2021 Digital Innovation Summit

October 19

  • Includes Credits Recorded On: 10/19/2021

    Opening Remarks and Cybersecurity and Fraud Prevention

    9:55am-9:59 am ET: Opening Remarks

    10:00am – 10:50am ET: Cybersecurity and Fraud Prevention: Ransomware, identity theft, account takeovers…the list goes on. Fraudsters and Cyber criminals are hard at work trying to disrupt your business, hold your firm hostage, and steal funds from you and your investors. Behind the dark curtain lies individuals, organized rings, and digital cyber technologies designed to disrupt and commit fraud. Our panel will explore the latest tactics these criminals are using and detail how new technologies like behavioral biometrics, passive voice biometrics, and multi-factor, app-based security can help you stay ahead of fraud. Learn the latest on how your organization can be better protected against these constantly emerging cyber and fraud threats.


    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.

    Mike Gray

    Chief Technology Officer, Thrive

    Michael has been a strong technology leader at Thrive over the past decade, contributing in the consulting, network engineering, managed services and product development groups while continually being promoted up the ladder. Michael’s technology career began at Dove Consulting and later Praecis, a biotechnology startup that was acquired by a top five pharmaceutical firm in 2007. Serving in his current role, he is now responsible for Thrive’s R&D, technology road-mapping vision, while also heading the security and application development practices. He is a member of several partner advisory councils and participates in many local and national technology events. Michael has a degree in Business Administration from Northeastern University and he also maintains multiple technical certifications including Fortinet, Sonicwall, Microsoft, ITIL, Kaseya and maintains his Certified Information Systems Security Professional (CISSP).

    Kimberly Sutherland

    Vice President of Fraud & Identity Strategy, LexisNexis Risk Solutions

    Kimberly Sutherland, Vice President of Fraud and Identity Strategy at LexisNexis® Risk Solutions, leads the North American commercial market for consumer fraud analytics, identity verification, authentication and fraud investigations. Her oversight also includes the ThreatMetrix, Emailage and ID Analytics fraud product lines. Kim joined LexisNexis Risk Solutions in 2006 and has over 20 years of experience leading business strategy, product management, and professional services.

    Leia Rudikiff

    Global Anti-Fraud Officer, Manulife

    Leia is the Global Anti-Fraud Officer of Manulife, an international financial services group that provides financial advice, insurance, as well as wealth and asset management solutions for individuals, groups and institutions. Over the last few years, Leia has been instrumental in building up the enterprise fraud risk management program.

    Leia's 17-year risk management experience also includes  a long tenure in the Internal Audit function where she held various positions including AVP of North America Insurance, accountable for providing assurance coverage of business lines in US and Canadian Segments.

    Prior to Manulife, Leia worked for KPMG LLP and Deutsche Bank in New York City. She lives in South Florida with husband and 10-year-old twin boys. Leia enjoys cooking, baking and staying active.

  • Includes Credits Recorded On: 10/19/2021

    Decrypting the Hype: Cryptocurrency and Tokenized Assets

    11:00am – 11:50am ET: Decrypting the Hype: Cryptocurrency and Tokenized Assets: Industry buzz regarding cryptocurrency and tokenized Assets abounds. We will discuss the opportunities and challenges for the asset management and financial services industries. Discover the growth opportunities over the next 2-5 years, what they mean for related technologies such as distributed ledger, and the implications to financial services as we know them.



    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.


    Andrew Czupek

    Senior Vice President, Northern Trust

    Reporting to the Global Head of Market Advocacy & Innovation Research, Andrew leads the advocacy effort in North America. The group focuses on enabling strategic decisions through market intelligence and research on regulatory and industry trends and exploring emerging innovations and technologies with a focus on education, commercialization and experimentation. Andrew is responsible for supporting business unit strategy development in relation to market and technology innovation while also coordinating Northern Trust’s key industry associations and regulatory engagements aligned to the bank’s strategic innovation initiatives. He is also responsible for researching and framing new market and technology innovations to drive profitable business growth and operational efficiencies.

    Andrew has over 25 years of experience at financial services institutions, major derivatives exchanges, clearinghouses and trading firms. He has been responsible for directing research on industry leading trends, functional design, testing and implementation support of industry leading technology and the transformation and globalization of traditional infrastructure and client activities.

    Andrew Forman

    Manager, EY

    Andrew is a Manager in EY's Blockchain practice, advising on digital asset strategy and blockchain product development. He works with financial institutions and corporates on the design and build of digital asset services, including offerings in the trading, custody, and payments domains. Andrew has led multiple tokenization efforts aimed at transforming financial, commodities, and sustainability markets. He has been building blockchain applications since 2016, and previously worked in consumer and enterprise finance software.

