JWG’s RegTech Capital Markets Conference – 7 March 2018
Ruth Wandhöfer, Managing Director / Global Head of Regulatory & Market Strategy – Citi
Ruth Wandhöfer is a regulatory and FinTech expert in the financial services space and one of the foremost authorities on banking regulatory matters. Ruth’s key responsibilities include driving regulatory and industry dialogue and developing product and market strategy in line with the evolving regulatory and innovation landscape.
Ruth chairs a number of influential industry bodies such as the Global Public Policy and Regulatory Affairs Committee of BAFT, the European Banking Federation Payments Regulatory Expert Group and the European Payments Council (EPC) Payment Security Group. She is also a board member of the EPC and the EBA Association, a member of the European Commission Payment Systems Market Expert Group (PSMEG), a member of BAFT’s Global Innovation Council, a member of the European Biometrics Advisory Council and a member of the UK Bank of England RTGS renewal board.
She is a non-executive director at Pendo Systems, a US data analytics company. She is also member of the advisory board of Coinfirm, a blockchain AML and risk analytics firm and she sits on the advisory board of B2C2, a cryptocurrency market maker.
In her spare time she pursues a PhD on blockchain/distributed ledger technology in relation to financial market infrastructures at CASS Business School London. She is a founding member of the Global Blockchain Business Alliance, a Fintech Fellow and lecturer of the Centre for Global Finance and Technology at the Imperial College Business School London and a fellow lecturer at Queen Mary London School of Law.
Ruth was named as one of 2010s ‘Rising Stars’ by Financial News; named in Management Today’s 2011 ‘35 Women under 35’ list of women to watch (Sunday Times), and one of the 100 Most Influential People in Finance 2012 as named by Treasury Risk Magazine. In 2015 she was the recipient of the ‘Women in Banking and Finance Award for Achievement’ and in 2016 and 2017 she was named on the global ‘Women in Fintech Powerlist’ of Innovate Finance.
She speaks five languages (EN, DE, F, ES, IT) and has completed studies in various countries, including an MA Financial Economics (UK), an MA International Politics (FR) and an LLM in International Economic Law (UK). She published two books: “EU Payments Integration – the tale of SEPA, PSD and other Milestones along the Road” (2010) and “Transaction Banking and the Impact of Regulatory Change: Basel III and other challenges for the global economy” (2014), both Palgrave MacMillan.
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.
Paul North, Head of Product Management EMEA – BNY Mellon
Paul 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.
Raymond Hanson, Managing Director, Global IT Program Lead for OTC Derivatives Regulatory Reform – Credit Suisse
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.
Oliver Burrows, Chief Data Officer and Head of Data and Statistics Division – Bank of England
Oliver began his career at the Bank of England as an economist in 2002. He worked in a variety of economic policy roles and separately spent three years in a macro hedge fund. He moved across to manage the Data and Statistics Division of the Bank in 2016 and became the Bank’s second Chief Data Officer in 2017. His responsibilities span the production of the Bank’s statistical datasets, quality assurance of regulatory data, internal data governance and planning for the Bank’s future data needs, covering both data collected from firms and internal analytical capability.
Kevin Taylor, Managing Director, Head of Compliance Europe & Asia-Pacific – TD Securities Limited
Kevin has over 25 years gaining in the financial services industry working for the City regulator, investment banking and broking sectors. His experience includes running compliance teams responsible for advisory and monitoring functions across all asset classes and client types. He is currently registered as SMF 3 and SMF16, CF1 and CF10. His knowledge has been applied through his external work with RegTech forums and Councils where he has shared his industry experiences to help identify and promote use of technology and its use in Compliance. Kevin is also a frequent speaker at conferences particular in respect of market abuse related topics.
Alan Blanchard, Handbook Publisher / Policy / Strategy and Competition – FCA
Alan joined the FCA in 2014 having spent 15 years in legal and regulatory publishing. Responsible for publishing the FCA’s Handbook, he has launched a new Handbook website and introduced topic-based searching and navigation with the aim of making the content more user-focussed. He is now looking forward to developing machine-executable rules and continues to explore different technologies to enhance the production and consumption of FCA rules.
