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  • The Future of Financial Wellness

    Includes Credits Includes a Live Web Event on 12/16/2020 at 2:00 PM (EST)

    How is the “new normal” shaping the future of financial wellness? Research shows that financial advisors are accelerating their shift to holistic financial planning, looking for support from asset managers and technology solutions. Join our panel of experts, hosted by Broadridge, for a deep dive into the latest trends in financial wellness.

    How is the “new normal” shaping the future of financial wellness? Research shows that financial advisors are accelerating their shift to holistic financial planning, looking for support from asset managers and technology solutions. Join our panel of experts, hosted by Broadridge, for a deep dive into the latest trends in financial wellness.

    Learning Objectives:

    -Share latest trends in financial wellness
    -Better understanding of the “new normal” for employees and financial wellness importance
    -How financial wellness programs can help retain top producers

    Who Should attend: Advisors, B/Ds home office, TPAs, other financial services Providers


    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: Personell/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 Jordan DeBettencourt at 508.683.1618.

  • Creating a Digital Ecosystem

    Includes Credits Includes a Live Web Event on 12/09/2020 at 2:00 PM (EST)

    Confluence and the Nicsa Technology and Innovation Committee are proud to present a webinar on how to stay ahead of the curve as you build you digital strategy and incorporate disruptive technologies into your ecosystem.

    Confluence and the Nicsa Technology and Innovation Committee are proud to present a webinar on how to stay ahead of the curve as you build your digital strategy and incorporate disruptive technologies into your ecosystem. In the digital age, data access and speed are everything. Disruptive technologies like the Cloud have found their way into mainstream fund operations. Optimizing the use of these technologies and creating a digital ecosystem is a business imperative. Please join Confluence Head of Global Market Strategy, Gary Casagrande, and our panel of industry executives as we explore how digitalization is transforming the asset management industry.

    Learning objectives:

    • -The role of regulation in the digital journey;
    • -Digital investment trends among asset managers and servicers

    Who should attend: technology leaders, fund administration product and operations professionals, product and operations executives, vendor management professionals



    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: Regulatory Ethics
    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 Jordan DeBettencourt at 508.683.1618.

    Gary Casagrande (Moderator)

    Vice President, Head of Global Market Strategy, Confluence

    Gary joined Confluence in January 2016 and serves as Vice President of Global Market Strategy. He is responsible for overseeing market research analysis and forecasting market conditions to support Confluence solution growth. Gary has more than 25 years of experience in the financial services industry and an in-depth understanding of mutual fund operations, regulations, project management and quality control. Before joining Confluence, he held the position of Head of Financial Reporting and Expense Administration at BBH. Prior to that, he served as the Head of the Treasury and Portfolio Compliance group at JP Morgan. Gary has a Bachelor’s Degree from Bryant University in Business Administration with a focus on Finance.

    Todd Moyer

    President, COO

    As President and Chief Operating Officer of Confluence, Todd is responsible for ensuring operational excellence, optimizing revenue generation across North America and Europe and evaluating growth potential in adjacent geographic markets globally. A 20-year financial services technology industry veteran, Todd provides strategic and operational direction while focusing on global expansion and ensuring operational accountability. He leads the company’s operations functions as well as market-facing activities which include sales, account management and marketing.

    Todd has an accomplished track record of helping financial services firms of all sizes adopt innovative solutions to drive revenue. Prior to joining Confluence, he was executive vice president of SunGard’s Wealth Management business, where he was responsible for the sales strategy and delivery of integrated wealth management solutions. Prior to joining SunGard, Todd was a principal of Mid Atlantic Institutional Shares (“MAIS”), where he was responsible for the firm’s flagship mutual fund trade-routing platform. MAIS was acquired by SunGard in 2002. He has also served as a senior consultant for the Economic and Financial Consulting division of Arthur Anderson LLP.

    Chuck Gallant

    Director, BNY Mellon

    Chuck Gallant serves as a Director in our Asset Servicing Digital Solutions team. With over 30 years of experience in investment servicing technology and product development, he is responsible for managing the advanced digital capabilities for many of our strategic product offerings, including our web / mobile self-service technologies, fraud prevention, process optimization and automation, and data analytics tools. Chuck has served as Chief Information and Technology Officer in former roles and has held numerous strategic business and technology positions in the areas of digital transformation, portal development, data analytics and delivery, business process automation, and other customer-facing technologies. 