    John Lee

    Global Managing Director, Accenture

    John is a Managing Director and part of the Multi Party Systems/Blockchain Tech Incubation Leadership Team. An accomplished seniorexecutive and driver of innovative change. He was formally the Managing Director, Enterprise Innovation & Product Development for TMX Group where he led various Innovation and product development efforts.He was appointed to the Fintech Advisory Committee (FAC) with the Ontario Securities Commission (OSC) in 2018. During his 25 year career in Canada’s capital markets, John has built a strong track record of success in spearheading the development and implementation of world class software solutions in trading, clearing and market data. His vast industry experience also includes positions in equities and derivatives trading along with technology leadership supporting foreign exchange trading, investment banking, global payments, prime brokerage and securities lending.

    Rajeev Sambyal

    Director, BNY Mellon

    At Bank of New York Mellon Rajeev is building the Digital Asset capabilities. His leads efforts to identify and build innovative solutions using artificial intelligence, machine learning, and blockchain. Rajeev joined BNY Mellon from State Street where he held various engineering leadership roles building products using artificial intelligence and other emerging technologies. Rajeev holds graduate degree in Technology Management from Columbia University.

  • Recorded On: 10/19/2021

    Digital Innovation Summit Exhibitors

    12:00pm – 1:50pm ET: Digital Innovation Summit Exhibitors: Exhibitors will have the opportunity to live demo a product or offering of their choosing during the lunch portion of the Digital Innovation Summit.

    12:00pm ET - Northern Trust present, Investment Data Science
    12:30pm ET - Horizon8 presents, valid8Me
    1:00pm ET - SS&C Technologies presents, The Importance of Shareholder Intimacy
    1:30pm ET - Ultimus Fund Solutions presents, Modernizing the Investor and RIA Experience

    Paul Fahey (Presenting with Northern Trust)

    Senior Vice President, Head of Investment Data Science, Northern Trust

    As Head of Investment Data Science, Paul works with asset managers and allocators to better understand the investment decision process and to improve future decision making.  Partnering with expert fintech firms to leverage the power of data, behavioral analytics, investment analytics, and Northern Trust’s peer universe data to drive meaningful improvement to their investment strategy.  Prior to his current role Paul spent three years as the Chief Operating Officer (‘COO’) of Northern Trust’s Asset Servicing, Americas.  Before joining Northern Trust, Paul held multiple leadership positions at State Street in Boston, London and Sydney.

    Clare Flynn Levy (Presenting with Northern Trust)

    Founder and CEO, Essentia Analytics

    Clare Flynn Levy is the Founder and CEO Essentia Analytics, the leading provider of behavioral data analytics and consulting for professional investors.  Prior to founding Essentia, Clare spent 10 years as a fund manager, both active equity (running over $1bn of pension funds for Deutsche Asset Management) and hedge (as founder and CIO of Avocet Capital Management, a specialist tech fund manager). She ultimately “went native” into the software space as President of Beauchamp Financial Technology, a market-leading provider of portfolio management systems to hedge funds, which was acquired by Linedata Services S.A. Clare’s vision for Essentia is based on years of being the customer, followed by years of listening to the customer.

    Michele Bowman (Presenting with SS&C)

    Senior Director, Head of Digital Strategy, SS&C Technologies

    Michele is Senior Director, Digital Solutions at SS&C, responsible for digital strategy and experience design. In this role, she oversees the digital strategy including customer experiences, fraud prevention programs and fit-for-purpose integration products. Michele has more than 25 years of experience in the financial services industry of which 20 are in product development. She is passionate about the advancement of the customer experience resulting in a positive impact on people’s lives. Michele is a graduate of the Henry W. Bloch School of Management at the University of Missouri-Kansas City and holds a Bachelors of Business Administration with a Marketing emphasis. She has also earned her CERT certificate from Carnegie Mellon University in Cybersecurity Oversight. 

    Christian Cole (Presenting with SS&C)

    Head of Digital Solutions, SS&C Technologies

    Christian leads the Digital Solutions group for SS&C’s financial services division with global responsibility for the strategy, product management and solution teams. Prior to joining SS&C, Christian built and managed the Digital Practice globally for Capgemini, servicing Enterprise Financial Services firms. Christian has also led Product Management and Product Marketing teams for several Enterprise Software firms including SAP and HP where he specialized in developing new digital products/platforms and bringing them to market over several channels. 

    Ian Martin (Presenting with Ultimus Funds Solutions)

    EVP, Chief Administrative Officer, Ultimus Funds Solutions

    As Executive Vice President, Chief Administrative Officer, Ian works across all business lines to ensure that integration and synergy goals and activities are completed on time while meeting key financial targets. He also has executive management business line responsibilities within the Transfer Agent and Distributor.

    Ian is a seasoned veteran in mutual fund processing, shareholder servicing, efficiency and quality control. Prior to joining Ultimus, Ian was Executive Vice President and led the Transfer Agent, Shareholder Servicing and Dealer Clearing Services departments at U.S. Bank Global Fund Services. He was also Chairman of the Board for Trust Advised Portfolios.

    Prior to joining Fund Services, Ian was vice president and group manager of Mutual Funds and Entitlement Services department for U.S. Bank, where he oversaw all aspects of mutual funds, asset file, pricing, income, proxies and corporate actions.

