JWG’s RegTech Capital Markets Conference – 7 June 2019
Andrew Bayley ¦ Director – Data and Reporting ¦ ISDA
Andrew Bayley joined ISDA in April 2018 as Director for Data and Reporting. He is involved with ISDA’s engagement in relation to EU regulatory reporting initiatives, such as EMIR, MiFID, and, more recently, post-Brexit reporting.
Prior to joining ISDA, Mr. Bayley was at Bank of America Merrill Lynch for fourteen years where he held several derivative operations roles, before working within their regulatory reporting team for five years, involved in the implementation of several global regulatory initiatives including EMIR, HKMA, MAS and ASIC.
Mr. Bayley has a degree in Cultural Studies and Literature from Staffordshire University.
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.
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.
Paul Clulow-Phillips – Managing Director Co-Global Head of MARK Compliance, Global Head of Capital Markets Surveillance – Societe Generale C&IB
Paul has led Societe Generale’s Global Surveillance program since 2016 and Co-heads the bank’s Global Markets Compliance Function. He is responsible for the teams and projects encompassing trade and communications surveillance activities, tools and infrastructure at Investment Bank and Group level, along with the development of the transformative technologies in the surveillance space.
He has over 20 years of Compliance experience working for tier 1 Investment Banks including UBS and JP Morgan and has held senior and management roles across a range of Compliance disciplines including markets and banking advisory, risk assessment, and latterly surveillance, where he led programs of work at BNP Paribas and Barclays prior to his move at Societe Generale
Nick Cook ¦ Head of RegTech & Advanced Analytics / Market Intelligence, Data and Analysis / Strategy and Competition Division ¦ FCA
Nick leads the FCA’s RegTech activities, including the FCA’s TechSprint events – the first events of their kind convened by a financial regulator. He is responsible for implementing the FCA’s Data Strategy, and reforming the way the FCA collects, governs and uses data to inform its decision-making. He is accountable for a range of data and analytics technology and change projects, and leads the FCA’s procurement of market data. Nick is the FCA’s representative on the European Securities and Markets Authority’s (ESMA) Financial Innovation Standing Committee and is an advisor to the RegTech for Regulators Accelerator Programme. Nick joined the Financial Services Authority (the FCA’s predecessor) in 2009, initially in its Enforcement and Market Oversight Division. Prior to joining the regulator, Nick qualified as a chartered accountant at KPMG Forensic.
Christian Denk ¦ Head of Division Banking Supervision Law and International Banking Supervision in the Directorate General Banking and Financial Supervision ¦ 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.
Anna De Winton ¦ Senior Manager, Reg Tech Consulting ¦ BNP Paribas
Anna is a Senior Manager in BNP Paribas’s RegTech consulting team, working on projects across the group where a regulatory challenge can be met with innovative technology. Prior to joining BNPP she held senior compliance and risk roles at Silicon Valley Bank, and at the Bank of England and Financial Services Authority. At the regulator she held a variety of policy and supervisory roles, and worked on regulatory transformation projects.
Anna has a degree in Economics from Durham University.
Michael Duffy ¦ Managing Director, C&IB ¦ Santander
Michael Duffy is an especially widely experienced Managing Director working in the Office of the Head of Santander Corporate & Investment Banking in the UK. Michael has responsibility to ensure delivery of strategic infrastructure to meet complex regulatory and commercial objectives for the Markets area.
Michael has over 25 years of rates derivatives trading experience, during which time he has created and managed high performing rates trading and sales teams.
More recently, Michael has advised and led teams working to assess, analyse and deliver compliant cutting edge solutions for MIFID II, FRTB, surveillance and conduct amongst other matters, while ensuring additional Markets business benefits..
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.
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.
Martin Gould ¦ Director – Regulatory Reform Implementation ¦ Citi
In October 2012, Martin joined Citi and is a Director in Regulatory Reform Implementation. During his time at Citi he has worked on DF CFTC, EMIR, Volcker, Canadian and FMIA. He was the principle project manager for MiFID II. He was previously at Deutsche Bank 2006-2012 as a Director in Market Initiatives. Prior to moving into the Regulatory space in 2006 Martin had a long career within Operations working at Intercapital, Bear Stearns and UBS before joining Commerzbank in 2001 as Deputy Global Head of Operations.
William Graham ¦ Director, Technology & Operations ¦ BlackRock
William Graham works for BlackRock within the Technology & Operations department leading the Regulatory Change & Control function across the EMEA region. He has held a number of roles with BlackRock across Technology, Human Resources and Operations since joining the firm in 2004 in San Francisco. He is also a member of Reg Tech Council. Prior to joining BlackRock, William worked for 2 years with Investment Security Services, LLLP in the US Virgin Islands as well as 2 years with Arthur Andersen LLP in New York.
William graduated from University of Texas at Austin with a Bachelor of Business degree in Management Information Systems in 1999. He additionally completed a Masters of Business Administration with Columbia University in 2002.