    Chuck earned his Bachelor of Science degree in Business Administration & Management Information Systems from the University of Massachusetts at Lowell and holds a Master’s degree in Computer Information Systems from Boston University. Chuck is also a co-chair for the NICSA Technology and Innovation Committee.

  • Listen, Learn & Lead | The Latinx Perspective

    Includes a Live Web Event on 12/03/2020 at 2:00 PM (EST)

    As part of its Listen, Learn & Lead series, Nicsa hosts an important discussion with Latinx professionals in the asset management industry about their personal journeys, including career growth opportunities, business relationships, entry into finance, and the hurdles along the way. Join us for actionable guidance on how to reach young Latinx talent and create a support system that allows people the opportunity to develop and grow in an inclusive environment.

    A Dialogue on Authentic Allyship.

    As part of its Listen, Learn & Lead series, Nicsa hosts an important discussion with Latinx professionals in the asset management industry about their personal journeys, including career growth opportunities, business relationships, entry into finance, and the hurdles along the way. Join us for actionable guidance on how to reach young Latinx talent and create a support system that allows people the opportunity to develop and grow in an inclusive environment. 

    This program is sponsored by:

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    LeAnn Trejo (Moderator)

    Director of Client Services.

    LeAnn Trejo is Director of Client Services and Vice President of American Funds Service Company, part of Capital Group based in San Antonio, TX. LeAnn has 22 years of experience across sales, distribution and managing operations in the finance industry. She currently leads change management, communications, new associate onboarding and development in client services. She is a graduate of the University of the Incarnate Word in San Antonio and holds FINRA Series 6, 63 and 26 licenses. LeAnn serves on the non-profit board at the Brighton Center, a child development center focused on inclusive therapy for children with all abilities. LeAnn is passionate about the industry's focus on Diversity and Inclusion and serves as a sponsor for Capital Group's business resource group for Latinx/Hispanic associates (CG Unidos).

    George Madrigal

    President and CEO, Penserra

    George is Penserra’s founder and Chief Executive Officer since June 2007.

    Developing innovative products/services, implementing precise solutions, and engaging in effective recruiting are at the forefront of George’s leadership focus. George leads the Executive Committee, which sets the strategic direction of the firm and he works across all the business lines to ensure that Penserra is focused on our client’s most critical trading and investment objectives.  He is also Chairman of the Board of Directors.

    Prior to founding Penserra, George was the Head of Transition Management and a Senior Portfolio Manager at Barclays Global Investors (BGI), which is now part of BlackRock. He joined BGI in 1993 as part of the portfolio valuation team learning the operations, asset valuation, and performance attribution side of the business. He quickly became an international equity portfolio manager and ran a team that managed $300 billion of developed market portfolios in separate accounts, pooled funds, and exchange traded funds. In his last few years at BGI, George led the implementation team of transition management. This service provides for multi-asset class portfolio restructuring using derivatives to inoculate risk while underlying physical securities are traded opportunistically. He implemented many innovative solutions including the creation of synthetic daily international strategy, expansion of the affiliate broker to better accommodate fixed income transactions and the use of multi-period optimization techniques to improve performance. During his tenure at BGI, George was also involved with firm-wide technology initiatives, risk management, best execution committee, investment performance committees, and a supervisory principal of the affiliate broker-dealer.

    George is a graduate of California State University, Fullerton with a BS in Finance. He is also a graduate of Columbia University with a MBA focus in securities analysis and a graduate of University of California, Berkeley with a MBA focus in business strategy. He holds security licenses 3, 7, 24, 63, and 66.

    Luis Miguel Ochoa

    VP of Strategic Planning, BNY Mellon Wealth Management

    Luis Miguel Ochoa is Vice President of Strategic Planning at BNY Mellon Wealth Management.  He is responsible for organizing cross-functional initiatives to drive the firm’s strategic priorities.  He is also a member of the leadership committee for the firm’s diversity business resource group, IMPACT.