    Ian received his Bachelor of Business Administration degree from the University of Wisconsin Oshkosh. He joined Ultimus in 2019 and has been in the mutual fund industry since 1992.

  • Includes Credits Recorded On: 10/19/2021

    FinTech Disruptors

    2:00pm – 2:50pm ET: FinTech Disruptors: The adoption of digital technologies by both companies and consumers during the pandemic has fueled the emergence of more and more FinTech solutions in the Financial Services and Asset Management communities. In this session, you will hear from industry experts as they explore how large enterprise organizations are partnering with (and in some cases, acquiring FinTech solutions) to drive innovation, improve the overall customer experience and increase productivity within their organizations.



    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.


    Anish Mazumdar (Moderator)

    Director, Aliter Investment Services

    Paul Fahey (Presenting with Northern Trust)

    Senior Vice President, Head of Investment Data Science, Northern Trust

    As Head of Investment Data Science, Paul works with asset managers and allocators to better understand the investment decision process and to improve future decision making.  Partnering with expert fintech firms to leverage the power of data, behavioral analytics, investment analytics, and Northern Trust’s peer universe data to drive meaningful improvement to their investment strategy.  Prior to his current role Paul spent three years as the Chief Operating Officer (‘COO’) of Northern Trust’s Asset Servicing, Americas.  Before joining Northern Trust, Paul held multiple leadership positions at State Street in Boston, London and Sydney.

    Karym Murphy

    Managing Director, Horizon8

    Managing Director of Horizon8 based in North America, she is responsible for leading the company’s global business.

    Karym has over 30 years of experience in financial services, specializing in new business development and marketing communications. She spent 14 years with State Street Corporation in the mutual fund and pension administration businesses. She was instrumental in establishing a global corporate communications group for State Street. Before joining State Street, Karym worked at Fidelity Investments, and Boston Financial Data Services as Chief of Staff to the company’s President and CEO.

    Karym is a Co-Chair of NICSA’s Technology Committee, a leading Mutual Fund Industry Association.

    Daniel New

    Managing Director, EY

    Daniel is a member of  EY’s Wealth & Asset Consulting Practice with over 20 years experience in the financial services industry serving clients in the areas of internal audit, regulatory compliance, risk management, process review and improvement, business performance, internal control review and project management assistance. Specifically, he works with firms to improve the overall effectiveness of operations and to assess and improve the internal control environment related to client operations.

    In addition, Daniel is the EY Private and FinTech leader for EY’s Financial Services Organization in New England where he is responsible for setting EY’s strategy in this area.

    Relevant experience:

    •Daniel leads teams responsible for providing internal audit outsourcing services, SOX testing, and risk management services for a few global asset management organizations.  Audit areas include (but not limited to) compliance, trading, and investment operations.
    •Daniel has led teams responsible for performing compliance attestation services for various global asset management organizations.
    •Daniel facilitates industry roundtables for internal auditors, chief compliance officers and FinTech executives.  Daniel is also a frequent industry speaker on various topics. •Daniel is a member of the American Institute and Massachusetts Society of Certified Public Accountants and is the former Co-Chair of the NICSA Compliance and Risk Management Committee and former Co-Chair of NCSA’s General Membership Meeting.

  • Includes Credits Recorded On: 10/19/2021

    Front to Back Solutions and Closing Remarks

    3:00pm – 3:50pm ET: Front to Back Solutions: Front-to-back solutions through a single integrated platform/provider is resonating with the buy-side clients and gaining momentum within the asset servicing business. Learn industry experts’ (CIO organizations, product owners and consulting firms) perspectives on how data and technology platforms, coupled together with advancements in big data and AI, are redefining the “ecosystem” and driving the way forward in solving business challenges.

    3:50pm – 4:00pm ET: Closing Remarks



    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.

    Gary Casagrande (Moderator)

    Head of Global Market Strategy, Confluence

    As Vice President of Global Market Strategy, Gary is responsible for overseeing market research analysis and developing and delivering marketing and messaging to support Confluence’s growth. Gary has more than 27 years of experience in the financial services industry with an in-depth understanding of mutual fund operations, technology, 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 in Finance.

    Jeff McCarter

    Chief Information Officer C & IS, Northern Trust

    Mark McKeon

    Managing Director, Global Head of Front to Back Solutions and International Product, BNY Mellon

    Mark McKeon is Managing Director and Global Head of Front to Back Solutions and International Products for Asset Servicing and Digital. He is also a member of the International Executive Committee.

    As Head of Front to Back solutions, Mark is responsible for the open architecture strategy which brings together our solutions, services and integrations with fintech’s to deliver a seamless operating model to our clients across front, middle and back office.

    As Head of International Products, Mark is responsible for delivering client centric solutions to accelerate growth across our global product capabilities.

    Prior to joining BNY Mellon, Mark was Senior Vice President and Global Head of Investment Analytics at State Street Bank.

    Mark earned a Bachelor of Science in Applied Mathematics and a Graduate Certificate in Financial Mathematics from Dublin City University.