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  • Includes Credits Recorded On: 02/14/2024

    This webinar is aimed at providing information on new developments, regulations, and trends that global asset managers should be tracking for the months ahead.

    Asset managers from both sides of the Atlantic are offered a timely view on global legislative timelines, including updates and action plans from regulatory experts.

    This webinar is aimed at providing information on new developments, regulations, and trends that global asset managers should be tracking for the months ahead.

    Learning objectives:

    · Structures of Alternative Investment Funds, including semi-regulated/unregulated structures

    · European ESG regulation and how it impacts global and US funds

    · MiCA (Markets in Crypto Assets Regulation) and related developments


    This program is sponsored by:

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    CPE INFORMATION:

    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Finance

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org


    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Marcel Bartnik

    Partner

    Vandenbulke

    Lawyer, admitted to the Bar in Germany (2005) and Luxembourg (2007)

    • University of Saarland (Saarbrücken)
    • D.E.U.G., Centre Juridique Franco-Allemand (Saarbrücken)
    • D.E.A., Université Aix-Marseille III (France)
    • Dr. iur. (University of Saarland, Saarbrücken)
    • 2005-2019 worked with a top-tier independent Luxembourg law firm, and a leading international law firm in Luxembourg

    Catherine Martougin

    Partner, Baker McKenzie

    Adrian Whelan (Moderator)

    Global Head of Market Intelligence

    Brown Brothers Harriman

  • Includes Credits

    Learn key differences in liquidity risk management practices in the US and EU and understand how these differences influence US and EU responses to FSB recommendations.

    In July 2023, the Financial Stability Board published recommendations to address vulnerabilities from liquidity mismatch in open-ended funds, including the introduction of the liquidity bucketing requirement with direct consequences for the design of fund liquidity terms. 

    The internationally applicable requirement has elicited different responses in the US and EU and has highlighted the differences of liquidity management frameworks for funds across the globe.

    Learning objectives:

    ·  Examine key differences in liquidity risk management practices in the US and EU

    ·  Understand how these differences influence US and EU responses to FSB recommendations

    ·  Discuss operational challenges for global asset managers of addressing different frameworks within their organizations


    This program is sponsored by:

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    CPE INFORMATION:

    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Finance

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org


    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Gildas Blanchard, PhD

    Head of Industry Affairs

    ALFI

    Gildas Blanchard is Head of Industry Affairs of ALFI, the Association of the Luxembourg Fund Industry, specialized in risk management and digitalisation. He joined the association in December 2021. Before joining ALFI, Gildas was Senior Manager at Deloitte Luxembourg within the Capital Market department of the advisory practice, responsible for risk management advisory and quantitative solutions for the investment fund industry. Prior and aside to these mandates, Gildas is from an academic background in empirical quantitative research. Gildas teaches at several higher education institutions financial economics related modules and holds a Master degree in finance from the University of Durham (UK) and obtained a Ph.D degree from the University of Maastricht (NL) for his applied research on risk management and option markets which has been published in international academic journals.

    Michael Derwael

    Global Independent Risk Officer

    MFS Investment Management

    Michael Derwael is Senior Director and Independent Risk Officer for MFS Investment Management with multi-jurisdictional coverage and Conducting Person in charge of Risk Management and Valuation for the Luxembourg-based management company. He has been with MFS since 2019. He has 20+ years’ experience in the financial industry and, prior to joining MFS, helped build up risk practices at Lombard Odier Investment Managers, Luxcellence, Amundi and Quintet. Michael is an ALRiM board member and co-chair of the ALFI Liquidity Risks working group. He is an adjunct professor at the University of Luxembourg, trainer at House of Training and holds the FRM and CEFA certifications.

    Mike Sommer

    Head of Risk & Compliance Europe

    Schroder Investment Management Europe S.A.

  • A best-practices approach to evaluating legal compliance, enhancing employee morale, and retaining talent.

    A best-practices approach to evaluating legal compliance, enhancing employee morale, and retaining talent.

  • Includes Credits Recorded On: 11/15/2023

    Join the Delta Data and NQR team for a specialized webinar designed to equip you with essential insights for effectively managing risk throughout the intermediary oversight process.

    A Guide for Asset Managers: Join the Delta Data and NQR team for a specialized webinar designed to equip you with essential insights for effectively managing risk throughout the intermediary oversight process. In this panel, experts from the industry will discuss strategies and best practices to follow to mitigate risk at each stage of the intermediary lifecycle.

