2017 Agenda All Sessions


Thursday, October 5
7:00am - 5:00 pm Registration Open

7:30 - 8:30am

8:30 - 8:45am

Welcome Remarks
Dan Houlihan, Chairman of the NICSA Board of Directors

8:45 - 9:45am

Keynote Presentation

Jeremy Gutsche, CEO OF TrendHunter.com, Innovation Expert, and New York Times Best-selling Author of "Better and Faster" 

Jeremy Gutsche is a New York Times bestselling author and award-winning innovation expert, one of the most requested keynote speakers on the planet, and the founder of TrendHunter.com, the world's #1 most popular trend website, attracting over 2 BILLION views from 150,000,000 total visitors. Prior to Trend Hunter, Jeremy grew a $1 billion portfolio for a bank and today, over 500 brands, billionaires and CEOs rely on his unique expertise to FIND BETTER IDEAS FASTER. He has been described as "a new breed of trend spotter" by The Guardian, "an eagle eye" by Global TV, an "Oracle" by the Globe and Mail, an "intellectual can of Red Bull" by Association Week and "on the forefront of cool" by MTV. 

9:45 - 10:45am

CTO Roundtable: Re-Imagining Asset Management

Get up-to-the-minute, unique business perspectives from the industry’s leading Chief Technology Officers on what should be shaping your tech priorities. What disruptors are having the most impact on the asset management industry? What does the future of investor servicing look like? Hear practical, actionable guidance on leveraging the technology programs most likely to drive growth in your business.


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

Sumedh Mehta, Chief Information Officer, Putnam Investments
John Shea, Chief Technology Officer, Eaton Vance
Salvatore Cucchiara, Managing Director, Head of Wealth Management Field and Client Technology, Morgan Stanley



10:45 - 11:15am
 Transitional Break
11:15am - 12:15pm

Innovation Panel: Insights from Big Thinkers

FinTech innovators are becoming mainstream in the asset management industry with the launch of financial services applications from the likes of Apple, Google, and Samsung.  Collaboration and alliances between established financial institutions and FinTechs are expected to increase with an eye on discovering unique and efficient client experience solutions. Get insights from “Big Thinkers” in- and outside of the industry on how asset managers can position themselves for success by building dynamic ecosystems, leveraging internal technologies, and adopting FinTech solutions.  


Christine Parker, Executive Director, Financial Services Digital Advisory, Ernst & Young LLP

Ian Sheridan, Cofounder & Principal, Vestigo Ventures
Jim Mackinaw, CIMA, Managing Director, Digital Wealth Solutions, BlackRock
Peter Sidebottom, Lead North America Banking and Capital Markets Strategy, Accenture LLC
Andrew Johnston, Senior Vice President, Strategy and Planning, Fidelity Investments

12:15 - 1:45pm

NOVA Awards & Luncheon

The NICSA NOVA Awards recognize outstanding organizations and industry professionals that excel in the field of asset management by demonstrating exemplary leadership and innovation. The awards are presented annually at the General Membership Meeting (GMM). 


Click here to view the winners of the 2017 NICSA NOVA Awards. 

1:45 - 2:00pm
Transitional Break

2:00 - 2:50pm

Breakout Sessions

Track 1 - RPA: Balancing Man & Machine

Get an up-to-the-minute look into how RPA is shaping the asset management industry.  Learn how to develop effective practices for identifying high-return opportunities for robotic process automation in your business.  Hear real world examples of how RPA, BPM, and AI are transforming the front, middle, and back office as industry leaders share unique perspectives and firsthand experience with solving business automation needs through a number of technologies.

John Sjosten,
Senior Manager, Deloitte


Patrick Ferguson, Practice Lead, DST Systems
Randy Guy, Chief Technological Officer, FIS
Jason Guenther, Head of Distribution, Marketing and Operations Systems, Putnam Investments

Track 2 - Rethinking Distribution | CLOSED TO MEDIA

Find out what’s expected of your wholesalers when they walk through the (real or virtual) door. Limited access to FAs, information overload, and rising expectations for value-add relationships are changing the way mutual fund companies approach distribution. Effective relationship managers who want access to advisors need to know what kind of information is likely to open the door. From new roles like hybrid wholesalers and investment specialists, to virtual conferences and disruptor technologies, evolution of the distribution model is upon us. Find out how to bring down the walls between business organizations, maximize the value of each advisor interaction, and build new distribution approaches. 


