RegTech Capital Markets Conference – 28 Feb 2017



Joanne Hannaford is global head of the Engineering functions supporting Operations, Compliance, Legal and HCM at Goldman Sachs. She serves on the Technology Executive Leadership Group and Firmwide Technology Risk Committee, and is global co-sponsor of the Women in Technology Network. Jo joined Goldman Sachs in 1997 in the Investment Research Division in London. Since 2001, Jo has held a number of roles across Technology in both London and New York, predominantly focusing on the build out of the firm’s global Compliance Technology and Conflicts Technology architectures. She was named managing director in 2008 and partner in 2014. Prior to joining the firm, Jo was responsible for Global Volume Trading Technology at NatWest Markets. In 2016, Jo was named as an advisor to the newly formed UK Government Digital Service advisory board


Paul North is 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.

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Raymond Hanson is a Managing Director of Credit Suisse in the Global Markets division, based in New York. He is the global technology lead for the Financial Regulation (FinReg) Program, responsible for the technology delivery of regulatory driven change across multiple regions, jurisdictions, and asset classes.    Ray is also a member of the DTCC DerivServ Technology Advisory Council.

Prior to this role, Raymond held a variety of front office technology roles at Credit Suisse in both New York and Tokyo, primarily focused on Fixed Income Trading across cash and derivatives markets.   In addition, he has served in a number of regional IT management roles, including Head of Tokyo IT.  Raymond received a bachelor’s degree magna cum laude from the University of Rochester.


Vincent Grandjean heads the product management function for Rates and Credit electronic trading in Europe and America at Santander Global Banking & Markets based in London.

During his career, Vincent has gained extensive experience  in electronic trading through his positions in Front Office eCommerce and in information technology teams.

Prior to joining Santander in November 2012, Vincent held a similar position at Société Générale and  also employed by Citigroup as head of eCommerce Rates technology after having managed an Equity low latency connectivity technology team at UBS. Vincent started his career as business consultant for PriceWaterhouseCoopers in Luxembourg.

Vincent holds a degree in Information Technology and a degree in Business Management from the University of Liège in Belgium.

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Nirvana Farhadi, Global Head, Financial Services RegTech, Risk & Regulatory Compliance Affairs

As the Global Head, Financial Services RegTech, Risk & Regulatory Compliance Affairs, for Hitachi data Systems, Nirvana is the business owner and strategic leader for Hitachi’s Financial Services RegTech business.

A thought leader and pioneer in the Financial Services RegTech sector, she is a global compliance, operations and risk expert across multiple Financial Services sectors and jurisdictions.

As the former Head of Regulatory Reporting at KPMG, she has lead the business, practice, and development for Regulatory Transaction Reporting. She has served as a lead regulatory expert across Trade, Transaction, Periodic, and Positional reporting requirement under various global regulations including, but not limited to: MiFID, MiFID2/MiFIR, EMIR, REMIT, DFA, SEC, CFTC, Hong Kong TR, Canadian TR, ASIC TR, Commodities Position Reporting, and Threshold reporting requirements. She has over 17 years of senior experience in the Financial Services industry. Most Recently, she has advised many institutions on MiFID II/MiFIR Transaction Reporting Technical Standards, and Instrument Reference Data Standards, and the Impact of Brexit, on financial services firms and their business. As an extension of her work she has been heavily involved in workshops and studies with the involvement of key market participants as well as NCA’s across Europe and the US on regulatory compliance, operations and reporting matters and finding strategic robust solutions. As a Regulatory expert in the industry, she has provided training to a broad spectrum of industry stake holders, which have included global investment banks, Asset Managers, Trading Venues, Regulators, and Members of the European Parliament. She has published various industry articles, and presented at numerous industry and client round tables and spoken at conferences in relation to her specialist area of expertise. Professional experience: Brexit implications, Compliance, Global Financial Regulations, Operations and Risk, RegTech, BD and strategic advisory. Transaction Reporting, Transaction Monitoring, Trade Reporting, UK Listing Rules, Disclosure and Transparency Rules, FSA /FCA166 Review’s, Regulations: MiFID I/II, MiFIR, AML, EMIR, CASS, TR, KYC, AIFMD, DODD FRANK, SOX, CRDIV, SMCR, MAR, FUND, COLL, COBS.