    He has covered the investment management sector from both a strategy consulting and in-house capacity.  As a member of the corporate strategy team at OppenheimerFunds, he co-founded the firm’s corporate development function and led a number of strategic works including new market entry.

    Luis is a graduate of Stanford University, where he was a member of the varsity fencing team.

    Janeth Medina Larios

    Vice President, Bank of the West

    Janeth Medina is a Vice President at Bank of the West, where she focuses on product management within the Bank’s Digital Channel group. Previously to joining the Digital group, Janeth served as the annual Community Ambassador within the Bank's Corporate Social Responsibility (CSR) group. In her ambassadorship, she had the unique opportunity to provide nonprofit consulting and critical organizational support to Earth Island Institute. Before entering the CSR space, Janeth spent most of her career developing strategic business cases for business lines to improve the growth and profitability of their businesses and also supported major bank-wide transformation initiatives. Janeth has always been intentional about intertwining her career path with her passion for social impact and has served on several nonprofit boards including Latinos in Finance, Financial Women of SF and Latina Vida where she has an
    opportunity to contribute to the advancement of women and Latinos within the field of Finance. She has an MBA and a BA in Political, Legal and Economic Analysis from Mills College.

  • COVID-19 and the Asset Management Industry: Nicsa 2020 General Membership Meeting Topic

    Insights on COVID-19 response and the asset management industry's future from multiple sessions at Nicsa's 2020 General Membership Meeting.

    Insights on COVID-19 response and the asset management industry's future from multiple sessions at Nicsa's 2020 General Membership Meeting.

  • Next Wave Distribution

    Includes Credits Recorded On: 11/12/2020

    Join us for a thorough exploration of recent research conducted by EY around asset managers’ distribution strategies. Members of the Nicsa Product & Distribution Committee participated and provided valuable contributions to this distribution research. A not-to-be-missed program for Nicsa members interested in learning about the key distribution trends identified during the research:

    Join us for a thorough exploration of recent research conducted by EY around asset managers’ distribution strategies. Members of the Nicsa Product & Distribution Committee participated and provided valuable contributions to this distribution research. A not-to-be-missed program for Nicsa members interested in learning about the key distribution trends identified during the research:

    Learning objectives:

    • Rise of digital
    • Demands from fragmented markets
    • Uncapitalized product opportunities
    • Shift in service models
    • Changes in talent requirements
    • Industry consolidation

    Who should attend: asset managers, product managers, wealth managers, and intermediaries.

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    Desiree Schuewer

    Senior Manager, EY

    Desiree is a senior manager in EY’s Wealth and Asset Management (WAM) consulting practice and is currently based in Atlanta. Desiree has over 11 years of experience in
    working with asset managers and asset servicers in Europe and the US.

    In her current role, Desiree leads EY Comply’s regulatory reporting team where she is responsible for overseeing regulatory reporting services for investment advisors subject to reporting obligations in Europe and the US.

    In her prior role, Desiree was the go-to-market leader for EY’s Asset Management Distribution Optimization service offering. In this role, she coordinated EY’s initiatives around distribution optimization for asset managers, including the development of thought leadership and POVs.

    Before transferring to EY US, Desiree worked at EY Luxembourg, where she supported global asset managers with their strategic target operating model and process
    improvement initiatives. She also represented EY as a member of the Association of the Luxembourg Fund Industry’s (ALFI’s) AIF Risk Management technical committee
    and co-authored several thought leadership articles.

    Desiree is a Member of the Royal Institution of Chartered Surveyors (MRICS, Commercial Property). She holds an MSc in Real Estate and a BSc in Business Administration from
    EBS University, Oestrich-Winkel, Germany.

    Lesley Keefe

    Managing Director, EY

    Lesley is a managing director in EY’s Wealth and Asset Management (WAM) consulting practice with more than 25 years of experience in asset and wealth management. Lesley leads EY Comply’s Operations organization, responsible for supporting the timely and accurate regulatory and fund financial reporting on behalf of both alternative fund and registered fund managers on EY’s managed service platform.

    Prior to this role, Lesley led EY Advisory’s Asset Management Business Consulting practice, focusing on top-tier global asset management firms and the investment management function within insurance companies.

