Belinda Baldwin is the global head of IT strategy and planning at Janus Henderson Investors. She is a passionate IT risk management executive specializing in development of risk frameworks and strategy to minimize operational loss and continuously improve processes. Baldwin joined Janus Henderson in 2016. As the first line of defense function for Janus Henderson Technology, Baldwin and her team are responsible for planning and execution of business continuity tests and the maintenance of business continuity plans. The team also acts as the initial contact for crisis management for technology, escalating to enterprise crisis management and business continuity as needed. Additionally, Baldwin is responsible for the successful direction and oversight of the technology Program Management Office (PMO), a portfolio of 40+ multiyear projects with a budget of more than $100 million, and the technology risk management function, which identifies, documents, and manages risk across technology.
Previously, Baldwin worked at Bank of America as the head of strategy, governance, and capacity planning. While in that position, she directed a portfolio of corporate strategy and governance initiatives for the company’s enterprise capacity planning and provisioning in the global technology and operations organization. As the functional owner, she collaborated across international leadership teams and key stakeholders to define and execute the mission, vision, and objectives, as well as to develop policies, plans, and projects, build business cases and models, manage risk assessments and planning, and provide cross-functional team leadership.
Laura A. Bautista
Laura A. Bautista is an associate counsel at The Vanguard Group Inc., where she provides legal advice on foreign ownership limitations, mutual fund events, securities transactions, corporate governance, regulatory compliance and reporting obligations, and general business matters. Before joining Vanguard, Bautista served as associate general counsel at Marquette University, counseling clients on numerous legal and strategic aspects of university policy and operations, and as an adjunct professor at Marquette University Law School. She also practiced in the investment management, securities, and corporate practice groups of a large Midwest law firm, representing mutual funds, closed-end funds, interval funds, domestic and international private funds, and public and private companies engaging in securities transactions.
Bautista received her MBA from the Fox School of Business at Temple University, her law degree from Marquette University Law School, where she was a member of the Marquette University Law Review, and her BS in mathematics and criminology from Marquette University.
Andy Blomquist is the relationship manager for all investment money managers on the Empower Retirement platform. He is responsible for all mutual fund, collective trust, and stable fund agreements for all group retirement business. Blomquist is the primary business contact for external investment firms and joined the organization in 1999. Prior to joining GWI, he worked in dealer services for Liberty Mutual, and was a registered representative for Diversified Financial Concepts. Blomquist holds a bachelor’s degree from the University of Colorado at Boulder.
Stephanie Braming, CFA, partner, is the global head of William Blair Investment Management. She is also chairman of the board of trustees and president of the William Blair Funds, chairman of the William Blair SICAV, and serves on the firm’s executive committee. Braming is responsible for leading and setting the strategic direction for investment management, including broadening, deepening, and evolving the firm’s investment capabilities. She also chairs the leadership team for investment management and serves on the firm’s global inclusion council. Before assuming leadership of William Blair Investment Management in 2017, Braming was a portfolio manager for the international growth and international small cap growth strategies. Joining the firm in 2004, she was instrumental in portfolio construction and portfolio design and had a leadership role in the enhancement of the firm’s systematic research tools. Braming also served as portfolio manager for the Japan strategy from inception in 2013 to close in 2015. Before joining the firm, she was a principal at Mercer Investment Consulting and the Federal Reserve Bank of Chicago. Braming is a member of the CFA Institute and the CFA Society Chicago, where she served on the society’s board of directors, the Economic Club of Chicago, and The Chicago Network. She also serves on the Board of Governors of the Investment Company Institute (ICI), and is on the Board of Directors of the Museum of Science and Industry, and Working in the Schools (WITS). Braming received a BA from DePauw University and an MBA from the University of Chicago’s Booth School of Business.
Senator Sherrod Brown
A lifelong Ohioan, Senator Sherrod Brown has spent his career fighting for the Dignity of Work—the idea that hard work should pay off for everyone, no matter who you are, where you live, or what kind of work you do.