    Learning Objectives:

    • Onboarding New Intermediaries:  Identify key risk factors at the onset of the relationship to ensure a strong foundation.
    • Risk Assessment Framework: Learn how to develop a robust risk assessment framework tailored to the unique challenges and opportunities presented by the intermediary.
    • Identify Risk Factors: Explore the diverse range of risk factors that can impact your mutual fund distribution including regulatory compliance, accurate fee management, and the impact of negative news.
    • Consistent Risk Ranking:  Learn how to implement risk ranking on an ongoing basis to proactively mitigate evolving risks.


    This program is sponsored by:

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    CPE INFORMATION:

    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Finance

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org


    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Polly LeBarron (Moderator)

    Vice President Services & Strategy

    National Quality Review, a Delta Data Company

    Polly LeBarron joined National Quality Review (NQR) in 1995 and holds senior leadership and relationship management roles for NQR & Delta Data's comprehensive product and services suite. She also serves as a principal consultant for NQR Institute and has been a key contributor in developing NQR’s services designed to assist with intermediary and service provider oversight. 

     

    Prior to joining NQR, Polly was a writer and editor for Wilson Business Abstracts, a publication of the H.W. Wilson Company, and an analyst at AIC Investment Advisors. Polly is a Six Sigma Black Belt and holds the Quality Improvement Associate and Quality Auditor certifications from the American Society for Quality (ASQ).  She serves on the ASQ Board of Directors and is Chair of ASQ’s Technical Communities Council.

     

    Eileen Storz-Salino

    Executive Director

    Morgan Stanley

    Eileen Storz-Salino is an Executive Director, working in the Investment Management Operations Division of Morgan Stanley.  She is responsible for transfer agent oversight, which includes overseeing regulation and compliance for the firm’s fund services department. This includes the Eaton Vance, Calvert and Morgan Stanley open- and closed-end funds as well as proxy solicitation for the funds. She joined Eaton Vance in 2007.   Eileen earned an MBA from Simmons Graduate School of Management, one of the first women only MBA programs in the country. She holds FINRA Series 7, 63 and 99 licenses. She has served on multiple industry and charity Boards including ICI, NICSA and the Expect Miracles Foundation, where she chaired the Governance Committee and where she is now an Emeritus Board member.  She has been an active member and supporter of many diversity organizations including a leading member of the Eaton Vance Women’s Leadership Exchange (WLE) She has actively supported women build their network and their careers and has participated in panels for the firm, various colleges and universities, over the years.

    Trevor McLeod

    Vice President

    T. Rowe Price Services Inc.

    Trevor McLeod is Vice President of T. Rowe Price Services, Inc.  He leads the Intermediary Oversight and Intermediary Transfer Agent teams within Global Client Accounts Services.  Trevor has been with T. Rowe Price for 16 years holding various roles supporting Oversight and the Intermediary business.  He holds his MBA from the University of Colorado. 

  • Includes Credits Recorded On: 11/01/2023

    Learn how to create, develop, and evolve successful employee networks.

    If your firm is in the beginning stages of starting an Employee Resource Group, this learning session is for you! Find out how to create impactful and influential networks that drive change within your organization by hearing from industry firms in different stages of their ERG/RBG journeys about the most effective ways to:

    • Build new employee networks
    • Avoid struggles and pitfalls
    • Employ resources needed to ensure success and sustainability
    • Engage senior leadership
    • Gather and communicate feedback
    • Mobilize employee participation
    • Measure success and impact

    Learning Objectives:

    • Build a structure for success and organizational buy-in
    • Attract maximum participation and engagement
    • Evolve ERGs/BRGs into influential change agents    


    This program is sponsored by Diversity Project North America's Next Practices Committee:

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    CPE INFORMATION:

    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Personnel/Human Resources

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Allison Walsh at info@nicsa.org

    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Meagan Polidoro (Moderator)

    Compliance Associate

    Calamos Investments

    Meagan Polidoro is a Compliance Associate at Calamos Investments. As a member of the firm’s DEI Committee, Meagan is heavily involved in the firm’s DEI initiatives. In addition to FINRA Series 7 & 24 licenses, Meagan holds a B.S. from Illinois State University and has more than five years of finance industry experience. Meagan was recognized as a 2023 DPNA Rising Star Recipient.