Carlos Muniz-Morrell, Managing Director, Head of FI eCommerce – Santander
Carlos has over 13 years of experience working in the Financial Industry (London and Madrid). After more than 4 years as a Structured Credit Trading at BOA-ML (London) he moved to Santander (Spain) to lead the Structured Credit initiative for 2 years, then over a 1 year as a Business Manager in Global Markets, and the last 5 and a half years as Head of FI eCommerce (eSales & Product Management). While in his last position, he began by expanding the FI franchise in Europe, later on focused on the electronic offering in NY (USD Products) and finally made a big push in local EM. During his last 2 years he has expanded his role, including a newly created FI Flow Sales team and some regulatory responsibilities. Carlos’ background includes a deep product knowledge in FI, combined with a strong programme and stakeholder management (from his early days as a business consultant in PwC). Carlos holds a MS in Mechanical Engineering (ICAI, Spain) and a Master in Finance (FI, Derivatives & Financial Engineering) from London Business School.
Tim Dudley, Managing Director in Technology & Operations – BlackRock
Tim has been involved in regulatory reporting for the last 5 years, including shareholding / transparency reporting, MIFID, EMIR and Solvency 2 reporting.
Mr Dudley qualified as an Accountant at Ernst & Young in 1993, and then worked for Hiscox plc, part of Lloyd’s of London, performing financial accounting and corporate finance work. Afterwards he co- ran JP Morgan’s middle office for Credit Derivatives, then in 2001 moved to Bank of America to run middle office for credit and structured products. In 2006 he joined Barclays Global Investors as head of Derivatives Control / Product Control. Upon merging with BlackRock, he ran the EMEA Portfolio Analytics team, part of BlackRock Solutions, as well as chairing BlackRock’s EMEA Pricing Committee, before moving to his current regulatory role.
Mr Dudley earned a BA degree in Geography at St Edmund Hall, Oxford University in 1986
Stéphane Malrait, Managing Director and Global Head of E-Commerce for Financial Markets – ING Bank
Stéphane 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.
François Laurent, Deputy Director General – European Central Bank
François Laurent works at the European Central Bank (ECB), in the Market Infrastructure and Payment Department, where one of his activities is to deal with data management and standardisation. He held previously senior manager positions in different departments on the bank, notably in IT.
Prior to working at the ECB, François worked as an IT manager in different central bank institutions (Banque de France, BIS, European Monetary Institute).
François represents the ECB in various standardisation organisations, including ISO and the LEI-ROC. Furthermore, he co-chairs the “Frankfurt Group”, an informal think tank collecting representatives of European supervisory authorities, the European Commission and selected representatives of the banking industry and of standard-setting bodies, and aiming at exploring and promoting the use of data standards in financial reporting and in the financial industry. He also currently co-chairs a working group of the Financial Stability Board (FSB) that is establishing the governance framework for new identifiers in the field of OTC derivatives, the Unique Transaction Identifier (UTI) and the Unique product Identifier (UPI).
Stamos Fokianos, Managing Director, Global Head of eBusiness – Crédit Agricole Corporate & Investment Bank
Stamos is Crédit Agricole CIB‘s Global Head of e-Business, based in London. Prior to joining Crédit Agricole CIB in 2014, Stamos was Global Head of FIC e-commerce with Royal Bank of Canada Capital Markets. Stamos originally joined RBC as Global Head of e-FX Trading before taking the FIC role in April 2012. Prior to this he worked at Standard Chartered for 3 years as Global Product Manager and Global Head of e-channels. His career spans 20 years in the Capital Markets industry, and he has held various positions at RBS, Citi and Swift.
Karla K. McKenna, Head of Standards – GLEIF
Karla McKenna is an international standards specialist in the area of financial services. Ms. McKenna is director of Market Practice and Standards at Citi and in this role drives development and adoption of financial services standards for Citi’s Securities businesses. Since May 2015, Ms. McKenna also has been seconded to the Global Legal Entity Identifier Foundation (GLEIF) as the Head of Standards for the GLEIF. In this role, Ms. McKenna is responsible for facilitating the development and implementation of GLEIF standards and leveraging international standards from organizations such as the International Organization for Standardization (ISO) to maximize data quality and the operational integrity of the Global LEI System (GLEIS).