    Lesley has worked with the leading global asset managers, assisting firms with target operating model strategies spanning business, application, data, organizational
    blueprints, and implementation roadmaps. Lesley’s teams have assisted firms with strategic operating model design, business requirements specifications, fund accounting
    selection and implementation, organizational change management, management reporting, and business process outsourcing across all functions performed by asset
    managers.

    Lesley has authored or led a number of thought leadership articles and industry operating model surveys, most recently “ “When the ground beneath your feet is shifting, do you stand still or leap forward? A view on the new asset management global operating model”

    Lesley holds a BA, Finance, Boston University and MBA, International Management, ASU Thunderbird School of Global Management.

    Christine Morath

    Senior Manager, EY

    Christine Morath is a Senior Manager in the Consulting practice of Ernst & Young LLP based in New York. She has over 14 years of financial services experience, both in consulting and in the banking industry in Switzerland, Germany, New Zealand, Australia, and the US.

    Christine is the go-to-market leader for EY’s Wealth Management Distribution Optimization and ESG service offerings. In this role, she orchestrates and drives EY’s
    initiatives around clients’ distribution enhancement agendas and is summarizing key findings into thought leadership that can be applied by the industry.

    Christine focuses on wealth management operating model assessments and design with a focus on client experience, data optimization, process improvement, and end-to-end business transformation management.

    Christine has helped clients to establish new corporate entities with focus on independent distribution models, international distribution and cross-border servicing.

    Prior to joining EY, Christine worked in the Private Banking arm of a German bank to service HNWI clients. Following this front office experience, she was then part of an independent advisory team to consult two of the major Swiss banks on their strategies for specialized service models targeting particular HNWI and UHNWI segments.

    Christine holds a Masters in Banking and Finance from University of St. Gallen, Switzerland, a Bachelor in Business Administration from University of St. Gallen, Switzerland, and a Bachelor in Financial Services from Berufsakademie Loerrach, Germany.

  • Advancing Racial Equity: Executive Round Table Summary Report

    A best practices approach to developing tangible business policies in support of racial equity in the asset management industry.

    The industry has acknowledged a shared responsibility to address inequity, as well as its impact to employees, investors, and the communities in which they operate. There is an acute need for asset managers and financial services firms to collaboratively develop best practices that can be onboarded, tracked, and measured. 

    Questions Asked:

    • What policies have been initiated in response to the homicide of George Floyd?
    • Has your firm evolved existing programs in response to the current landscape?
    • Does your firm have quantifiable diversity goals?
    • Where is the industry on transparency?
    • After considering the industry’s initial response, where are the gaps?

  • Listen, Learn & Lead: Part 2

    Recorded On: 11/05/2020

    Join us for a continued discussion about race in the global asset management industry.

    A Continued Dialogue on Authentic Allyship.

    Join us for an important discussion about race in the asset management industry. Hear from a range of generational perspectives about what it means to be a Black senior leader, mid-level manager, or new entrant in the industry. Take away actionable guidance and tips that all business leaders – across all levels, racial identities, and backgrounds – can leverage to address inequalities in the workplace, to build more inclusive organizations, and harness the benefits of a diverse workforce.

    This program is sponsored by:

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    Naadia Burrows (Moderator)

    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.

    Kim Evans

    Senior Vice President, Northern Trust

    Kimberly Evans is a Senior Vice President at Northern Trust in Alternative Fund Services. She is the North America Head of Private Capital Administration — a fast growing segment for the firm. Prior to this role, she led the Governmental, Sovereign Wealth, and Taft Hartley/Union pension and treasury business, in the US, Central and South America, with over USD 880 billion in Assets Under Custody (AUC).

    In addition to her direct business responsibilities, Kim also has a track record for deep engagement in organizational initiatives that holistically drive the organization forward. This includes recently leading a major organizational alignment project, the operations and technology engagement program, and currently serving as the President of the Women In Leadership Business Resource Council (WIL BRC) at Northern Trust.

    With over 25 years of experience, Kim is a business transformation expert. Kim has developed, led, and executed business and change strategies for five financial services organizations, managed teams in six countries, and has implemented technical and organizational programs that have impacted over 27,000 financial services professionals throughout her career. She has also owned and operated businesses as an independent consultant and as a franchise owner. Kim’s core expertise includes creating and executing business strategy, developing and maximizing talent, and ultimately driving change and transformation to make organizations competitive, effective and efficient.