Professor Michael Mainelli FCCA FCSI FBCS is a qualified accountant, securities professional, computer specialist, and management consultant, educated at Harvard University and Trinity College Dublin, Michael gained his PhD at London School of Economics where he was also a Visiting Professor.  He began his career as a research scientist in aerospace & cartography.  His biggest technical claim to fame might be the first commercial digital map of the world.  He entered the City in 1984 ahead of Big Bang, becoming an accountancy-firm partner and later a director of Ministry of Defence research.  During a merchant banking project, he co-founded Z/Yen in 1994, the City of London’s leading think-tank, to promote societal advance through better finance and technology.  He has led Z/Yen from creating mutual distributed ledgers (aka blockchain technology) in 1995 through Taskforce 2000, Long Finance, the Global Financial Centres Index and the Global Intellectual Property Index.  He is an Alderman of the City of London, Emeritus Professor & Trustee at Gresham College, Fellow of Goodenough College, non-executive director of two listed firms and a regulator, and trustee of several charities.  He has written numerous academic papers and his third book, won the 2012 Independent Publisher Book Awards Finance, Investment & Economics Gold Prize.


Jim Bennett has over 25 years of experience in helping firms evolve and grow, Jim’s current charter is to deliver business solutions and services that address clients’ needs and help them navigate today’s complex regulatory climate and adapt to changes in the marketplace. In his role, Jim draws upon a rich background in global capital markets with a high degree of specialty within derivatives and complex structures. Most recently, he worked on the capital markets build-out in Saudi Arabia.

“Jim is a true global executive, having worked and lived abroad, managing offices in EMEA, Latin America, and the U.S.,” said Chip Register, SVP and Managing Director, Sapient Global Markets. “His proven track record in financial services and first-hand knowledge of customer issues on a global scale will be a tremendous asset to our Global Markets practice. We are delighted to have him aboard.”

Earlier in his career, Jim served as executive vice president for Countrywide Capital Markets with primary focus on its rates business, alternative investment company and the expansion of its international offices. Jim spent the first 20 years of his career in various management and executive roles at Bank of America, helping drive rates, credit, derivatives, and structured finances. Jim is also a Certified Public Accountant.


David Masters is a Director and Head of Operations Regulatory Reporting Production in London, and has 20 years’ experience in regulatory and asset management operations. He is in charge of production for MiFID and EMIR regulatory reporting, as well as involved in other non-financial regulatory reporting including Dodd-Frank, Canada, REMIT, as well as various regulatory data initiatives. David has been at SG Newedge UK Ltd (formerly Newedge UK) for over 4 years. He was previously at Goldman Sachs for over 16 years, working in Asset Management operations for 11 and more recently in Regulatory Operations for 5.5 years. David is a member of the ISDA Cross Trade Association Reporting Working Group, FIA Europe EMIR and MiFIR reporting WG, ICMA ERCC Regulatory WG and other ISDA reporting related WGs. David has a BSc Honours degree in Geology from Imperial College, London.


PJ Di Giammarino is the founder and CEO of JWG and was formerly COO IT at Barclays Capital.

Prior to setting up the independent think-tank, he co-chaired the IT Subject Group of the MiFID Joint Working Group. In this capacity he collaborated with banks, the European Commission, CESR, FSA, HM Treasury and their European counterparts.