Within the industry, Ms. McKenna is Chair of the International Organization for Standardization Technical Committee 68 (ISO/TC 68), Financial services, Chair of the Securities Market Practice Group (SMPG), serves on the Board and Executive Committee of Accredited Standards Committee X9 (ASC X9) and recently has been chosen as a member of the inaugural Board of the Eurofiling Foundation. Ms. McKenna also has served on the Boards of the International Securities Association for Institutional Trade Communication (ISITC) and XBRL International.
David Masters, Referential Data Co-ordinator – Societe Generale
David Masters is a Director at Societe Generale, working in the Operations Regulatory Reporting Team as the Referential Data Co-ordinator, and has over 22 years’ experience in regulatory and asset management operations. Involved as an SME in MiFIR and EMIR regulatory reporting and other non-financial regulatory reporting including Dodd-Frank, Canada, REMIT, as well as new regulations such as SFTR. Current role is also focused on various regulatory referential data initiatives such as counterparty and product referential data – always looking at opportunities to improve the data quality and ensuring that there are good controls and governance in place.
David has been at Societe Generale Investment Bank London (formerly Newedge UK) for over 6 years. He was previously at Goldman Sachs for over 16.5 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, ICMA ERCC Operations WG and SFTR WG, FIA Europe EMIR and MiFIR reporting WGs and other ISDA reporting related WGs. David has a BSc Honours degree in Geology from Imperial College, London.
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.
PJ Di Giammarino, Founder and CEO – JWG
A pioneering entrepreneur with a global network of senior bankers, regulators and technologists, PJ Di Giammarino is a frequent author and, for the last two decades, has been an international public speaker on the role of new technology within the financial services infrastructure.
He has over a decade of experience bringing together the industry’s leading technologists, policy makers and market leaders to solve global challenges via collaborative working groups. PJ is currently the driving force for progressive change behind the MiFID Implementation Group and a wide range of regtech forums.
Based in Europe for 20 years and London for 15, he has served as founder and CEO of JWG Group, a think-tank based in London, which is recognised globally by regulators, financial institutions and technology firms since 2006. Here, his team of independent analysts help senior executives within the public and private sectors determine how regulations can be implemented in the right way.
He is an active member of the International Organisation for Standardization, through the ISO UK committee for financial services, IST/12, and serves as the Secretary for the Fintech Technical Advisory Group. In addition to his standards and JWG roles PJ servers as Chariman of the Committee to establish the RegTech Council.
Dawd Haque, Global lead for Regulatory Market Initiatives, Transformation & Strategy – Deutsche Bank
I am the global lead of Regulatory Market Initiatives at Deutsche Bank. I represent Deutsche Bank on several Trade Association Committees and Working Groups as well as Regulatory Market Infrastructure and third party vendor committees. I also represent the Industry at supra national regulatory forums such as the Financial Stability Board and CPMI IOSCO looking at global regulatory reporting harmonisation and standardisation.
I scan the horizon looking at new regulatory obligations Deutsche Bank will be impacted by and assess that impact. Through the regulatory lifecycle I work with Trade Associations, Market Infrastructure and our peers to advocate with the Competent Authority to minimise the negative impact on the industry. I work with internal and external stakeholders to build regulatory solutions such as Industry Best Practices, creation of new Utilities & the fostering of innovative Technology to meet our collective obligations. In that capacity I am working with JWG and the RegTech council on the European Commission review of European Regulatory Reporting regimes and a Financial Conduct Authority initiative on Reengineering of Regulatory Reporting.
Prior to joining Deutsche Bank I have worked at Barclays, Bank of America, Goldman Sachs, Northern Rock and BNP Paribas on the implementation of Regulatory obligations in particular as they impact the Front and Middle Office. Before that I worked in various Front Office and Middle Office roles at Royal Bank of Scotland, Barclays, Deutsche Bank, JP Morgan, Standard Chartered Bank, UBS and the EBRD.