Justine Phoenix, Financial Services Executive, Fidelity Investments (Retired)

Thomas Jones, Head of Strategic Relations, Columbia Threadneedle Investments
Scott Smith, Director, Cerulli Associates, Inc.
James Jessee, President, MFS Fund Distributors

3:00 - 3:50pm

Breakout Sessions

Track 1 - Best Practices in Vendor Oversight

Explore the developing complexities of third-party vendor management programs. Take a deep dive into the methodologies and programs being developed by leading asset managers and critical service providers in an age of increased reliance on technology.

Nick D'Angelo, Director, PwC

John Meiers, Senior Procurement Manager, DST Systems
Tom McLain, Chief Information Officer, Old Mutual Asset Management
Peter Kanowsky, Vendor Risk Management


Track 2 - Enhancing Customer Experience thru Digital Transformation

A new generation of investors expects convenient, fast, and secure interactions with financial services firms. Innovative approaches to digitization are shaping intelligent and flexible self-service investor experiences. Explore cutting-edge use cases of smart technologies such as virtual agents, software robotics, and machine learning and leverage the latest knowledge in digital technology in order to enhance the customer experience and grow assets.

Chuck Gallant, Managing Director, Asset Servicing, BNY Mellon


Douglas Magnolia, Managing Director, BNY Mellon
Daniel Cross, Vice President, DST Digital Solutions
Shaun Gummere, Vice President, Service Design, Cantina


4:00 - 4:50pm

Breakout Sessions

Track 1 - Cybersecurity: Safeguard Your "Crown-Jewel" Assets | CLOSED TO MEDIA

Evolving threats, new protections, and more board reporting are topics that dominate the current cybersecurity landscape. Shoring up legacy systems and establishing procedures on new technologies are moving targets as security priorities are constantly shifting. Get up-to-date, practical guidance on how to develop practices that best protect the client data, capital, and intellectual property of the asset management industry. 

Adam Connell, Cybersecurity Director, Acadian Asset Management, LLC

Derek Bridges, Enterprise Security Officer, DST Systems
Paul Raymond, Partner, Morgan, Lewis & Bockius
Doug Domin, Special Agent, FBI

Track 2 - Product Trends & Opportunities for Asset Gathering | CLOSED TO MEDIA

Are you up to date on the hottest investment product trends? Get a multi-faceted view on the asset classes and products that are experiencing significant growth. How do the roles and requirements of the Investment Manager, Service Provider, and Advisor deviate from current standard practices of the fund industry? Gain an understanding of the servicing and operational challenges associated with today’s emerging products.


Christina West, Investment Consultant, Board Consulting Services, Morningstar, Inc.

Frank Koudelka, Senior Vice President and ETF Product Specialist, State Street
Rachel Schnoll, Head of US Product Strategy, Goldman Sachs
Crit Thomas, Global Market Strategist, Touchstone Investments


5:00 - 6:30pm
Networking Reception

Friday, October 6

7:00am - 12:00pm
Registration Open

7:30 - 8:30am

8:30 - 8:45am

NICSA Lifetime Achievement Award Presentation

Steve Duncan, President, American Funds (Retired)

8:45 - 9:30am

Keynote Presentation

Paul Schott Stevens, President & CEO, Investment Company Institute (ICI)

Since June 2004, Paul Schott Stevens has served as president and CEO of the Investment Company Institute (ICI), the leading association globally of investment funds. Stevens has steered ICI during some of the most challenging years in its history, through the financial crisis and beyond.

9:30 - 10:30am

Economic Update - Changes & Implications

Burt White, Chief Investment Officer, LPL Financial Services

As managing director of Investor and Investment Solutions and chief investment officer, Burt White is responsible for fostering the development and evolution of LPL capabilities to effectively deliver solutions to support advisor efficiency and growth. Mr. White leads the corporate strategy team responsible for facilitating the strategic direction of the firm; sets the vision for superior research capabilities for the benefit of LPL Financial advisors; oversees product and platform delivery and optimization; and manages corporate and advisor-focused strategic functions affecting the growth areas of the organization.
10:30 - 10:45am
Transitional Break

10:45am - 12:00pm

Winning Strategies in Human Capital Management

Which human capital trends will have the biggest impact on the asset management industry? Financial institutions need to think and act differently to attract and retain talent. Out with structural hierarchies and in with emerging leader programs? Hear from senior HR professionals about the latest trends in workplace engagement. Join our panel of experts and tackle the challenges ahead in a dramatically changing demographic and social landscape.

Rory Melick, Director, Financial Services, People & Organization Practice, PwC

Katherine Martini Miles, Financial Advisor Services, HR Business Partner, Vanguard
Sonia Davis, Senior Vice President, Corporate Executive, Northern Trust
Michelle O'Reilly, Global Learning Manager, Training Operations, J.P. Morgan

12:00 - 12:15pm

Closing Remarks

2017 GMM Sponsors