JWG’s RegTech Capital Markets Conference – 7 June 2019
Helen McCarthy, Chief Compliance Officer FX Connect and Currenex MTFs and spot FX trading platforms at State Street.
Helen started her career in the City on the LIFFE market trading FTSE and the BTP (back when EU countries had their own sovereign bonds). On good days she would be told to go home and do the washing up and that women shouldn’t be allowed in the City!
With the demise of LIFFE in 1999 Helen went to work for a private client stockbroker which she left in September 2007. She assures me that the date is purely coincidental to the fact that MiFID came into force that November….
She then went ‘back to the Futures’ and worked for LIFFE in their compliance department. With the announcement of the ICE takeover of LIFFE in 2013 (where her husband already worked in a similar area), Helen judiciously decided joined State Street as their FCM compliance officer and is now currently the CCO of State Street’s 2 FX MTFs.
She is on the steerco of State Street’s Professional Women’s Network and represents them at the ‘Women on the Wharf’ committee. She is on the steerco of Shine, State Street’s mental health network, is an Ally to the Pride network and gives talks via an organisation called Parliament Street to female graduates looking to start a career in the City. She believes that men and women are equal but different and fervently wants to encourage open discussion about how it is possible to have a fun work environment whilst causing neither upset nor offence.
Derek Fiore, Director-Compliance Officer – BlackRock
Derek Fiore, Director, is head of EMEA Transaction Surveillance for the Regulatory Risk and Review Team within Legal and Compliance. He has responsibility for the development and implementation of transaction surveillance of the Investments function in EMEA.
Prior to joining BlackRock in 2012, Mr. Fiore was an Executive Director at Goldman Sachs International where he worked in the Private Wealth Management Compliance division. He joined Goldman Sachs International in 2004 where he was responsible for Advisory Compliance and was the EMEA head of development for the Wealth Management transaction surveillance system.
Mr. Fiore earned a Bachelor of Arts in Anthropology from Brooklyn College (CUNY) in 2000 and a Master of Arts in Anthropology from Hunter College (CUNY) in 2003.
Stephan Niermann,Managing Director, Chief Compliance Officer-J.P.Morgan
Stephan Niermann is an internationally experienced senior Compliance Executive. Until recently he was Managing Director and Chief Compliance Officer at J.P. Morgan AG. Prior to this he served as Deputy Chief Compliance Officer at Commerzbank group and as Hypothekenbank Frankfurt AG’s Chief Compliance Officer. During his tenure, he has been seconded to London, heading up as Managing Director Commerzbank’s regional Compliance departments in the UK and Asia. Previously Stephan held senior leadership and management positions in Compliance at former WestLB group in Germany and Luxembourg.
Stephan has an extensive experience in leading global Compliance teams and managing regulatory matters, including planning, implementing and operating scalable best in class Compliance Management Systems with focus on effectiveness and efficiency. During his tenure, he managed successfully projects and change initiatives, such as continuous improvement (compliance excellence) and cultural integration programmes, the coordination and execution of investigations, the implementation of MiFID, Market Abuse Monitoring solutions as well as the implementation of group AML transaction monitoring and Sanction screening systems.
Stephan is a recognised contributor to international conferences and best practice fora, such as the Regulatory Technology Council, The European Compliance Conference (TECC) or the Regulatory Capital Markets Conference. He is instructor at the Frankfurt School of Finance & Management for the European Certified Compliance Professional Course, lecturing the module Governance & Regulation.
Stephan is an attorney-at-law and a qualified banker and received a PhD degree in money laundering prevention in modern payment systems from the University of Bielefeld, Germany.
Lee Garf, General Manager, Chief Product Officer, Product Executive – NICE Actimize
Lee Garf is an accomplished and committed SaaS product and marketing executive and general manager. He is an expert in building and growing SaaS platforms and products, and successful with both new concepts and with migrating existing enterprise products to the cloud. As General Manager for NICE Actimize he is responsible for the Communications and Financial Markets Compliance Line of Business portfolio.
Alan Blanchard , Business Development (UK) – Apiax
Alan has 20 years’ experience producing market-leading content for professionals in legal, tax and regulatory services. Alan uniquely combines his deep content knowledge with a keen fascination for technology and has been at the forefront of digital first strategies in commercial and public sectors. Alan firmly believes that RegTech is the idea whose time has finally come.
Christian Denk ,Head of Division Banking Supervision Law and International Banking Supervision in the Directorate General Banking and Financial Supervision of – Deutsche Bundesbank
In the Bundesbank he and his team is responsible for global banking regulation (Basel III regulatory framework) and the implementation process of international banking regulation in EU law (CRD, CRR, BRRD) resp. national law.
He is a member of the Basel Committee’s Policy Development Group.
After graduation as economist he started at Deutsche Bundesbank. After working in the area of cash and cashless payments he joined the Banking Supervision Department as an expert for internal market risk models and microprudential regulation.
David Berry , Market Data Global Sourcing – IPUG COSSIOM FISD Exec Committee
In December 2008, David joined UBS AG and is Director in Market Data & Commissions Global Sourcing. He was previously Head of Procurement & Cost Control at Royal Bank of Canada Capital Markets Europe from May to Nov 2008. From 2006 to 2008 he was Global Head of Market Data at Barclays Capital. From 2001 to 2006 he was Global Head of Market Data for Société Générale Corporate & Investment Banking. He first worked there as Head of Supplier Management for Market Data Services. From 1993 to 2001, David worked for Morgan Stanley, first in the Fixed Income, Commodities and FX department, where he held Sales and Trading posts around Europe. He later performed in Morgan Stanley Market Data and Technology department in London. He is Executive Committee member at IPUG, COSSIOM and FISD. David earned a “Diplomkaufman” in Berlin, a “Diplome des Grandes Ecoles” degree in Paris and a “Master’s Degree” in Oxford.
Married with three children, he is a keen rugby and ice-hockey player.