Mark Whitcroft, Founding Partner – Illuminate Financial Management
Mark Whitcroft is a Founding Partner at Illuminate Financial Management, a London-based venture capital firm exclusively focused on financial markets technology investments globally. Prior to Illuminate, Mark was an EIR at StartUpBootCamp FinTech London, on the Industry Advisory Board of ValueStream Labs and attached to the FinTech Innovation Lab in New York via Deutsche Bank. Mark spent twelve years in various senior fixed income markets roles at Deutsche Bank and HSBC based in London, Hong Kong, Singapore and New York. He has been an early stage fintech investor since 2010 and is on the Board of Directors of Illuminate portfolio companies ChartIQ, Privitar, AxeTrading and TransFICC.
Nicholas Wise, Domain Architect Communication Surveillance – Deutsche Bank
Nick has over 10 years of experience within the surveillance space, holding senior IT positions within a number of global banks including Standard Bank, HSBC and Deutsche Bank. He has experience of developing custom AML and Market Abuse surveillance systems from scratch, as well as working with a number of large vendors to implement solutions e.g. Actimize, Attivio and CA DataMinder.
Nirvana Farhadi, Global Head, Financial Services RegTech, Risk & Regulatory Compliance Affairs – Hitachi Vantara
As the Global Head, Financial Services RegTech, Risk & Regulatory Compliance Affairs, for Hitachi, 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 FS sector Regs 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 20 years of senior experience in the Financial Services industry. Between 2014-2015 she was appointed as the lead expert to a European Regulatory body on the MiFID II/MiFIR Transaction Reporting Technical Standards, and Instrument Reference Data Standard, as well as writing the approach for their consultation paper. As well as advising on the impacts above she has helped firms with the effect of Brexit on their business. Heavily involved in industry working groups with studies with the involvement of key market participants as well as NCA’s across Europe and the US on regulatory compliance, operations and risk and audit matters, provides training to a broad spectrum of industry stake holders, including global investment banks, Asset Managers, Trading Venues, Regulators, and Members of the European Parliament. She has published various industry articles, co-authored the upcoming RegTech book, presents at numerous industry and client round tables & spoken at high profile conferences in relation to her specialist area of expertise. Nirvana is also a Founding Member, of the Committee to Establish the RegTech Council and a lead expert on multiple industry working groups across Regulation, Cyber security and Blockchain.
Magnus Almqvist, Head of Technology Sales – Aquis Technologies
Magnus leads the sales of Aquis’ technology arm covering matching engine and market surveillance software. Previously, Magnus spent 4 years as a senior business development manager at FIS (SunGard) and prior to that five years heading up Smarts Group’s (part of NASDAQ OMX) London office. Swedish- born Magnus holds a masters’ degree in electrical engineering from Stockholm’s Royal Institute of Technology and has extensive knowledge and experience in both the market surveillance technology and matching engine space.
Neil McKenna, Policy Management Programme Lead – Barclays
Neil McKenna is a hugely experienced programme manager having worked for Barclays for over 20years. He has;
• Insourced and Outsourced core services to and from major blue-chip firms
• In-shored & off-shored major processing activities to Glasgow, India and Lithuania
• Delivered a major technology programme for the UK Retail Online Banking platform
• Managed the Barclays Financial operations centre with major UK insurers
• Last year he delivered Barclays global ClauseMatch document management implementation
He is AAT qualified and an active member of the Reg Tech Forum and the Reg Tech Council. A keen collaborator with Barclays RISE innovation, he works with many start-ups on helping them shape their business propositions to help address the challenges facing big firms. He is currently leading the Barclays FCA sandbox project which is experimenting with automated semantic code into their regulatory framework.
Neil is married with two grown-up children, studying History and Aerospace Engineering respectively plus the family Labrador. He is an active golfer (handicap 18), organises frequent golf society days and enjoys many family holidays. His wife works for Thomas Cook by the way and Florida is their favourite destination. An active lifestyle has seen him run the London Marathon on three occasions (4hrs 20mins was his best time), twice for the Make A Wish foundation and once for DeafBlind. He raised over £6,500 for these events as well as numerous other fundraising activities.
