JWG’s RegTech Capital Markets Conference – 7 February 2020
Richard Bain ¦ Vice President¦ State Street
An experienced business development and compliance professional within financial services and markets. Leads State Streets Ethics Control Room which is responsible for global employee conflict surveillance and conduct investigations. In addition, provides SLOD advisory services to State Street stakeholders in the areas of market misconduct and inside information risk management. A member of the Chartered Banker Institute and currently studying the Chartered Banker MBA
Gordon Chapple ¦ Manager ¦ FCA, RegTech
At the Financial Conduct Authority, Gordon is responsible for managing the team that delivers the FCA’s RegTech strategy, approach and work-programme as part of the RegTech & Advanced Analytics Department. Gordon has a Masters in Corporate Governance and International Ethics, and his career has spanned a variety of sectors in both New Zealand and the United Kingdom.
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
Paul Comerford ¦Principal Technology Adviser¦ ICO
Paul is currently developing new guidance, which will help organisations leverage anonymisation, pseudonymisation and other Privacy Enhancing Technologies to help facilitate data sharing. Paul previously worked in academia as a Computer Networks and Cyber security lecturer at various universities, actively researching in the area of cyber security. In academia, and through speaking engagements, he has also worked to communicate security concepts to a variety of audiences.
Dario Crispini ¦ CEO ¦ Kaizen reporting
Dario is one of the foremost experts on regulatory reporting in the financial services industry. He founded Kaizen in 2013 following nearly 20 years specialising in regulatory reporting including as a regulator, a consultant and directly within the industry. After training as an auditor and working in compliance at Deloitte, Dario spent ten years at the Financial Services Authority where he led the Transaction Monitoring Unit (TMU). He managed the transition to MiFID reporting in 2007 and remodelled the TMU’s approach to its industry interaction. In 2010, Dario became Director of Legal and Compliance in the UK’s first retail exchange, LMAX, before joining the compliance team at Barclays where he had advisory responsibility for transaction and EMIR reporting.
Ted Datta ¦ Director – Governance, Risk and Compliance Solutions ¦ Bureau van Dijk
Ted joined Bureau van Dijk in 2010. He holds a degree in Law from the University of Nottingham.
Ted has specific expertise in helping organisations streamline their third party due-diligence, on-boarding and risk management processes. He is a regular contributor to Europe’s leading procurement, anti-corruption, anti-bribery, legal and compliance forums. Ted also provides ongoing market feedback to ensure Bureau van Dijk’s product development strategy meets the evolving needs of today’s risk management professionals. Ted recently achieved KYC / CDD certification through ACAMS.
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.
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.
Lee Garf ¦ General Manager ¦ NICE Actimize Financial Markets Compliance
Lee Garf leads the NICE Actimize Financial Markets Compliance Line of Business, and is responsible for the award winning Holistic Trade Compliance solution suite, which combines communications capture, trade and communication surveillance capabilities. Mr. Garf oversees product strategy, product marketing, product delivery, go-to-market planning across all NICE Compliance solutions. As the leader of this business, Mr. Garf is responsible for growing our market-leading position and ensuring continuous innovation to meet the needs of financial firms around the world. Just prior to joining NICE, Mr. Garf was Executive Vice President, Product, at Charles River Development (CRD). Mr. Garf holds a B.S. in Mechanical Engineering from Cornell University and an MBA from Northeastern University.
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.
Dr. Richard L. Harmon ¦ Managing Director and Co-Head of Financial Services ¦ Cloudera
Dr. Harmon is co-head of Cloudera’s Financial Services Industry vertical and is responsible for helping to drive the growth of Cloudera’s Financial Services business globally. He joined Cloudera in May, 2016 and has over 25 years of experience in Capital Markets with specializations in Risk Management, Advance Analytics, Financial Stability Analysis and Fixed Income Research.
He started his post-academic career at the Federal Reserve Bank of New York followed by leading fixed income and mortgage research teams at Citibank, Bankers Trust, JP Morgan and Bank of America.
He is the co-founder of a GMAC funded Risk Management & Analytics start-up called Risk Monitors which was acquired by BlackRock, where he was an MD & Partner in the Risk Management Group. Richard left Blackrock to start and manage the North American business for Norkom Technologies which was later sold to BAE systems. Starting in 2010, Richard was the Director of SAP’s EMEA Capital Markets group for 6 years, where he helped grow the business across the EMEA region.
Dr. Harmon holds a PhD in Economics with specialization in Econometrics from Georgetown University.