Tony Higgins ¦ Chief Technology Officer ¦ Blueprint
As CTO of Blueprint Software Systems, Tony Higgins is responsible for the strategic vision and evolution of Storyteller, Blueprint’s enterprise-level SaaS platform for regulatory compliance and scaled agile development. Over his thirty-five year career, Tony has amassed a broad base of software delivery skills and experience in contexts ranging from start-ups to global organizations. Tony is passionate about building technology that aligns teams through complex software development cycles in order to deliver high-value and compliant product releases faster, and at vastly reduced cost and exposure to risk.
Ian Hollowbread ¦ Director, CAO Enterprise Office ¦ ING
Ian is responsible for CAO Innovation, Strategy and Planning within ING Wholesale Banking UK. An accomplished Change Manager, with 15+ years’ experience across Capital Markets supporting the delivery of significant front to back technology, operational and regulatory programs. Ian has held a number of positions across the bank including Client Service, Network Management and Head of Service Management.
Ian forms part of ING-UK’s Innovation Council and is Chair of the Association of Foreign Banks RegTech Working Group. Ian is extensively involved in the development of Market Infrastructure for Post Trade processing & Regulatory Affairs. He is currently helping to develop a collaborative market pilot centre to support the validation and adoption on new RegTech and FinTech solutions.
Donna Holt ¦ Chief Operating Officer Regulatory Strategy & Business Change ¦ Credit Suisse
Accomplished Financial Services industry specialist possessing expertise of running business as usual (BAU), programmes & portfolios up to $170m P&L comprising large scale multi disciplinary teams from both a Business & IT perspective.
– Specialising in complex transformation and governance (F2B Securities & Derivatives).
– Gravitas & knowledge to influence sales/buy in to change from within and from outside an organisation.
– Proven and effective man-manager who is able to motivate and incentivise global multidisciplinary teams.
– Respected & well connected within the industry having held senior positions at many blue chip banks & consultancies: Deutsche, Goldman Sachs, Credit Suisse, UBS, ABN Amro, RBS, RBC, PwC, IBM, KPMG.
– Versatile & practical with attention to detail and strong emphasis on management of risk.
– Managed projects and programmes up to $75m.
– Industry experience gained at a senior level in Deutsche Bank and Credit Suisse.
– Consultant for 9 years at PwC and IBM following the IBM acquisition.
– Before that 7 years at NatWest – early achievements proved a strong technical competence & track record.
Specialties: F2B programme management to develop revenues and make efficiencies; Regulatory change and MI and Control Functions; Trade Reporting; Operations and IT advisory & implementation; Trade migration and systems decomissioning; Practical application of transformation and best practice in a delivery environment; Strong commercial awareness & experience of complex contract negotiation.
Richa Khandelwal ¦ Executive Director, Regulatory Operations ¦ Goldman Sachs
Richa Khandelwal is an Executive Director within the Regulatory Operations team at Goldman Sachs. Richa joined Goldman Sachs in 2015 to work on the implementation of MiFID II. Prior to Goldman Sachs, Richa held various Project and Program Manager roles across Operations, Front Office Risk and Regulation at Credit Suisse and Citi. Richa holds a Bachelor of Arts in Business Finance from Durham University and is qualified in both PMP and PRINCE II project disciplines.
Julia Kolbe ¦ Director Regulatory Affairs ¦ Deutsche Bank
Justin Lyon ¦ Founder & CEO ¦ Simudyne
Justin is a leading expert in simulation technology and artificial intelligence. Throughout his career as a serial entrepreneur he has worked on assignments for many highly reputable national institutions and companies in the US, the UK, Honduras, Kuwait, South Africa and Iraq. For more than 15 years, his work focused on helping them to understand the ways in which advanced analytics, simulation and artificial intelligence can help business, government and civic leaders to shape a better world. He has worked as a contractor for the US Department of Defence, Bank of England, Microsoft, ExxonMobil, Apple, Humana, BP, including others, and now heads up enterprise solution company, Simudyne.
Helen McCarthy ¦ Chief Compliance Officer FX Connect and Currenex MTFs and spot FX trading platforms ¦ 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.
Giles Nelson ¦ Chief Technology Officer, Financial Services ¦ MarkLogic
Giles is Chief Technology Officer for Financial Services at MarkLogic where he’s responsible for MarkLogic’s technology go-to-market in financial services worldwide. Giles has had 20 years of experience in the software and financial services industry. He was previously at Software AG where he had global responsibility for its Big Data and Streaming Analytics business. Previous to that he was at Progress Software where he was instrumental in taking its innovative financial services products global. Giles joined Progress when it acquired the event processing and Streaming Analytics vendor Apama, a company he co-founded, which acquired over 150 clients in financial services. Giles holds a PhD in Computer Science from the University of Cambridge.
Paul North ¦ Independent
Paul was Head of Product Management across the EMEA region within BNY Mellon Asset Servicing. In this role Paul has responsibility for overseeing the enhancement and development of products that support clients across the 107 countries in the EMEA region.