Stephan Niermann, Senior Compliance Executive
Stephan Niermann is a senior Compliance Executive. He has an extensive experience in a wide range of compliance related issues including implementing and advising on innovative best in class Compliance Management Systems with focus on effectiveness and efficiency, also taking into account latest technological developments. During his tenure, he implemented successfully various Compliance initiatives, e.g. MiFID and an AML transaction monitoring system. Stephan is contributing to international RegTech initiatives in the UK and in Germany. He is member of the Steering Committee of the Securities Houses Compliance Officers Group (SHCOG) and member of the organisation committee of The European Compliance Conference (TECC). Furthermore, he is an author of articles and is active as a speaker at international and national conferences.
In his professional career, he was Deputy Compliance Officer of Commerzbank group during the last 6 years and in parallel Chief Compliance Officer for the Hypothekenbank Frankfurt AG. From December 2014 until November 2016 he has been heading up Commerzbank’s regional Compliance departments in the UK and Asia. Previously Stephan held different managing positions (also as Chief Compliance Officer) in Compliance at former WestLB group.
Stephan is a lawyer and qualified banker and received a PhD degree magna cum laude in money laundering prevention in modern payment systems.
Andrew Green, Head of Europe and Global Business Development – RegTek.Solutions
Andrew Green is a derivatives professional with 20 years’ experience across financial regulations, operations, middle office and program management. Prior to joining RegTek Solutions, Green was at DTCC , where he lead the development and delivery of the Equity Derivatives Trade Repository. Then he created and lead the Global Account Management and Sales teams for DTCC’s derivatives and repository services.
Fiona Hamilton, Vice President Europe and Asia – Volante Technologies
Fiona has been working in Financial Services IT for the past 32 years, all but two of which have been focused on the implementation of message and API based integration projects. She has delivered solutions based on SWIFT, ISO 20022, CREST, FpML, FIX and many other standards in Wholesale and Investment Banking in addition to Buy side institutions in more than 30 countries. Fiona has held board level roles covering responsibility for Customer Services, Professional Services, Pre-Sales, Custom Development, Quality and General Operations whilst maintaining a “hands on” working knowledge of the ever evolving standards and regulatory landscape.
Jeff Bandman, Principal – Bandman Advisors
Jeff Bandman is Founder and Principal of Bandman Advisors, an advisory practice helping clients ranging from start-ups to global firms meet strategic innovation and regulatory challenges. He is a research fellow of the Blockchain for Algorithmic Regulation and Compliance (BARAC) initiative at University College London’s Centre for Blockchain Technologies, serves on the Board of Advisors of Templum LLC, and acts as FinTech regulation mentor for the Techstars Barclays FinTech Accelerator program.
Previously, Jeff was a senior official at the U.S. Commodity Futures Trading Commission from 2014-2017. As FinTech Advisor to Chairman J. Christopher Giancarlo, he was Founding Director and architect of LabCFTC, the CFTC’s hub for engagement with FinTech innovation (the first launched by a U.S. market regulator). Jeff led FinTech and RegTech coordination with domestic and international regulators, and led an international regulator workstream on post-trade digital innovation. He established and chaired the CFTC blockchain, virtual currencies and FinTech staff working group from inception in 2015. Jeff previously led the CFTC’s Division of Clearing and Risk, which oversees many of the world’s largest clearinghouses (CCPs). He led the negotiations resulting in “Clearinghouse Equivalence” with the European Commission. He joined the CFTC as Special Counsel to Chairman Timothy Massad, and also led the CFTC’s Office of International Affairs.
Jeff worked for many years in the financial industry in New York and London. As Head of Partnerships & Alliances of LCH’s SwapClear, he helped design and launch the SwapClear “FCM service” for clearing interest rate swaps through US intermediaries. He also devised the innovative CCP Squared partnership program and led the award-winning SMART margin simulator. Jeff earlier worked on a variety of new market structure and FinTech initiatives, including LiquidityHub and the Project Rainbow consortium. Before that he rebuilt Cantor Fitzgerald’s market data business after the events of September 11. Mr. Bandman started his career as an associate at Cravath, Swaine & Moore in New York, and was Americas General Counsel for Prebon Yamane, now part of the ICAP group.
He graduated from Yale magna cum laude, with honors in History and English, and from Stanford Law School, with honors as a member of the “Order of the Coif”. He is a five-time Jeopardy! Champion and spent his winnings backpacking around Africa, Asia and Europe.