Building on his successful work to make the Earned Income Tax Credit permanent, Brown has a plan to overhaul our tax code to put people first, and to make hard work pay off for more Americans. That includes putting more money back in the pockets of workers and families, giving workers more power in the workplace, making it easier to save for retirement, and encouraging companies to invest in their greatest asset: the American worker.
Brown serves as chairman of the Senate Banking, Housing, and Urban Affairs Committee, where he played an instrumental role in passing the historic Wall Street reform law that established new consumer protections, created the Consumer Financial Protection Bureau, and reined in big banks. He’s fighting to end the corporate business model that puts short-term profits ahead of long-term investment in workers and communities, and to make it easier for everyone to find and afford a home.
On the powerful Senate Finance Committee, one of Brown’s top priorities is protecting the retirement security Ohioans have earned over a lifetime of hard work. In 2017, Brown helped secure permanent healthcare security for Ohio coal miners, and he continues to lead the fight for a bipartisan solution to the multiemployer pension crisis threatening millions of retirees, workers, and small businesses.
Marty Burns is chief industry operations officer of the Investment Company Institute. He joined ICI in 2006, and as senior director for operations and distribution, was responsible for facilitating middle- and back-office initiatives with industry stakeholders, and collaborating with stakeholders to pursue and achieve related regulatory, legislative, and public policy goals. A veteran of the financial services industry with more than three decades of experience working for government, private, and public enterprises, Burns also has managed securities processing and operations, asset securitizations, and banking regulation. He holds an MBA from DePaul University and a BBA from the University of Saint Francis.
Mike Catlin is the chief information security officer (CISO) at Capital Group. In his role as CISO, Catlin is responsible for strategy, delivery, and operation of Capital’s cybersecurity programs. In addition to leading the security and risk teams, he also serves as the head of infrastructure. In this role, Catlin has responsibility for engineering, delivery, and operations of the Capital technology infrastructure. Catlin is a member of the Audit Committee, the Information Security Steering Committee, and the Global Business Continuity Steering Committee. Catlin joined Capital in 1994 and has held management positions in both infrastructure and applications development. Before joining Capital, he was a lecturer at California State University, Fullerton, where he taught upper division and graduate courses in the computer science department. He also worked in the aerospace industry as a software developer on space and defense programs. Catlin holds a bachelor’s degree in business computer methods from California State University, Long Beach, and an MS in computer science from California State University, Fullerton.
Jay Clayton, who recently served as the chairman of the US Securities and Exchange Commission (SEC), is a senior policy adviser at Sullivan & Cromwell, advising on governance, markets, and regulatory matters. He also is the nonexecutive chair and lead independent director of Apollo Global Management and an adjunct professor at the University of Pennsylvania.
As chairman of the SEC from May 2017 to December 2020, Clayton focused on modernizing the regulation and oversight of the equity and fixed-income markets, concentrating on the interests of long-term investors. Under his leadership, the SEC addressed various market developments and emerging risks, including the digitization of assets, the COVID-19 economic shock, the Brexit and LIBOR transitions, and cybersecurity. Clayton was an active member of the Financial Stability Board, the International Organization of Securities Commissions, the Financial Stability Oversight Council, and the President’s Working Group on financial markets.
Before Clayton’s time at the SEC, he was a member of Sullivan & Cromwell's management committee, co–managing partner of its general practice group, and co-head of its cybersecurity group. He was a lead lawyer in an array of complex M&A and capital markets transactions, as well as regulatory and governance matters, in the financial, telecoms, energy, transportation, and e-commerce sectors.
Jamie Dimon became chairman of the board on December 31, 2006, and has been chief executive officer since December 31, 2005. He had been president from 2004 until 2018 and chief operating officer from 2004 until 2005, following JPMorgan Chase’s merger with Bank One Corporation. At Bank One, he was chairman and chief executive officer from March 2000 to July 2004. Before joining Bank One, Dimon held a wide range of executive roles at Citigroup Inc., the Travelers Group, Commercial Credit Company, and American Express Company.