    Anthony Almanzar

    Program Manager, SSGA Technology & Transformation

    State Street Global Advisors

    Anthony joined State Street in 2015 as an Information Security Risk Analyst and more recently held a variety of roles in Identify & Access Management as a Business Analyst, Data Analyst, Solutions Analyst within Corporate Information Security and Business Risk Intelligence and Operations Manager for State Street Global Markets. Anthony is currently a Program Manager for SSGA Technology & Transformation. He is responsible for driving, planning, and governance of prioritized technology deliverables across multiple applications, in support of new commercial/business growth mandates.

    Anthony is currently the Chair of the Latin American Professionals Group (LAPG) and represents State Street in various external engagements and professional conventions. He is currently an active workstream member of Action #8 from the 10 Actions Against Racial & Inequality. Anthony is an advisory board member for Fisher College and the Boston Chapter of TecHire. Additionally, Anthony is a recipient of the 2022 Young Hispanic Corporate Achievers Awards by the Hispanic Association on Corporate Responsibility (HACR). In 2023 Anthony was appointed to be the Director of Financial Literacy for the Boston chapter of the Association of Latino Professionals for America (ALPFA) and a committee member of the Diversity Project for Nicsa.

    Rosa Licea-Mailloux

    Vice President and Head of Compliance, Americas, MFS Investment Management

    Rosa Licea-Mailloux is a vice president and head of compliance, Americas, at MFS Investment Management® (MFS®). She is also the chief compliance officer of the MFS Funds. In this role, she oversees all aspects of compliance for MFS investment products distributed throughout the Americas, collaborating with various groups across MFS to ensure all regulatory requirements are met and adhered to across the firm's various distribution channels. 

    Rosa joined MFS in 2018 as a director of corporate compliance and was named to her current role in 2022. Previously, she worked at Natixis Investment Managers for over 14 years, holding several roles in the firm’s legal and compliance groups, including chief compliance officer for the Loomis Sayles Funds, Natixis Funds and Natixis ETFs and senior vice president and deputy general counsel for Natixis Investment Managers – US Distribution. She began her career in financial services in 2001 as a compliance specialist with Putnam Investments. 

    Rosa earned a Bachelor of Arts degrees in biology and economics from Boston University, a Juris Doctor degree from the Northeastern University School of Law and an MBA from UNC KenanFlagler Business School. She is an adjunct professor of financial sector compliance and corporate counsel risk management at New England Law | Boston.

    Susie Morris

    Vice President, Co-Head of Internal Sales

    American Century Investments

    Susie Morris is a trusted and well-respected sales leader with decades of diverse financial services sales experience internally and externally. Skilled in all aspects of sales leadership including motivating staff, evaluating resources, and streamlining processes, Susie has been responsible for the performance and productivity of sales teams and new corporate initiatives.

    Susie is currently Vice President, Co-Head of Internal Sales for American Century Investments. This role entails leading teams that focus on building relationships and partnering with wealth management clients. Previously, Susie was responsible for teams focused on innovation, new initiatives and helping to create efficient processes within the sales teams including ETF Sales Specialists, Division Strategists, and Investment Analysis Specialist roles. Susie was also on the Global Leadership team for Accelerate, our women’s BRG and also served a co-founder and co- leader of this group. She is also responsible for co-leading sponsorships for Women in ETFs and is a volunteer and member of the NICSA Diversity Project North America Next Practices Commtitee.

    Susie earned a Bachelor of Science in Business Administration with a Marketing Emphasis from Kansas State University. She holds securities licenses 7, 24, and 63. She earned her CIMA® from the University of Chicago and the C(k)P® from the UCLA Anderson School of Business. Susie is knowledgeable in investment solutions including ETFs, mutual funds, collective investment trusts, 529s, Retirement Plans, separate accounts, and alternative investments.

  • Includes Credits Recorded On: 10/11/2023

    Learn how to comply with the T+1 settlement cycle in the US starting May 2024.

    Market participants will have to comply with the T+1 settlement cycle in the US starting May 2024. This webinar will examine the impact on Luxembourg asset managers regarding secondary and primary market transactions. It will also set out industry recommendations to EU policymakers for mitigating the impacts. 

    Learning objectives:

    ·       Impact of T+1 settlement cycle on Luxembourg/European asset managers

    ·       Exploration of short-term remedies to potential liquidity gaps

    ·       Familiarity with EU industry recommendations to EU policymakers


    This program is sponsored by:

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    CPE INFORMATION:

    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Specialized Knowledge

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org


    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Alena Schlünz (Moderator)

    Technical Writer and Senior Industry Affairs Advisor

    ALFI

    Alena is an editor, copywriter and proofreader specialising in technical texts related to the investment fund industry. A lawyer by training, she worked in the Luxembourg investment fund sector for 12 years, mostly in legal roles with depositaries and asset managers focusing on real assets, before making a career change and joining ALFI, the Association of the Luxembourg Fund Industry, in a copywriter role. As an industry affairs advisor, Alena also works on numerous ad-hoc matters ranging from human rights in finance and global pensions to training and talent attraction initiatives. In addition, she is involved in designing content for some of the many ALFI seminars and conferences.