Samantha Sheen, AML Director – Europe ACAMS
Samantha Sheen is an anti-financial crime risk professional. Before joining ACAMS in 2016 as its AML Director for Europe, Samantha worked for a global bank based in Milan, Italy as its Group Head of AML and a global insurer, as its Group Head of AML and was responsible for enhancing their financial crime measures across offices in three continents. In 2010 she joined the Guernsey Financial Services Commission as its first legal counsel, and was subsequently appointed the inaugural director of their Financial Crime Division. Prior to this, Samantha worked as compliance officer and MLRO for a Guernsey fund administration company and trust and corporate services provider. Samantha worked as legal counsel for various financial companies both in Canada and Australia. Sheen holds a bachelor’s degree in public administration, an LLB and a master’s degree in business, specialising in risk management. Samantha is chair of the RegTech Council Working Group, spearheading the development of standards relating to the use of RegTech technology for KYC/CDD activities in the financial services sector.
Adriana Ennab, Director Public Policy – Credit Suisse Europe and UK
Adriana specializes in financial regulatory policy issues affecting the Digital and Innovative agendas, PSD2, Cyber, Data protection, taxation, Securitisation and shadow banking reforms. Prior to joining Credit Suisse, Ms. Ennab’ s career spanned repo trading, marketing and product management for Merrill Lynch, Tradition Government Securities and Goldman Sachs in Asia, London and New York. She has also run various private ventures in Asia and London.
Ms. Ennab holds a BS in Management and Marketing from New York University and an MBA from Fordham School of Business Management.
Simon Ellis, EMEA Sales Director – TickSmith
A seasoned business executive and entrepreneur who is applying his 20 years of experience in Fintech and Alternative Data to TickSmith, a company that specializes in financial Big Data applications that do away with capacity issues. Described as a “financial data lake platform for Capital Markets”, TickSmith’s flagship platform, TickVault is disrupting financial data management practices by providing untold new opportunities to exploit financial data. TickSmith’s platform provides specific solutions to participants in the brokerage and trading ecosystem, from exchanges to financial institutions, hedge funds, custodians, vendors, and regulators.
Jean-Philippe Minet, Executive Director – UBS
JP has overseen UBS MTF since its launch in Nov 2010, building its trading infrastructure, surveillance and memberships. He successfully implemented significant Surveillance requirements changes such as MAR and MiFID II.
Before this position, JP held positions in various Trading Venues such as Liquidnet, Euro Millennium, SIX Swiss Exchange, London Stock Exchange and NASDAQ Europe. Surveillance and Monitoring has always been part of his responsibilities.
Chris Atkinson, Solutions Architect | Financial Services – MarkLogic
Working across the financial services sector in Europe Chris helps clients integrate data across multiple operational boundaries. Ultimately his ambition is to help his clients achieve real business insight, while also satisfying the toughest regulatory demands. He has spent much of the last 2 years delivering MiFID II and latterly euGDPR solutions, and so has real experience at the coal face in delivering breakthrough solutions.
Puja Agrawal, Vice President & General Manager, Financial Markets Compliance Line of Business – NICE Actimize
Puja Agrawal leads NICE Actimize’s Financial Markets Compliance Line of Business and is responsible for leading the LoB’s vision, strategy, product innovation, R&D, go-to-market and client relationship management. Ms. Agrawal is a veteran in enterprise software with over a decade of experience in compliance, working with the largest financial institutions around the globe. She has built deep expertise in Data, Analytics, Financial Services and Global Regulations. Previously, Ms. Agrawal held the positions of Managing Director of Compliance and Strategic Accounts Management where she played an instrumental role in NICE Actimize’s growth. Prior to NICE, Ms. Agrawal specialized in Information Management, Business Intelligence, and Data Warehousing at start-ups and large enterprise software firms.
Nigel Woodward, Volante Advisory Director – Volante
Nigel began his career in financial services in 1979 in the International Division of Midland Bank working in correspondent banking, corporate and trade finance.