Blythe Barber has an extensive network throughout the front, middle and back-offices of the largest FS firms and a practical knowledge of working with them to increase their client intelligence and benchmarking solutions.  An exciting and welcome addition to the fast growing team, he will build out the JWG platform, footprint and strategic partnerships to serve the global FS marketplace for regulatory change management solutions.  Prior work experience: Director at Expand Research (subsidiary of the Boston Consulting Group), Managing Principal at Capco, Senior Trader at Schneider Trading Associates.


Peter Lancos is currently the Chief of Staff for Corporate and Institutional Digital for HSBC Bank plc.  Prior to this, he held several senior positions at HSBC in both New York and London, most recently as the EMEA Markets COO, with responsibility for the day to day business in London, Paris, Germany and Dubai.  Mr. Lancos has previously worked at a variety of banks over the past 28 years, including Bank of America, Lehman Brothers and JP Morgan.


Stéphane Malrait is Managing Director and Global Head of E-Commerce for Financial Markets at ING Bank. Stéphane joined ING to lead the bank e-commerce initiatives across all financial market products and to develop on the financial market group’s cross-asset ecommerce strategy. Before joining ING in May 2015 Stephane was global head of FIC eCommerce at Societe Generale since August 2007. Previously, Stéphane has worked at JPMorgan Chase for ten years based in New-York and London, working in different roles in Global FX E-Commerce Business Management and cross asset eCommerce technology. Stephane is also a board member for several eTrading market initiatives and market associations.


Stephane has been active with the ACI since 2005, participating in ACI world congresses, meeting with global regulators and local ACI events in Europe. In October 2010 Stephane was nominated chair of the ACI FX committee. The FX committee is focussed on and comprised of FX Experts who support both the ACI Executive Board and Regional ACI’s and ensure that the views of the professional FX community are heard at the highest levels, in co-operation with other associations that have an FX. In 2015 Stephane worked with the ACI board to launch the ACI Fixed Income committee. Similar to the mission of the ACI FX Committee, the new Fixed Income committee look at changes in market structure in fixed income products (government and corporate bonds, fixed income derivative products), changes in regulation impacting the fixed income industry (UK FEMR review, MIFID II, …) and represent ACI in Fixed Income industry events.


Kevin Barry is currently Head of Investment IT and Change at Henderson Global Investors. A key responsibility of this role is to ensure successful project delivery across the Front Office, Operations and Risk which includes oversight of regulatory projects such as MIFID and EMIR. Prior to working at Henderson Kevin has occupied similar roles at a number of other Investment Managers including JPMorgan Asset Management, Citigroup Asset Management, Credit Suisse Asset Management and Merrill Lynch Investment Managers.


Mark Kelly has been working in the financial services sector in London and New York since 1990, and has occupied senior Audit and Compliance positions in Salomon Brothers, Lehman Brothers and Barclays Capital. For the past six years he has worked as a compliance auditor and consultant, advising UK firms on how to implement technology solutions which comply with regulatory requirements. He specialises in addressing the particular needs of those caught by the MiFID reporting requirements and in helping firms to meet their EMIR obligations. Mark has a BA and PhD from the University of Durham and during his career has gained professional qualifications in Internal Audit, Computer Audit and Financial Services Compliance.

Mark is the Director of Professional Services at Abide Financial Limited, who are a UK Approved Reporting Mechanism for MiFID, an RRM for Remit and offer a hub service for EMIR trade reporting, routing client transaction reports to Trade Repositories. Abide has helped dozens of financial services firms to comply with the EMIR regulations, since mandatory trade reporting began in February 2014.


Richard Bennett has over 25 years’ experience in the financial technology sector working for numerous risk specialist companies and has developed in-depth knowledge of a wide range of sectors, including investment and wholesale banking, risk management, capital markets, derivatives and trading systems.  As vice president of regulatory reporting, Richard oversees the success of Wolters Kluwer’s regulatory reporting solution and business in EMEA, identifying growth areas and shaping strategy.