    François BARATTE

    Senior Industry Affairs Advisor

    ALFI

    François Baratte is a Senior Industry Affairs Adviser at ALFI (Association of the Luxembourg Fund Industry). He joined the association in September 2017 to coordinate the Market Infrastructures and Depositaries regulatory portfolios. Before joining ALFI, François was Director at FBA Conseil, a consultancy firm he created in 2005. He has fulfilled a dozen of significant assignments on regulatory and valuation aspects covering the full scope of financial instruments. He has led these missions across 10 countries for 5 Globally Systematically Important banks (GSIBs) and a National Competent Authority. Prior to joining FBA, François has been a consultant for CSC Peat Marwick, then Manager at Accenture. François holds a Master degree in Business Administration from the University Paris Dauphine, and a Master in EU Banking & Financial law (investment fund law track) from the University of Luxembourg.

  • Includes Credits Recorded On: 09/27/2023

    Learn how to start identifying and evaluating critical DEI metrics.

    Forward-looking firms should have metrics in place to support their DEI practices and measure their impacts. This session is intended for institutions within the asset and wealth management industry looking to begin or improve DEI data collection and metrics tracking. Join Diversity Project North America members as they share ideas and best practices around tracking metrics across important DEI pillars such as:

    • Talent Pipelines
    • Retention
    • Leadership

    Learning objectives: 

    • Setting DEI objectives
    • Planning action steps that support those goals
    • Identifying key performance indicators across DEI pillars

    Resources:

    Toolkit: Getting Started with DEI Metrics


    More information coming soon.


    This program is sponsored by Diversity Project North America's Benchmarking Committee:

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    CPE INFORMATION:

    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Personnel/Human Resources

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Allison Walsh at info@nicsa.org

    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Cheryl Reich (Moderator)

    VP Talent Management & Organizational Development CHIEF Member

    Broadridge

    Naadia Burrows

    Chief Diversity Officer, Broadridge

    Naadia Burrows is Broadridge Financial Solutions’ newly appointed Chief Diversity Officer. Naadia has held various roles of increasing seniority over the course of her 25 years with Broadridge and its predecessor companies. She is now responsible for designing and implementing a holistic DEI strategy, and partnering with Broadridge's business units and Human Resources team to develop the resources and competencies needed to enhance the organization's culture of belonging and diversity. She is

    joining Broadridge’s Executive Leadership Team and will serve as an advisor on global initiatives, such as Broadridge's Executive Diversity Council, Associate Networks, recruitment, and compliance efforts. Prior to being appointed Broadridge’s CDO, Naadia led the organization’s Mutual Fund Regulatory Communications business, which services more than 900 mutual fund complexes. In addition to her P&L ownership responsibilities, Naadia is credited with driving go-to-market strategies and product development efforts. She also actively met with the Securities and Exchange Commission and other industry constituents regarding regulatory matters to help ensure investor communication improve shareholder experiences and provide cost efficiencies. She began her career with the company in 1995, starting in client services and quickly assuming management responsibilities, becoming a Vice President in 2009 and a General Manager in 2017. Her experience in the financial services industry includes
    expertise in executive management, client services, operations, and product development. Naadia is a dynamic leader, a supportive mentor and a trusted partner.  

    Naadia earned her Bachelor of Science in Economics and a minor in Africana Studies from Stony Brook University, and has completed Columbia Executive Education and Wharton/Securities Industry and Financial Markets Association leadership and executive education programs.

    Richard Ernesti

    Managing Director, Senior Client Executive

    Citi

    Richard M.F. Ernesti is Managing Director, and a Senior Client Executive covering firmwide strategic relationships and is responsible for the cross-sale coordination of Custody, Fund Services, and Securities Lending service offerings.  Richard has developed a deep understanding his client needs and to deliver strategic organizational initiatives. He brings over 30 years of financial services expertise and has worked in many different cities across three continents including, London, New York, Singapore, Frankfurt , Tokyo, and Hong Kong.

    During his tenure at Citi, Richard has taken on several key leadership roles including Asia Pacific Regional Head of Securities Services for Global Transaction Services business, Head of the Prime Finance Client Management team and prior to assuming his current position in early 2016, as the Senior Client Executive covering strategic relationships.