Dimon is on the Board of Directors of Harvard Business School and Catalyst; chairman of the Business Roundtable; and a member of The Business Council. He is also on the Board of Trustees of New York University School of Medicine. Dimon does not serve on the board of any publicly traded company other than JPMorgan Chase.
Dimon graduated from Tufts University and received an MBA from Harvard Business School.
Brian Donadio is principal and global head of business continuity at Vanguard. Donadio is a member of the global risk and security division senior leadership team and leads an enterprise incident response team that has been at the core of Vanguard’s global pandemic response. He previously was a principal and senior counsel in the office of the general counsel, where he led the team responsible for litigation and dispute resolution, global privacy and data protection regulation, and various legal risk management matters. In addition to working with Vanguard’s US and international retail, institutional, and financial adviser businesses, Donadio and his teams have partnered closely with areas across Vanguard, including information technology, crisis communications, enterprise security, fraud prevention, human resources, enterprise risk, legal, compliance, and enterprise data governance.
Prior to Vanguard, Donadio served as law clerk to the Honorable Jay C. Waldman of the United States District Court for the Eastern District of Pennsylvania and worked as a litigation associate at Dechert LLP in Philadelphia. He is a graduate of the University of Michigan Law School and the University of Pennsylvania.
Nicholas J. Elward
Nicholas J. Elward is senior vice president and head of institutional product and ETFs in the strategic product and marketing group at Natixis Investment Managers. Elward and his team are responsible for product research and product development for a wide range of product types, including ETFs, hedge funds, separately managed accounts (SMAs), and bank commingled products, and for overseeing the ETF business. Elward is a member of the firm’s business innovation group, which works to address technology shifts in financial services, the Product and Services Committee, and the Risk Oversight Committee. He has more than 25 years of investment industry experience.
Before joining Natixis, Elward was a vice president of State Street Global Advisors in the global product and marketing group. He previously spent 14 years at Fidelity Investments working in a combination of US and international client-facing, product development, and product marketing positions. His track record includes research and development that spans equity, fixed-income, liquid alternatives, retirement solutions, emerging markets, global macro, infrastructure, ESG, MLPs, and mergers and acquisitions.
Since launching Natixis’ ETF business in 2016, Elward has been working tirelessly as an ETF industry leader focused on bringing active non-transparent ETFs to the market. Elward is a regular speaker at industry conferences on the topics of ETFs, active non-transparent ETFs, and product innovation. In addition to his work in the investment industry, Elward is an adjunct professor at Endicott College in Beverly, Massachusetts, where he teaches marketing, product, and sales management classes in the MBA program.
In 2019, Cathy Engelbert was named the first-ever commissioner of the Women’s National Basketball Association (WNBA), where she has executed a historic player-first Collective Bargaining Agreement, built and socialized a new economic framework to drive league revenue and owner success, and led the league’s 12 franchises through the COVID-19 pandemic response and a successful 2020 season. Engelbert retired as the CEO of Deloitte, after 33 years with the firm, where she was first woman ever to lead a big four professional services firm in the United States.
As a strong supporter of diversity and inclusion, Engelbert was the first woman to serve as chair of the Catalyst Board, a global nonprofit organization that promotes inclusive workplaces for women and was the first woman chair of the Center for Audit Quality Governing Board. Engelbert is a member of the Board of McDonald’s Corporation, also serving on its Audit Committee.
Engelbert was listed as one of Fortune’s Most Powerful Women for consecutive years. She is ranked on Glassdoor’s annual Employees’ Choice Awards honoring the 100 Highest-Rated CEOs, and among Crain’s 50 Most Powerful Women in New York. Engelbert has also been recognized as one of Working Mother magazine’s 50 Most Powerful Moms and one of Fast Company magazine’s Most Productive People.
Kenneth Fang is associate general counsel at ICI. He has also worked at ProShare Advisors LLC, Goodwin Procter LLP, Morrison & Foerster LLP, and the SEC’s Division of Investment Management. Fang received his undergraduate degree from the University of Michigan, his JD from the University of Maryland School of Law, and his LLM (with distinction) from Georgetown University Law Center.