In the mid 1980’s he moved from banking to the IT industry aligning technology innovation with the market’s business drivers. Nigel has worked in senior market facing roles for a number of the major technology corporations which have shaped the industry as we know it today – including GE, DEC, Reuters, Informix, SUN Microsystems where he led Capital Markets and as worldwide lead in financial services for Intel Corporation where he worked with JWG-IT to focus on the technology responses to MiFID 1. Since 2010 Nigel has freelanced, supporting a number of firms in their alignment to today’s market drivers.
Nigel has gained a worldwide reputation for applying the technology market to the financial industry’s market structure – in particular positioning the enabling and disruptive elements which make up innovation.
Tom Dunbar, International Standards Manager – New Payment System Operator
Tom is International Standards Manager at the New Payment System Operator (NPSO), with responsibilities for management of the UK payments industry’s strategic engagement and development of international standards. Recently, he had led and is driving an activity to develop an ISO International Standard for APIs, with support from over 20 other countries. In addition to various other external engagements, Tom has been involved in pan-European PSD2 implementation, is the ISO 20022 RMG Secretary, and the UK Expert to the ISO Fintech Technical Advisory Group. He started his career in the UK Houses of Parliament.
Phil Sturmer, Director – Synechron Business Consulting
Director of Synechron Consulting in London with 25 years of experience in Financial Markets across both buy and sell side with a focus on Operations, Clearing and Settlement, Treasury and Liquidity Management, and Regulatory change; including developing and delivering KYC/AML/Sanctions process and strategy, and has experience of regulatory attestation. Phil’s more recent career has seen him develop a wealth of experience in delivering digital strategy reviews, digital process reengineering and new technology innovation across Client Life-Cycle Management and Customer Experience in general; and is responsible for a number of Synechron’s innovation partnerships globally.
Francis Gross, Senior Adviser – European Central Bank
Francis Gross is Senior Adviser in the Directorate General Statistics of the European Central Bank. His interests include developing vision and strategy for overcoming the dual disruption of rapid globalization and digitization, as well as designing and driving the implementation of concrete, feasible measures with transformational power. His focus is on the “real world – data world” interface, primarily object identification. He serves on the Regulatory Oversight Committee of the Global LEI System (GLEIS) and has been instrumental in the emergence and development of the GLEIS. Prior to the ECB, Francis spent fifteen years in the automotive industry, eight of which at Mercedes, working mainly on globalisation, strategic alliances and business development. He holds an engineering degree from École Centrale des Arts et Manufactures, Paris, and an MBA from Henley Management College, UK
Elliot Burgess, Head of Accounts and Client Services – JWG
As Head of Accounts and Client Services at JWG, Elliot is responsible for the continual growth and development of JWG’s award winning regulatory change management platform, RegDelta. He and his team specialise in the integration of RegDelta with JWG’s global client base, as well as working with firms and vendors to create RegTech solutions to address complex regulatory problems. He holds a Master’s degree in Global Media Communications from the University of Melbourne, Australia and joined JWG in 2013.
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.
Mark Sweeting, Director, Head of Strategic Change, Basel Measurement and Reporting – Credit Suisse
Mark Sweeting is responsible for the delivery of strategic change in relation to regulatory capital reporting at Credit Suisse. He is an ACA with fifteen years’ experience at Deutsche Bank, Royal Bank of Scotland and Credit Suisse, across a range of roles in the front and back office including Finance, Credit Portfolio Management and Credit Risk Management. He has also spent time as a CFO in the Charities Sector.
Malcolm Wright, Chief Compliance Officer – Revolut
Malcolm Wright is Chief Compliance Officer at Revolut, a leading UK FinTech offering a pre-paid debit card, currency exchange, cryptocurrency exchange and peer-to-peer payments. He previously worked as Global Head of AML and Fraud Transaction Monitoring at Thomson Reuters, and holds the ICA International Diploma in AML. Malcolm sits on Research Advisory Committee of the Future of Financial Intelligence Sharing programme as well as the UK RegTech Council.
Paul Clulow-Phillips, Global Head of Surveillance – Societe Generale
Paul Clulow-Phillips is Global Head of Surveillance at Societe Generale responsible for oversight of the Group’s Trading and Communications Surveillance activities. Paul has spent over 20 years working in Compliance Management, Surveillance and advisory roles in the Investment Banking space.
Steve Burman, Managing Director, Global Head of Compliance Operations & Frameworks – Barclays