    Kim graduated from the University of Illinois at Urbana-Champaign with a Bachelor of Science in Psychology and has earned numerous business, leadership, and technical certifications throughout her career.

    Kim is a Chicago United 2019 Business Leader of Color honoree, a Leading Women’s Executive Alumni, and a three-time Chairman’s Award recipient. She was also recognized as a Leader in Philanthropy by the University of Chicago and currently serves on the board of the Chicago Public Education Fund (The Fund), which targets the development of principals within Chicago Public Schools (CPS).

    Ingrid Jacobs

    Vice President, Chief Diversity and Inclusion Officer, Eaton Vance

    Ingrid Jacobs is a vice president of Eaton Vance Management and chief diversity officer. She is responsible for leading efforts to attract, develop and retain a diverse workforce and to foster more inclusive work environments across the firm’s subsidiaries and affiliates. She joined Eaton Vance in 2018. Ingrid has a wealth of experience designing and implementing diversity and inclusion strategies at global corporations. Before joining Eaton Vance, she was head of corporate diversity and inclusion at Raytheon Corporation. Previously, she was global head of diversity and inclusion at Whirlpool Corporation and was associated with Fifth Third Bank, General Electric and Bank of America. Ingrid earned a B.S. in agricultural business from The Ohio State University and a master's degree in human resources development from Xavier University.

    Noel Samu

    Executive Director, J.P. Morgan

    Noel Samu is an Executive Director - Financial Reporting at J.P. Morgan Chase Bank, NA.  Based in Boston, MA, Noel is responsible for the financial statement and audit process for mutual fund clients of J.P. Morgan.  He has over 15 years of experience in the  Investment Fund industry, including financial statement, performance, regulatory and compliance reporting, talent management, audit, business analysis, change management, process optimization and automation. 

    In his current role, Noel has set out leverage technology and innovation to deliver scalability by helping to implement an automated end-to-end financial reporting solution enabling exception-based, straight though processing. Prior to his current role, Noel led the Alternative Investment Financial Reporting team at J.P. Morgan. He joined J.P. Morgan in their Bermuda office before moving to Boston to help setup the centralized financial reporting team.

    Before joining J.P. Morgan, Noel worked with KPMG in their Cayman Islands Alternative Investment practice as an audit manager supporting the audit, risk and business review process for Hedge Fund clients.

    Noel is a CFA Charterholder and a member of the Institute of Chartered Accountants and holds an undergraduate degree in Accounting from the University of South Africa. He was recently nominated for and selected as a winner of the 2019 NICSA NOVA award winner in the Emerging Leaders category.

    Noel enjoys traveling, music and watching and playing sport.  He is a firm believer in the power of mentorship to broaden horizons and has been involved in programs within and outside of J.P. Morgan. 

  • A Guide to LIBOR Transition

    Recorded On: 11/04/2020

    The transition from LIBOR is gathering pace. Preparedness inquiries from clients and vendors have increased. Regulatory requirements, market dynamics, and business implications have evolved. Join our panel of industry experts to help assess your firm’s transition readiness.

    The transition from LIBOR is gathering pace. Preparedness inquiries from clients and vendors have increased. Regulatory requirements, market dynamics, and business implications have evolved. Join our panel of industry experts to help assess your firm’s transition readiness. 

    Learning Objectives:

    • -Key dates
    • -Evaluating exposure
    • -Developing an effective program 
    • -Immediate v longer term actions

    Who should attend: Compliance

    Sponsored by:


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    Sean Tuffy (Moderator)

    Head of Market and Regulatory Intelligence, Citi

    Sean Tuffy is the Head of Market and Regulatory Intelligence for Securities Services. In this capacity, Sean leads a team responsible for analyzing and articulating the impact of the global market and regulatory developments of strategic interest to the asset management industry. Sean also serves as editor-in-chief of Citi Securities Services Insights, which is a website dedicated to providing institutional investors with insight on current market and regulatory developments affecting their businesses. 

