Women in Compliance
Leadership and Innovation in Compliance, Risk, and Data
Women in Compliance is full day conference and workshop for (female) executives in compliance, risk, data, and technology. While the focus is on investment management, the workshops and panels also feature insights and case studies from other industries to address some of the universal challenges and opportunities.
The setting and layout of The Penthouse at The Standard in NYC facilitates an intimate gathering for around 50-60 executives, mixing broader panel discussions with guided workshops addressing specific team and company challenges and how to resolve them.
Interactive topics include female leadership in compliance, risk and data; tech deep dives into AI, blockchain, cybersecurity; empowering and mentoring the next generation of leaders, culture and conduct, new global regulatory developments, and more.
Hosted with
Women in Compliance: Speakers
ALYSSA ALBERTELLI
KAREN BARR
LISA BLOOMBERG
JENNIFER CASSEDY
LEIGH EMERY
SHRUTI GANGULY
JACQUELINE HALLIHAN
DEBORAH KABACK
REBEKAH LETCH
ROSA LICEA-MAILLOUX
TERENCE MILLS
MICHELLE NEUFELD
PAM NORLEY
DIANE RIPSTEIN, M.Ed.
NESHIE TIWARI
JEANETTE TURNER
LINDA WONDRACK
VENETIA WOO
Women in Compliance:
Event Program
8:45 AM - 9 AM
Registration
9 AM - 9:25 AM
Welcome / Regulatory Overview of the Day
What are the key regulatory initiatives impacting the investment management industry in the US and globally for 2019 and beyond?
- Daniel Enskat, CEO, Compliance Strategy Institute
- Linda Wondrack, Head of Compliance, Advice Solutions
9:25 AM - 10:15 AM
Setting the Stage: Female leadership in compliance, risk and data
How are female C-level executives and their teams addressing systemic risks, technological innovation, culture and conduct in their industries?
- Alyssa Albertelli, Head of Ethics, Fidelity Investments
- Karen Barr, President and CEO, Investment Adviser Association
- Deborah Kaback, MD and Chief Legal Officer, Oppenheimer Asset Management Inc
- Neshie Tiwari, Chief Compliance Officer and Counsel, Ellevest, Inc.
10:15 AM - 10:30 AM
Digital Coffee Break & Top Questions to Workshop Further
10:30 AM - 11:20 AM
Workshops
Creating an impactful social media narrative for your company
Rebekah Letch, Co-Founder/CMO for Radha Beauty, Instagram Influencer with half a million followers globally, will share her insights into using social media for a double-digit million dollar PE exit in a workshop setting.
What is A.I.? Discussing intelligent systems of engagement
Terence Mills, CEO of AI.io, discusses intelligent systems of engagement.
Slaying the Presentation Dragon: How to Sound as Smart as You Are
Diane Ripstein, M.Ed, Chief Communicator at DianeRipstein.com, gives practical and theatrical communication tips to inspire your presence and presentation impact.
11:20 AM - 11:30 AM
Workshop Leader Debate of Overall Findings
The workshop leaders will report back the key findings to the overall group and the results will be debated in an open Q&A.
11:30 AM - 12:15 PM
Leadership and Life Lessons: 1-On-1 with Pam Norley
Pam Norley is the President of Fidelity Charitable, the largest charitable organization in the country. She also is on the board of the Greater Boston Food Bank and the Boston Ballet. Pam served as Fidelity’s EVP for Enterprise Talent and Relationships, as the co-Chair of Fidelity’s Community Committee for Corporate Citizenship, and also founded Fidelity’s female leadership group a decade ago . Pam will discuss leadership and life lessons for women in investment management in a 1-on-1 with Daniel Enskat.
12:15 PM - 1:30 PM
Lunch
1:30 PM - 2:20 PM
Tech Deep Dive: AI, Blockchain, Cybersecurity & Cryptocurrency
How are artificial intelligence and machine learning impacting enterprise wide compliance, risk, investment and data programs? What is the opportunity for women in facilitating digital and tech change?
- Lisa Bloomberg, Principal Director, Accenture
- Rosa Licea-Mailloux, Fund CCO, SVP, Deputy General Counsel, Natixis Investment Managers
- Terence Mills, CEO, AI.io
- Jeanette Turner, Chief Regulatory Officer, Compliance Solutions Strategies
2:20 PM - 3:10 PM
The Next Generation: Empowering and Mentoring Women
How are female leaders enabling the next generation of women to make the mark. Initiatives and case studies across industries and countries.
- Jennifer Cassedy, Chief Compliance Officer, BNY Mellon AMNA
- Leigh Emery, Chief Compliance Officer, Dynasty Financial Partners
- Shruti Ganguly, Filmmaker, honto88
- Michelle Neufeld, EVP Head of Compliance and Operational Risk, FIG, Wells Fargo
3:10 PM - 3:30 PM
Digital Coffee Break
3:30 PM - 4:15 PM
Summary & Outlook for 2019 in Compliance and Regulation
- Jacqueline Hallihan, Executive Director, Ascendant Compliance Management
- Rosa Licea-Mailloux, Fund CCO, SVP, Deputy General Counsel, Natixis Investment Managers
- Linda Wondrack, Head of Compliance, Advice Solutions
- Venetia Woo, Principal Director, North American Regulatory Strategy Lead, Accenture
4:15 PM - 7 PM
Networking & Cocktails
Brought to you by
Conference Organizers
Headquartered in Boston, Fidelity serves its customers through 10 regional offices and more than 190 Investor Centers in the United States. With 40,000-plus associates, our global presence spans eight other countries across North America, Europe, Asia, and Australia who are also working tirelessly to meet the needs of our customers.
The Compliance Strategy Institute (CSI) will host a series of global compliance roundtables in 2018 around issues of strategic and tactical concern for chief compliance and chief legal officers. The CSI focuses on big picture compliance panel themes such as compliance costs, global regulation, RegTech or compensation as well as specific regulatory changes and reporting requirements such as MiFID II, PRIIPs, SEC amendments, shareholder reporting et al) in workshop settings. CSI membership focuses on compliance solutions with in-person events, webinars, access to experts, proprietary research and ongoing regulatory updates.
Women in Compliance
Steering Committee
LINDA WONDRACK
DONNA DANIELS
ROSA LICEA-MAILOUX
SUSAN ROBINSON
Global Roundtables
Prior CSI Speakers
JENNIFER CASSIDY
KARA BROWN
TAMMY EISENBERG
AMANDA WAGNER
Conference Venue
The Penthouse at The Standard, East Village, NYC
The Standard, East Village, NYC
25 Cooper Square, East Village
New York, NY 10003
About the Conference
Sponsorship Opportunties
SPONSORSHIPS
The Women in Compliance conference will offer a unique opportunity for companies to raise their profile by meeting with top compliance executives. We will deal with the themes of strategic priority for CEOs and CIOs, as they think on a high level about compliance and its business impact for the coming years.
Join a select group of companies who are looking to maximize their firm’s exposure in front of this highly influential group of compliance executives.
SPONSORING AND MEMBERSHIP HAS BENEFITS THAT INCLUDE:
• Lead generation
• Prominent exposure for your company
• Highlighting your company's competitive advantage
• Face-to-face networking opportunities with your clients
SPONSORSHIP AND MEMBERSHIP OPPORTUNITIES MAY INCLUDE:
• Keynote and panel discussion speaking opportunities
• Company logo on event marketing materials, website, and onsite signage
• Sponsor recognition at the event
• Complimentary delegate passes
And more!
If you are interested in sponsoring or CSI membership, please contact:
Miriam Troendle
The Compliance Strategy Institute
[email protected]