Prior to joining BNY Mellon in early 2006, Paul was an executive within the Investment Operations business for JP Morgan Chase Worldwide Securities Services where he took a leading role in the development of its investment operations outsourcing business infrastructure.
Paul has significant experience in the financial services industry and has held various senior positions across business development, IT, operations and project management during his career to date. Notably he spent 15 years with Accenture, three of these as Partner, charged with responsibility for several major client relationships. During his tenure at Accenture Paul worked on various IT and operational architecture, change management and outsourcing projects. He also served as a partner in the asset management group.
Paul lives in Oxfordshire and holds an honours degree in Mechanical Engineering from Imperial College of Science and Technology.
- Kumar Raju Kosuru ¦ Sanction screening and Due diligence using Virtusa’s Open Innovation Platform (OIP), AD, Capital Markets ¦ Virtusa
Kumar is leading the AI-based innovation and digital transformation solution development for Capital Markets at Virtusa. His focus is on building the next generation banking solutions in partnership with innovative fintechs and global technology companies. Kumar brings in over 15 years of in depth experience in technology and financial services domain. In his previous roles he worked as a global lead for the regulatory programs at Goldman Sachs and UBS
Samantha Sheen ¦ Director ¦ Ex Ante Advisory Services Limited
Sam is a financial crime prevention professional with over 15 years of practical experience in compliance. Sam holds a number of qualifications and is recognised as a subject matter expert in the field of financial crime. Sam’s previous work experience includes working as MLRO, Data Protection Officer and CCO and Group Head of AML for various financial institutions, both offshore and in Europe. Sam also worked offshore for several years as the first legal counsel to the financial regulator in Guernsey and subsequently set up the financial crime division, overseeing the examination of a variety of financial institutions. She continues to maintain ongoing engagement with other regulators on financial crime matters. Sam has extensive training experience in the field of financial crime prevention and corporate governance matters. She has most recently been involved in projects related to FenTech businesses, the use of RegTech to mitigate financial crime and list management relating to the screening of customers and third parties. Sam most recently worked with ACAMS Europe as its AML Director. Sam is recognised by ACAMS as a subject matter expert in sanctions and has co-authored a number of online certificate courses, facilitated working groups on 4/5AMLD in Europe and assistance in the development of white papers. Originally from Montreal, Quebec Canada, Sam holds a Bachelors of Public Administration, Law Degree, qualified as a barrister and solicitor and holds her Masters in Business, specialising in risk management.
Paul Taylor ¦ Senior Director ¦ Digital Reasoning
Paul is a Senior Director at Digital Reasoning and is an expert on the implementation of its Conduct Surveillance solution for eComms and aComms monitoring. Working closely with the Financial Services prospects and customers, he focuses on deployment architecture to ensure value is gained from the machine learning and NLP capabilities of the product as efficiently and effectively as possible.
In his previous role at UBS as CTO for Legal and Compliance, he delivered many FinTech and RegTech technologies, encompassing big data platforms, analytics capabilities and artificial intelligence solutions.
Previous to this he worked in enterprise organisations and tech companies across multiple industries, with focus throughout his career on unstructured data. He’s also lead guitarist in a rock covers band.
Peter Thomas ¦ Senior Manager ¦ PRA Data Innovation
An experienced senior manager, data specialist and financial analyst who has worked in central banking,financial regulation and politics.
Mukund Umalkar¦ Innovation Director (London Lab) ¦ Commonwealth Bank
Mukund is Innovation Director of Commonwealth Bank of Australia’s London Innovation Lab, which focuses on RegTech and Digital/Open Banking opportunities.
As head of the Lab, Mukund works with innovative start-ups and scale-ups to solve for the most complex challenges faced by Commonwealth Bank, its clients and customers. Mukund is passionate about creating value through partnerships – including in areas such as regulatory change management, know your customer (KYC) and anti-money laundering (AML) processes.
He co-created the industry-first RegTech collaboration model with ING, jointly testing innovative solutions in market while sharing skills, resources, costs and learnings. In addition to driving the RegTech agenda, Mukund also helps shape Commonwealth Bank’s digital strategy by sharing unique insights from the advanced UK/EU Fintech ecosystem.
Mukund has over 12 years’ experience driving digital initiatives at large organisations. Recognised as an industry leader for his expertise on topics ranging from innovation strategy and start-up partnerships to RegTech, he often represents Commonwealth Bank at conferences and forums catering to the wider UK and European Fintech ecosystem.
Prior to joining Commonwealth Bank, Mukund worked for nine years with Accenture UK. During this time he delivered large scale digital transformation initiatives, published thought leadership for the c-suite focused on innovation and emerging technologies, and supported a number of emerging technology projects such as real-time operational IoT analytics.
Eric Wu ¦ Head of Compliance Tech ¦ Revolut
Eric joined Revolut in 2015 as the second person in a two-person compliance team. He has seen Revolut grow from 50,000 customers to over 4 million, and has worked as an operations analyst, a data scientist, a product owner, and today, as a department head. Revolut currently employs over 300 individuals in financial crime, whether it’s in engineering, product development or in customer-facing roles.