Jessie Lee ¦CEO ¦ Brooklyn VA
Jesse is BrooklynVA’s CEO, and one of three Co-Founders, and has held numerous SaaS leadership positions across Sales, Customer Success, Product and Engineering teams. He was also a Co-Fouder of Apptio (Naasdaq: APTI) achieving five funding rounds, $136M venture investment, IPO: Sep 2016, and a $1.9B purchase by Vista Equity Partners.
Dr Jonathan Liebenau ¦ Associate Professor (Reader) of Technology Management ¦ LSE
Dr Jonathan Liebenau is an Associate Professor (Reader) in Technology Management. He specialises in two areas: fundamental concepts of information, and the problems and prospects of information and communication technology in economic development. He has previously worked in academic administration, technology policy, and the economic history of science-based industry, all positions in which he has emphasised the use of information in organisations. He is the author or editor of several books and over 70 other major publications and has provided consultancy services to leading companies and strategic government agencies, including: Dell, BT, IBM, Microsoft, Tata Consultancy Services, Nortel, EDS, Lloyd Thompson; and in the UK Government, the Office of Science and Innovation, the Department of Trade and Industry and the Home Office. He also has worked with the Royal Society for the Arts and DigitalEurope, and is on the advisory boards of Istanbul Bilgi University and American University in Cairo, School of Business.
Dr Jonathan Liebenau leads LSE Tech, a research group at LSE’s Department of Management active in the area of Internet and Communications Economics, Policy and Strategy.
François Mercier ¦ Direction Fintech et Innovation ¦ Autorité des Marchés Financiers
François Mercier is the Manager of the Fintech Lab at the Autorité des Marchés Financiers (Québec), the Financial Markets Authority mandated by the Québec government to regulate Québec’s financial markets and assist consumers of financial products and services. The AMF is unique in that it oversees, in an integrated manner, the areas of insurance, securities, derivatives, deposit institutions—other than banks—and the distribution of financial products and services.
François leads the internal applied research team within the Fintech and Innovation department at the regulator in Montreal, Canada. The mandate of his team is to close the knowledge gap between the industry and the Authority on fintech topics in order to better position the regulator and to improve internal processes. He has played a key role in the Montreal’s fintech ecosystem, including at IVADO a renowned consortium for data science, at Fintech Cadence the fintech community hub, and at the Montreal Fintech station the fintech startup hub.
The AMF is currently chairing the Canadian Securities Administrators (CSA) which is the umbrella organization of Canada’s provincial and territorial securities regulators whose objective is to improve, coordinate and harmonize regulation of the Canadian capital markets. The AMF is a member of the International Organization of Securities Commissions (IOSCO) and of the Global Financial Innovation Network, where it chairs its collaboration workstream.
Prior joining the AMF, François worked for 7 years for several IT and Front Office roles in capital markets at BNP Paribas in London, UK and worked for 1 year on an entrepreneurship project. He graduated from the engineering school, EPITA, in Paris, and he is a CFA charterholder. He is also currently pursuing a Master’s degree in Machine Learning at University of Montreal / Mila, Quebec Artificial Intelligence Institute founded by Yoshua Bengio, co-recipient of 2018 Turing Award.
Andrew Morris ¦ Digital Platform Services Resilience & Controls, CIB Resiliency ¦ JP Morgan
Andrew Morris is responsible of Operational Resilience Strategy within JPMorgan’s Corporate and Investment Bank (CIB).
During his 21 years at JPMorgan, Andrew has held management roles in Operations, Technology and Business Management.
Andrew is a graduate of Kings College, London having obtained a Bachelor of Science in Mathematics.
Andrew lives in the New Forest, has been married to Yvonne for over 25 years, and has three children – Thomas, Victoria & Daniel.
David Morrison ¦ Managing Director & Global Head of Depositary and Fiduciary Services ¦ Citibank
David is the Managing Director of Citibank’s Depositary and Fiduciary services business. As the Global Head of the business, David’s responsibilities span a range of countries across Europe, Asia, North America and Latin America. David has extensive experience in the funds and asset management arena, including funds compliance, risk management, coverage, product management, fund structuring and operational restructuring across several European and Asian fund centres. He has previously worked in an audit capacity, assessing risk and control environments across the continental European asset management industry.
Stephan Niermann ¦ Senior Compliance/Anti Financial Crime Executive and independent Governance & Compliance Consultant ¦ Independent
Stephan Niermann is an internationally experienced senior Compliance/Anti Financial Crime Executive and independent Governance & Compliance Consultant. Previously he was Managing Director and Chief Compliance Officer at J.P. Morgan AG. Prior to that he held various senior management positions at Commerzbank Group and former WestLB Group with tenures in London and Luxembourg.
