalism from Emerson College.

 

 


Jonathan Peckham
Head of US Product & Market Research
Invesco

Session Title: Active and Passive Management: Complements or Rivals?

About Jonathan:
Jonathan Peckham oversees competitive research and market intelligence for the US retail and institutional businesses, providing coordinated support to sales, investment teams, marketing, product development, performance and risk teams, and senior management.

Since joining Invesco in 2000, he has managed product development/positioning efforts and served as Divisional Strategy Manager for the institutional business.

Prior to Invesco, Mr. Peckham was employed by Greenwich Associates, a strategy consulting firm for financial institutions. As a client associate, he worked closely with brokerage houses in the US, Japan, Hong Kong and London to identify and measure changes in the quality of service provided to institutional customers.

Mr. Peckham earned a BA degree from Georgetown University and an MBA degree in finance and operations and information management from the Wharton School of Business at the University of Pennsylvania. He is a CFA charterholder.

 

 

Dan Puopolo
Vice President and Managing Director of Fund Implementation
Navigate Fund Solutions LLC

Session Title: Active ETFs

About Dan:
Dan Puopolo is vice president and managing director of fund implementation with Navigate Fund Solutions LLC, a wholly owned subsidiary of Eaton Vance Corp. He is responsible for advising fund sponsors on strategies to develop and launch NextShares™ and for providing support to licensees of Navigate’s intellectual property. He joined Navigate Fund Solutions in 2015.

Dan began his career in the investment management industry in 1998. Before joining Navigate Fund Solutions, he was vice president and director of investment operations with Eaton Vance Management where he led middle office services for the firm’s investment teams.

Dan earned a B.A., Magna Cum Laude, from Saint Anselm College.



Chris Riggio
Chief Revenue Officer
BrightScope

Session Title: The Changing Distribution Model

About Chris:
Chris Riggio is Chief Revenue Officer at BrightScope, a leading provider of software and data analytics to the world’s largest financial institutions. He is responsible for the client facing engagement team made up of talented and professional sales executives, data solutions, marketing, project management and client success representatives. As part of the Executive team, he is tasked with accelerating the company’s growth given the industry demand for better data transparency and visualization. BrightScope's web based software, Beacon provides data, analytics and workflow tools that help drive better decision making for asset managers, brokers dealers and financial advisors.

Chris started his career in 1998 at Chase Manhattan Bank and has held senior roles at TheStreet.com, SmartMoney, Dow Jones, and Interactive Data.  Prior to joining BrightScope, Mr. Riggio was instrumental in building a successful sales organization within Interactive Data’s Wealth Management division delivering data analytics and software to the top financial institutions in North America.


John Schneider
Partner
KPMG

Session Title: Global Trends in Regulation

About John:
As the U.S. head of KPMG’s investment management regulatory practice, John has overall responsibility for KPMG’s regulatory advisory services to the investment management industry.

John is a Partner in KPMG’s investment management regulatory practice with over 25 years of compliance, internal audit, and risk management experience in the financial services industry. John is responsible for leading and developing KPMG’s investment management regulatory team of practitioners as well as driving all market development initiatives. At KPMG John has lead engagements that focus on risk assessments, forensic testing, key risk indicator assessments, registration assistance, mock SEC exams, and compliance transformation.

Prior to joining KPMG, John was a Managing Director and Head of the Investment Management Business Segment at Navigant Consulting (NCI). His experience at NCI included leading teams responsible for performing investment guideline assessments, conflicts of interest studies, due diligence reviews, compliance program development and evaluation, and providing a wide-array of risk assessment services to over 150 Investment Advisers and Investment Companies.John has also assisted clients in responding to regulatory examinations and inquiries requiring forensic analyses and presentations to the regulators.

John’s experience prior to NCI includes evaluating portfolio management trading systems, investment  finance products, and risk management programs for a wide range of products, including hedge funds, mutual funds, managed accounts, alternative products, exchange traded funds, private equity and mezzanine trust offerings.


Chris Shaw
Operations Officer
DST

Session Title: Liquid Alternatives: The Current State of Play

About Chris:
Chris Shaw is Operations Officer for multiple clients and business areas within DST's U.S. Investment Recordkeeping Solutions, part of DST's Financial Services line of business.  In this role, Chris leads the strategic relationship and operations organization for clients in the mutual fund, alternative and non-publicly traded REIT industries.  He is responsible for all aspects of the client relationship including the strategic direction of the DST servicing model supporting his clients’ various initiatives relative to current industry trends.