    Based in Dublin, Sean has 20 years of experience in the cross-border fund industry. Sean joined Citi in 2017, prior to which he worked at Brown Brothers Harriman where he was the Head of Strategy for Europe and Asia. Additionally, Sean established and oversaw its Global Regulatory Intelligence discipline, including founding the well-respected “On The Regs” blog. 

    Sean is an active participant in key industry forums. He is a frequent speaker at conferences and appears regularly in the financial press discussing the impact of global regulatory developments on the asset management industry.

    Sean holds a Bachelor of Science in Business Administration from The University of Mary Washington.

    Xavier Zaegel

    Partner, Consulting - IM & Pere Leader, Deloitte

    Xavier is a partner within the advisory and consulting department and is the head of the Capital Markets practice in Luxembourg. As a market and credit risk specialist, he has been leading various assignments in the field of treasury, derivative valuation and structured product. He is a member of risk managers associations and numerous working groups on risk management and AIFM investment fund association. He is a Global Association of Risk Professionals certified financial risk manager.

    Ben Harrop

    Programme Manager LIBOR Transition, Schroders

    Ben’s early employment was in the Army; he commissioned in to the Parachute Regiment and a 16-year career in the Army saw multiple operational deployments, including tours of Iraq and Afghanistan, as well as Staff jobs in Strategy, Plans and Operations.

    In 2018, Ben embarked on his second career, moving in to Financial Services and joining Schroders, working within their Group Change department on multiple large strategic and technology programmes. He currently leads Schroders Global LIBOR transition programme as well as other
    regulatory change projects.

    Ben completed an MBA at Cranfield University in 2019 and is a former world record holder carrying 60lb in a marathon!

    Venetia Woo

    Principal Director - North American Regulatory Strategy Lead / Global LIBOR Transition Advisor, Accenture

    Venetia Woo is a Principal Director and a Global Libor Transition Lead Advisor for Accenture. In her role, she leads offering development and serves as client subject matter advisor on the practice’s LIBOR transition program, overseeing activities from assessment through execution. She participates in global initiatives such as ARRC’s Outreach & Communication and Operations & Infrastructure Working Groups. Venetia is also the Global Structural Reform Lead and NA Regulatory Strategy Lead is responsible for advising institutions and fintechs in regulatory legal entity structures and applications, formation/market entry, new regulations, and remediation matters.

  • Diversity is a Business Imperative | Nicsa's Diversity Project North America

    Diversity is a Business Imperative

    Nicsa's Diversity Project North America is a collaboration among asset managers, broker dealers, and professional service firms working to increase diversity, inclusion, and equity within the global asset management industry. Nicsa is a trade association connecting and supporting industry participants.

  • Vendor Selection in the New Normal

    Includes Credits Recorded On: 10/28/2020

    Join leaders from Ultimus and a panel of industry experts, including trustee, operating officer and general counsel perspectives, for a look at best practices for vendor selection in our new normal. From navigating virtual site visits to enhancing due diligence processes, explore how industry professionals are maximizing the advantages and minimizing disadvantages of virtual vendor selection.

    Virtual Site Visit Due Diligence Best Practices 

    Join leaders from Ultimus and a panel of industry experts, including trustee, operating officer and general counsel perspectives, for a look at best practices for vendor selection in our new normal. From navigating virtual site visits to enhancing due diligence processes, explore how industry professionals are maximizing the advantages and minimizing disadvantages of virtual vendor selection.

    Learning objectives:

    • Best practices for virtual site visits
    • Processes that can augment virtual interactions
    • Board considerations and fiduciary responsibilities 
    • How to move from review to implementation

    Who should attend:

    Industry professionals managing vendor selection and renewal processes, including fund sponsors, asset managers, board members, c-suite executives, and consulting firms.

    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 Jordan DeBettencourt at 508.683.1618.

    David James (Moderator)

    EVP, Chief Legal & Risk Officer, Ultimus Fund Solutions

    As Executive Vice President, Chief Legal and Risk Officer at Ultimus Fund Solutions, David is responsible for the legal aspects for the company’s operations, strategic initiatives and corporate activities. He oversees the Fund Administration and Compliance teams including the overall delivery of legal services to the company’s clients, contractual matters, product development, and support to the company’s executive management team.