He has an extensive experience in leading global compliance teams and managing regulatory matters, including planning, implementing and operating scalable best in class Compliance & AFC Management Systems. Stephan is advocating an innovative, process driven and solution-oriented compliance approach.
Stephan provides thought leadership, e.g. by delivering keynote speeches at high profile national and international conferences and contributing to best practice fora, such as the Regulatory Technology Council (UK), The Chief of Finance 2020, The European Compliance Conference (TECC), the European ACAMS Conference. He also writes specialist articles. He is instructor at the Frankfurt School of Finance & Management for the European Certified Compliance Professional Course, lecturing the module Governance & Regulation.
He is an attorney at law and a qualified banker. Stephan received a PhD degree in money laundering prevention in modern payment systems from the University of Bielefeld, Germany
Dan Orlow ¦ Founding member of the RegTech Council ¦ RegTech Council
Dan has enjoyed a long career as a portfolio manager focused on liquid public markets in transnational financial services and technology, capital markets, and special situations across the capital structure. He started his career on Capitol Hill and subsequent to graduate and legal studies was a payments economist at the Federal Reserve Bank of New York where he worked both in Research and in the Markets Group and did the first work on digital currencies. Bar Admissions: Pennsylvania, DC Court of Appeals, U.S. Supreme Court. He is currently head of Corporate Development for Hoyos Integrity which is bringing to market globally secure mobile communications, data and payments. In addition, he is president of a sports gaming start-up which he started while initiating the legalization of sports betting in the United States. Dan a founding member of the RegTech Council, where he focuses on computational integrity, sustainable investing, and the effects of data on regulatory capital frameworks. He holds German and US citizenship.
Richard Pike ¦ Founder and CEO ¦ Governor Software
Richard has extensive experience of working with financial institutions throughout the world, assisting companies in managing enterprise risk more efficiently while addressing local regulatory guidelines and standards. As well as being the founder and CEO of Governor Software,Richard is currently Chairman of Citadel Securities (Ireland) Ltd and an Independent Non-Executive Director, National Cyber Security Society, FBD Insurance plc, JPMorgan fund administration, JPMorgan hedge fund administration and Citadel Europe.
Prior to Governor Software, Richard has worked in various senior banking, insurance, credit and market risk roles at Wolters Kluwer Financial Services, ABN AMRO, Bain, COMIT Gruppe and Quay Financial Software. He has analysed, designed and managed the development of core treasury and enterprise risk management systems for large financial institutions, including UBS, Citibank, Schroders and Unicredito.
In 2009, Richard was recognised as a “Top 50” Face of Operational Risk by Op Risk & Compliance magazine and was a contributing author to two books on risk management. He is also a board member of the Governance, Risk and Compliance Technology Centre which focuses on research in the area of financial services governance, risk and compliance. Richard has also received the designation of ‘Certified Bank Director’ by the Institute of Banking.
Gareth Ramsey ¦ Executive Director for Data ¦ Bank of England
Gareth is an Executive Director for Data. Previously he was Executive Director for Communications, and prior to that Director for Monetary Analysis, an area of the Bank that produces macroeconomic briefing, analysis, forecasts and research for the Monetary Policy Committee (MPC) and our other policymaking bodies.
Gareth joined the Bank of England in 1999. Among other roles, he has produced and presented the MPC’s UK and international economic forecasts. Between 2009 and 2012, Gareth headed the division that produces our Inflation Report. He then spent two years on secondment at BlackRock before returning to be our first Director of Monetary Analysis.
Carl Redfern ¦ Compliance Director and co-founder ¦ Redland Business Solutions
Carl is the Compliance Director and co-founder of Redland Business Solutions. His depth of knowledge of technology and the financial services market has led Redland to become the market leader in Regulatory solutions. Carl has headed up major strategic projects and enjoys a very “hands on” approach to identifying solutions, and being instrumental in defining Redland’s consultative and ‘shared problem’ approach to working with their clients. Carl is a master when it comes to regulation and ensures we are on the front foot when it comes to newly issued regulations & amendments. He has been running a RegTech business for nearly 20 years, a long time before the term was even coined.