Chris joined DST Systems, Inc. in 1993 as a Unit Manager.  Working his way up through the organization he has successfully managed the DST SalesConnect product and various client models including: retail, broker distributed, bank, institutional and proprietary fund models.  He reached his current position of Operations Officer in January 2007.

He received a Bachelor of Science Economic Degree from the University of Kansas, Lawrence.


John Templeton
Managing Director
BNY Mellon Markets Group

Session Title: Processing Cleared and Bilateral OTC Derivatives Trades

About John:
John Templeton is a Managing Director and Global Head of Sales and Relationship Management for the Financial Institutions and Intermediaries Segment within BNY Mellon’s Markets Group.  From May 2012-January 2015, John was the Americas Head of Sales and Relationship Management for the Financial Institutions and Intermediaries Segment in BNY Mellon’s Global Collateral Services Division.  John was the Americas Head of Sales for BNY Mellon’s Broker/ Dealer Services (BDS) Division from January 2011-May 2012 and was a Managing Director of Sales for BDS in 2010.

From 2003-2009, John was a Client Executive covering franchise broker/dealer relationships. John joined BNY Mellon in 2000 to manage the overnight and intra-day loan portfolios for the Securities Industry Banking Division. Prior to joining BNY Mellon, he worked at Merrill Lynch Investment Management.

John graduated with a BA in American Studies from Bates College.


John (Jack) F. Tierney
Director of Product Strategy, Development and Investment Research
Invesco Unit Trusts

Session Title: Active and Passive Management: Complements or Rivals?

About Jack:
Jack Tierney joined Invesco in 2010. Prior to joining the firm, he performed the same role for Van Kampen Unit Trusts since 2003. During his tenure with Van Kampen, he 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 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 Bachelor of Science degree in Marketing and a Master of Science degree in Business Education from Northern Illinois University.

 



Scott Ulrich
Senior Vice President, Global Fund Services
Northern Trust

Session Title: Current Perspectives on Investment Valuation

About Scott:
Scott Ulrich is a Division Manager of Fund Accounting for Northern Trust’s Global Fund Services. He is responsible for providing fund accounting services to mutual fund clients. Scott is also responsible for the North American and Australian Business Process Analysts (BPA’s), as well as the centralized corporate actions processing team within GFS.

Scott has spent over 20 years in the financial services industry. Prior to joining Northern, Scott worked as a consultant reviewing mutual fund accounting policies such as amortization, foreign capital gains tax accruals, and work flow controls. Scott also worked at State Street Corporation where he was Department Head of several strategic relationships as well as a leader of operations teams that provided custody and accounting services to complex mutual fund, common trust, and commingled trust clients.

Scott received a Bachelor of Arts degree in Business Management from Assumption College.

Jib Wilkinson
Principal, Financial Services and Technology
Deloitte Consulting


Session Title: Big Data in the Fund Industry

About Jib:
Jib Wilkinson
Principal, Financial Services and Technology
Deloitte Consulting

Jib is a Principal in Deloitte Consulting’s Financial Services and Technology practice helping buy side and asset servicing clients in major business transformations including merger integration, technology strategy & implementation, operations improvement, and cost reduction.

Jib focuses on the intersection of investment management, data, and technology. He has 20+ years of experience in information technology including 19 years of experience dedicated to operations and technology for buy-side securities and investment management firms.




Jeffrey T. Zoller
Vice President
T. Rowe Price Associates, Inc.

Session Title: In House or Outsourced? Middle Office Case Study

About Jeff:
Jeff Zoller is a Vice President of T. Rowe Price Associates, Inc.  He is a group manager within Global Investment & Institutional Client Services, responsible for operational strategy, risk and compliance management.  In this role, he also has responsibility for oversight of global service provider relationships.  Jeff joined T. Rowe Price is 1997 and has managed the trade settlements, pricing, corporate actions and proxy voting functions during his tenure, and was involved in the development of the division’s STP strategy in 2003.  Jeff is currently on the Board of Directors at ISITC, serving as Chair.  Jeff is also the Chair of the Baltimore Symphony Youth Orchestras and serves as a member of the Board of Directors for the Baltimore Symphony Orchestra.  Prior to joining T. Rowe Price, Jeff worked in the audit division at Price Waterhouse, serving investment management clients in Baltimore, Philadelphia, New York and Boston.  Jeff holds a B.S. in accounting from Wake Forest University.