    Prior to joining Citi in 2001, Richard was Managing Director, Head of Customer Management and Global Sales Head for Global Securities Services at Deutsche Bank. Richard began his career at State Street Trust and Banking in Tokyo, followed by a move to Chase Manhattan Bank, where he completed the Management Development Program and worked in Chase Private Banking.

    Richard is an advocate for Diversity, Equity, and Inclusion (DEI) at Citi and in the financial services industry. He leads the DEI initiatives for Securities Services in North America, is an active member of Citi’s Pride Network, and serves as a mentor for the LGBTQ+ community.

    He is a frequent speaker on industry panels and sits on the CEO Advisory Council of the Nicsa Diversity Project North America and the Investment Company Institute’s Diversity and Inclusion Committee. He is actively engaged with and provides thought leadership for LGBT Great, Out Leadership and Out and Equal as well as with the clients which he covers.  He also is an active volunteer as a mentor to young LGBT professionals and leaders in the finance industry.

    George Wilbanks

    Managing Partner

    Wilbanks Partners, LLC

    George Wilbanks spent over 20 years building the asset and wealth management practice at Russell Reynolds Associates to an industry leading position before founding Wilbanks Partners LLC in 2011. Earlier he had worked with a venture capital and family office business Agtek International, and then The Dreyfus Corporation in business development as Assistant to the Chairman. A graduate of Williams College with a degree in Political Philosophy, he subsequently earned his MBA in Marketing at New York University’s graduate school of business.

  • Includes Credits Recorded On: 08/23/2023

    This session will look at the latest trends in financial wellness and solutions to engage investors of all ages, income levels and career paths.

    This session will look at the latest trends in financial wellness and solutions to engage investors of all ages, income levels and career paths. Starting with younger investors, we’ll discuss ways to drive engagement as well as outreach models that encourage positive financial behaviors throughout their financial journey. For those investors who are nearing retirement, we’ll look at tools that help them determine how to draw down their accounts and provide transparency into retirement income strategies.

     

    We’ll also take a look at AI-driven solutions that help build investor confidence, including account aggregators that give investors a holistic view of their financial picture in one place and leverage data to provide specific recommendations on how to improve overall financial outcomes. We’ll examine the unique needs of baby boomers, as they transition into retirement—focusing on wealth retention, draw-down strategies and tax consequences.


    More information coming soon.


    This program is sponsored by:

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    CPE INFORMATION:

    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Finance - Technical

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Jed Larsen at info@nicsa.org


    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Alicia Hartjen (Moderator)

    Head of Product Development, Financial Education & Communication Solutions

    SS&C

    Alicia Hartjen is Head of Product Development, Financial Education and Communication Solutions at SS&C.  Alicia joined the company through the acquisition of Wealth Management Systems Inc. (WMSI) in 2015, where she was the Vice President, Head of Product Development. Prior to that she was the Director of Product Design at S&P Capital IQ Financial Communications. Alicia has a background in user-interface design – with a focus on how to create solutions that improve user outcomes. Alicia has over 20 years experience developing personalized education solutions and supporting communication programs.

     

    Alicia has a B.A. from the University of Missouri School of Journalism in Columbia, MO and an M.B.A. from Babson College/F.W. Olin Graduate School of Business.

    Stacy McDowell

    Chief Product Officer

    Income Discovery

    Stacy McDowell works directly with the Firm’s clients and internal software developers on the design, development, and implementation of new products, as well as enhancements to and maintenance of existing products. Prior to Income Discovery, Stacy spent 20 years at E*TRADE, where she worked in Operations and Product Management to increase the firm’s retirement business. She led a team of high-performing product managers concentrated on individual and employer-sponsored retirement plans that drove customer acquisition and deepened engagement. Stacy has a Bachelor of Science Degree in Managerial Economics from the University of California at Davis. Her credentials include Retirement Income Certified Professional (RICP®), Chartered Retirement Planning Counselor (CRPC®), and Accredited Pension Administrator (APA).

  • View the highlights from Nicsa's Fearless Leadership Forum, which took place in June 2023 in New York, NY.

    View the highlights from Nicsa's Fearless Leadership Forum, which took place in June 2023 in New York, NY.

  • This Toolkit is intended as a basis for discussion around beginning or improving upon DEI data collection and metrics tracking efforts.

    This Toolkit is intended as a basis for discussion around beginning or improving upon DEI data collection and metrics tracking efforts.