Bridget Farrell is an assistant general counsel at the Investment Company Institute, where she focuses on issues including financial stability, private markets and private funds, investment advisers, digital assets, and LIBOR benchmarks. Previously, Farrell was senior counsel in the Division of Economic and Risk Analysis and the Division of Investment Management at the US Securities and Exchange Commission. She was formerly a compliance officer with Morgan Stanley Investment Management and an associate at Linklaters LLP and Gibson Dunn & Crutcher. Farrell received her JD, cum laude, from the University of Pennsylvania Law School and her BA from the College of William & Mary.
George C. W. Gatch
George C. W. Gatch is CEO of J.P. Morgan Asset Management’s global funds and global institutional businesses. He is also a member of the operating committee of JPMorgan Chase & Co.’s asset and wealth management line of business. Previously, as CEO of global funds management, Gatch led J.P. Morgan’s mutual fund complexes in Asia-Pacific, the Americas, and Europe. In 2005, he launched global funds’ US mutual fund platform, which he led for a decade. Earlier in his career, Gatch served as president and CEO of Japan’s DKB Morgan, and established J.P. Morgan Asset Management’s subadvisory and institutional mutual funds businesses. He joined J.P. Morgan in 1986. Gatch serves as chairman of the Investment Company Institute. He is also on the Investment Committee and board of directors for the Cathedral School of St. John the Divine in New York, as well as serving as a board member of New York’s Mohonk Preserve. Gatch holds a bachelor’s degree in political science and economics from Washington University in St. Louis, Missouri.
Carol W. Geremia
Carol W. Geremia is president of MFS Investment Management® (MFS®) and head of global distribution. She leads the firm’s worldwide client-facing teams as well as product and marketing strategy. As a member of the firm’s management committee, she helps drive MFS’ long-term corporate strategy. In these roles, Geremia oversees the management of the company’s global institutional and retail businesses, which span US and non-US markets. Her responsibilities include oversight of all teams managing relationships with large corporate and public retirement plans, sovereign wealth plans, global intermediaries, insurance companies, retirement platforms, and other advisory practices that distribute the firm’s investment products. Geremia joined MFS in 1984 and served as co-head of global distribution from 2011 through 2017. She has served as president of the firm’s institutional business since 2004. Before that, she was president of MFS retirement services, which serviced US plan sponsors and their participants. There, she spent 20 years devoting her expertise in fiduciary responsibility and stewardship to the retirement industry. Since joining MFS, Geremia has held roles focused primarily on fiduciary responsibility, stewardship, and sustainability, and she has actively engaged with clients at all levels to ensure that the firm builds products and services aligned with their needs. Geremia is a member of the City Year Seven Generations Board. She also serves as a member of the MFS Charitable Oversight Committee and as an advisory council member for Bridge Over Troubled Waters, Inc.
J. Christopher Giancarlo
J. Christopher Giancarlo, who served as 13th chairman of the US Commodity Futures Trading Commission, has been dubbed “Crypto Dad” for his celebrated call on Congress to respect a new generation’s interest in cryptocurrency. Considered one of “the most influential individuals in financial regulation,” Giancarlo also served as a member of the US Financial Stability Oversight Committee, the President’s Working Group on Financial Markets, and the Executive Board of the International Organization of Securities Commissions.
Giancarlo is senior counsel to the international law firm Willkie Farr & Gallagher. He is also the cofounder of the Digital Dollar Project, a not-for-profit initiative to advance exploration of a US central bank digital currency.
John Ginelli is the head of RIG specialty control at Vanguard, where he oversees the retail investor protection, privacy, access, and contingency programs. His responsibilities include developing and leading Vanguard’s senior and vulnerable investor strategy and operation.
Since joining Vanguard in 2005, Ginelli has led broker-dealer compliance, brokerage trading, inheritance services, and risk management for Vanguard’s retail business. Before Vanguard, Ginelli led initiatives across the financial services industry as a consultant for Deloitte, Arthur Andersen, and KPMG. He began his career by working for Merrill Lynch in fixed-income trading and research.