Francis Gross, Senior Adviser, Directorate General Statistics, European Central Bank

Francis’ current interest lies in devising vision and strategy for finance to overcome the specific challenges of the dual disruption of rapid globalization and digitization. His focus hereby lies on the interface between the “real world” and the “data world”, primarily on reliable identification of objects. He supports the continued development of the Global LEI System (GLEIS), specifically for its future design and broad adoption.

Before joining the ECB in 2001, Francis worked for 15 years in the automotive industry, at Mercedes-Benz from 1986 to 1994, then at VDO and Rieter AG (CH). After three years in materials research, his roles focused on globalisation ventures, with a focus on Asia, JV development, M&A, post-merger integration and process development; alongside he managed a R&D centre. Francis joined the ECB as Head of the Organisational Planning Division (2001-06), then Head of the External Statistics Division (ETS), moving to his current position in late 2015. During his tenure, ETS developed the ESCB’s Centralised Securities Database (CSDB), which offers reference and price data for millions of individual securities and serves statistics and other operational processes; ETS also created the ECB’s market data function, which Francis continues supporting.

In 2006, Francis began promoting the creation of a global Reference Data Utility for financial objects (instruments and entities) as a shared, public-good strategic resource for the public and the private sector. He has been instrumental in the emergence and development of the Global LEI System and currently serves on the GLEIS’ Regulatory Oversight Committee.

An engineering graduate of Ecole Centrale des Arts et Manufactures, Paris, Francis also holds an MBA from Henley Management College, UK.


Dan Orlow, who is a dual citizen with U.S and German citizenship, has operating experience in financial technology startups including three years as Founder and CEO; investment experience in global capital markets including 15 years focused on financial technology, financial services, credit, regulation, special situations where he has developed de novo business models, teams, and portfolio risk structures. He started his career on Capitol Hill where he served on legislative and campaign staffs. Subsequent to law school he was a payments economist at the Federal Reserve Bank of New York where he published on financial technology, and developed the ESF financing desk for the Markets group.. Bar admissions: Pennsylvania, Washington, D.C. Court of Appeals, U.S. Supreme Court.

Paul Burleton (Large)

Paul Burleton, Head of Strategy, Regulatory, Risk and Compliance, GFT

Paul has over 20 years of experience in both line and change management roles in Investment Banking operations. Paul has a successful track record in finding intellectual solutions to business problems and implementing new technology to support new businesses and process change, delivering efficiencies and ensuring regulatory compliance.


David Eley is Head of Regulatory Strategy, Markets at SEB, the leading Nordic franchise in wholesale financial markets.  Based in London and Stockholm, David has over 20 years’ experience in sales, trading and syndication in the fixed income and credit markets, including several years in Japan.  He has been heavily involved in various roles in all of SEB’s regulatory programmes, with particular focus on the front office impact from EMIR, Dodd Frank and now MiFID 2.   David has a degree in law from University of London, and an MBA from Henley Management College.


Karin Verlinden works for the Capital Market Initiatives team in BNP Paribas’ CIB  IT and Operations. This team is responsible for the co-ordination of the Operations response to regulatory requirements. She represents BNP Paribas on a  number of operational industry working groups. Based in Brussels, she has more than 20 years of expertise in managing securities and heading middle and back-office for both listed and OTC derivatives. She works on regulator topics since 2010. She has a Master in Business Science, a Master in Neurolinguistics; and a Master in Roman Philology – Free University of Brussels (VUB).


Michael Richter is a director at IHS Markit, leading the Transaction Cost Analysis business for EMEA. Markit TCA is a global equity, FX and fixed income trading analysis platform for buyside and sellside firms. Prior to joining IHS Markit in 2013, Michael worked within European equities trading at Louis Capital and ICAP. Before this, he headed up the European equities execution desk at Brevan Howard after spending six years at Morgan Stanley on a multi asset class trading desk in Private Wealth Management. Michael holds an honours degree in Business Management and Economics.