    David has over 20 years of 1940 Act mutual fund legal experience. Prior to joining Ultimus Fund Solutions in 2018, David served as the head of the legal department at one of the industry’s largest service providers, leading a group of over 50 attorneys and paralegals that provided legal regulatory services to over 60 mutual fund complexes. David spent 15 years at this large service provider and prior to that role, he worked in the legal departments for Fidelity Investments and PNC Global Investment Servicing (US), Inc.

    David has served on the NICSA Legal and Regulatory Committee and was a major contributor to an industry publication entitled “Building Investor Confidence: A Guide for Mutual Fund Boards of Directors.” He has also served on industry panels for BoardIQ, Independent Directors Council of the ICI, NICSA, State Street and Boston Financial Data Services.

    David entered the financial services industry in 1997 after beginning his legal career as a trial attorney in Boston.

    David holds a law degree from Ohio Northern University Pettit College of Law (1995). He also holds a Bachelor of Science in Political Science from East Tennessee State University (1993). He is a member of the Massachusetts and New York Bars.

    Steve Yadegari

    EVP, Chief Operating Officer and General Counsel, Cramer Rosenthal McGlynn, LLC

    Steven A. Yadegari is an Executive VP, Chief Operating Officer and General Counsel of Cramer Rosenthal McGlynn, LLC, a registered investment adviser located in New York. Mr. Yadegari also serves as Chief Legal Officer and Chief Compliance Officer for the CRM Mutual Fund Trust and is a Director of the CRM UCITS PLC. Prior to joining CRM, Mr. Yadegari worked at K&L Gates and before that Proskauer. Mr. Yadegari also has served as Senior Counsel in the Office of the Chief Counsel, Division of Enforcement at U.S. Securities and Exchange Commission and as an Attorney-Adviser in the Division of Market Regulation. He is a frequent contributor to industry conferences and publications. Mr. Yadegari is an adjunct professor at Benjamin N. Cardozo School of Law and teaches in the areas of dispute resolution and negotiation. Mr. Yadegari is a Past President of the Association for Conflict Resolution of Greater
    New York, a not-for-profit organization, and is a Past President and former Chairman of the Old Westbury Hebrew Congregation. Mr. Yadegari has received a BA from Brandeis University and earned his JD from the Benjamin N. Cardozo School of Law. Mr. Yadegari has been awarded an honorary Master’s Degree from the CCO University, a division of the Regulatory Compliance Association for which he serves as an advisor and Senior Fellow.

    John Detweiler

    Managing Partner, ParkLexington Advisors, LLC

    John Detweiler is founder and Managing Partner of ParkLexington Advisors, a focused consulting firm for Investment and Fund Managers. For the past 10 years, John and the ParkLexington Team have helped some of the most recognized investment advisors as well as boutique asset managers optimize their operations, banking services and transactions by improving performance, service, scalability, institutional quality and data management all while significantly reducing costs.

    Prior to ParkLexington, John has held senior leadership roles at BlackRock, AllianceBernstein and Axa Financial. He serves on the Board of Trustees at Springside Chestnut Hill Academy as
    the Treasurer and heads the Assets and Investments Committees. John has a Master of Business Administration in Finance from the Stern College of Business at New York University and a Bachelor of Science in Business from the Smeal College of Business at The Pennsylvania State University.

    John lives in Philadelphia with his wife Gail, two teenage kids and a Westie.

    Andi Mullins

    Independent Trustee, Angel Oak Funds Trust; Valued Advisers Trust

    Andi is an independent trustee for the Valued Advisers Trust since 2013 and currently serves as the Chairperson of the board, as well as head of the board’s audit committee.  In 2019, Andi also joined the Angel Oak Family of Funds as an independent trustee.  As a compliance consultant since 2014, she serves as the Chief Compliance Officer for SWM Advisors in St. Petersburg, Florida.  Prior to her current positions, from 1990 until 2010, she served in several accounting and operations positions in the asset management businesses of Raymond James Financial.  In her final position, she was Chief Financial Officer for the Eagle Family of Funds (currently known as Carillon Family of Funds).  Andi holds B.S. degrees in accounting and finance from Florida State University, and is a Certified Public Accountant in Florida.