Nicole Sandler ¦ Innovation Policy Lead, Regulatory Policy ¦ Barclays
Nicole Sandler leads on Innovation Policy at Barclays. She focuses on the impact of Fintech related regulation and initiatives including crypto-assets, DLT and AI use cases on Barclays in the UK and globally, such as advising on various sandbox and regulatory initiatives proposed by regulators and policymakers including the FCA, BoE, EC, CFTC, SEC, MAS and Japanese FSA. Nicole engages with regulators and policymakers globally for Barclays including chairing a meeting with the Fed, sitting on panels with the FCA, BoE, ESAs and EC, and presenting at the EC’s AI Fintech Lab to regulators from the 28 Member States. Further she represents Barclays in various regulatory and policy forums and industry groups. For example, Nicole is on the EC’s Expert Group on Regulatory Obstacles to Financial Innovation, is a member of the FMLC Technology Scoping Group, the FMLC Crypto-asset and ICO Group, the JWG RegTech Council, the EBF AI Expert Group and also represented Barclays at the EDCAB virtual currency and blockchain roundtables at the European Parliament. Nicole regularly speaks on panels and presents at conferences, has articles published and was listed on the Lattice80 Top 100 Women in Fintech Global List 2018, is on the Innovate Finance Women in Fintech Powerlist 2017 and 2018 and was shortlisted as a finalist for a WeAreTheCity Rising Star Award in Fintech. She also focuses on diversity initiatives including being a board member of Regtech Women.
Louise Smith ¦ UK Government FinTech Envoy for Scotland ¦ Director of Innovation Financial Services Sector ¦ Fujitsu
Louise has extensive experience in building and transforming Financial Services, having worked in the industry for 20+ years. She has been at the forefront of influencing the changing shape and evolution of the industry within the UK and globally. Specifically digital transformation, how financial services become more accessible and inclusive with Open Finance, the future of work, design thinking and scaling new and emerging technologies such as Artificial Intelligence and automation capabilities.
More recently Louise has been at the heart of preparing the Royal Bank of Scotland (including NatWest) for the future. Leading and implementing the Retail Bank’s ‘Digital First’ strategy using customer experience and insights to simplify and differentiate the Bank’s service to its customers. Louise is currently supporting Fujitsu on the creation of their innovation agenda and proposition for the financial services sector.
Chair of the Scottish Financial Enterprise Innovation Steering Committee and appointed as a Government Fintech Envoy, Louise is recognised at a national and international level across the Industry. She regularly contributes to thought leadership programmes such as TechNation and often publishes in The Times, The Financial Times and a number of radio podcasts and interviews. Most recently, Louise was recognised as one of the Top 100 UK leaders in Digital by British Interactive Media Association and has received The Scottish Technology Special Recognition Award for her work within the UK and providing a platform for FinTech’s globally.
Lee Robins ¦ Head of Enforcement ¦ Companies House
Chartered Manager and career civil servant with over 30 years’ experience in Companies House, working in many areas including Enforcement, Policy and Business change. Since January 2016 Lee has been working on the People with Significant Control (PSC) legislation and leading the Companies House compliance efforts. He has given many presentations and talks on this subject and is regarded as a Companies House expert on PSCs and beneficial ownership. In 2018 he was heavily involved in the UK’s successful FATF assessment and 2019 he led the Companies House elements of the 5MLD transposition.
Peter Van den Hul ¦ Project manager of the Financial Data Standardisation – RegTech project ¦Financial Services and Capital Markets Union (DG FISMA) of the European Commission
Peter van den Hul works for DG Financial Stability, Financial Services and Capital Markets Union (DG FISMA) of the European Commission as the project manager of the Financial Data Standardisation – RegTech project which is an interoperability project exploring ways to report, share and monitor financial data more efficiently.
He is also the European Commission representative in the LEI Regulatory Oversight Committee and ISO TC68 Financial Services.
Before, he worked in the Task Force for the establishment of the Single Resolution Board (SRB) where he was responsible for ICT and Information Security.
He has more than 15 years of experience at the European Commission with the management and governance of very large projects and the start-up and operations of European Agencies.
Boukje Stoelinga ¦ Head General Legal Affairs ¦ ING
Boukje Stoelinga is Head of General Legal Affairs (GLA) for ING Bank a financial institution based in the Netherlands and active in more than 40 jurisdictions worldwide. Boukje and her team are responsible legal support in a wide variety of topics including, data privacy, AML & sanctions, regulatory, competition law, market abuse, US extra-territorial laws, IT & procurement and innovation. In her role, Boukje is expected to keep track of new developments in laws and regulations that may impact ING and often oversees implementation of new regulations and laws into ING policy. Prior to joining ING in 2007, Boukje worked as an attorney in Chicago and New York advising global companies on corporate-, employment- and data privacy related matters
Mike Zehetmayer ¦ Partner ¦ EY
Mike leads EY’s Risk and Compliance Technology Practice and is EY’s RegTech leader. Mike is an experienced management consultant providing advice and delivery of technology enabled business change programmes. He has delivered a range of assignments across different geographies and organisations in Europe, USA and Japan, including banks, market infrastructure and regulators. Mike’s experience covers the provision of advice and the delivery of change across regulation, compliance, risk management, organisational effectiveness and efficiency