Ginelli earned an MBA in finance from the Stern School of Business at New York University, and a BA from Syracuse University. He holds FINRA Series 7, 63, 24, and 4 licenses. Ginelli completed the Leadership Philadelphia program, and graduated from the Securities Industry Institute through SIFMA and Wharton. In addition, Ginelli serves as board chair of Philadelphia Education Fund, a nonprofit serving students in the Philadelphia school district.
Melissa Roverts Harke
Melissa Roverts Harke is a senior special counsel in the Investment Adviser Regulation Office in the SEC’s Division of Investment Management. Her office is responsible for investment adviser rulemaking and guidance. Since joining the SEC, she has been heavily involved with several rulemakings, including the adoption and implementation of various rules under the Advisers Act, such as the marketing rule; the custody rule; registration and reporting rules, including Form ADV; and the pay to play rule. Before joining the SEC, Harke was an associate in the investment management group of the Washington, DC, office of K&L Gates. She received her undergraduate degree from Bucknell University and her law degree, with honors, from American University.
Jane G. Heinrichs
Jane G. Heinrichs is an associate general counsel for the Investment Company Institute, where she is primarily responsible for legal and regulatory issues relating to exchange-traded funds, money market funds, and municipal securities. Before joining the Institute in 2004, Heinrichs was an associate in the asset management group at Shearman & Sterling LLP, providing legal and regulatory advice to registered investment companies, private domestic and offshore investment funds, investment advisers, broker-dealers, and other financial institutions. From 1997 to 2000, she worked as an attorney for the US Securities and Exchange Commission, both in the Division of Investment Management and the Office of Compliance Inspections and Examinations.
Heinrichs received a JD, magna cum laude, from the American University, Washington College of Law, and a BA in philosophy from Binghamton University.
Chris Herd is the founder and CEO of Firstbase. Firstbase is an all-in-one provisioning platform for remote teams. Their platform lets companies set up, supply, maintain, manage, and retrieve all the physical equipment remote workers need to do great work at home as a monthly subscription.
Seema R. Hingorani
Seema R. Hingorani is a managing director at Morgan Stanley Investment Management. As part of the senior leadership team, Hingorani is focused on strategic client relationships, investment talent development, and diversity initiatives across the platform. She is also senior sponsor of the Diversity Council and a member of Morgan Stanley’s Diversity and Inclusion Senior Leaders Advisory Council. Hingorani joined Morgan Stanley in 2019 and has 25 years of investment experience.
Hingorani is also the founder and chair of Girls Who Invest, a nonprofit organization dedicated to increasing the number of women in portfolio management and executive leadership in the asset management industry. Previously, Hingorani was the founder and chief investment officer of SevenStep Capital, an opportunistic investment platform focused on seeding women portfolio managers.
Hingorani has worked with several organizations focused on issues concerning women and girls and is a prolific speaker on the topic of a more robust inclusion of women in the corporate sector. She was honored as the 2019 Bloomberg 50 “Ones to Watch,” the 2016 Woman with Impact by the Connecticut Women’s Business Development Council, and Wall Street Women Entrepreneur of the Year in 2015 by Traders magazine. Hingorani served as a member of the National Finance Committee of Secretary Clinton’s 2016 presidential campaign. She is an active member of The Economic Club of New York and 100 Women in Finance. Seema earned a BA in psychology/philosophy from Yale College and an MBA in finance from The Wharton School at the University of Pennsylvania.
Jason Hubersberger, Edward Jones principal, leads the mutual fund trades and trade operations departments in the operations division. Hubersberger began his Edward Jones career in June 2014. Before joining the firm, Hubersberger spent 22 years with two different asset managers as a leader in a variety of operations leadership roles dedicated to dealer, retail, and retirement services. He was named an Edward Jones principal in 2020.
Yie-Hsin Hung is the chief executive officer of New York Life Investment Management (NYLIM), New York Life’s $400 billion global multi-boutique third-party asset management business, a role she has held since 2015. In addition to being the highest-ranking female operating executive at New York Life, Hung is a member of its Executive Management Committee. She joined the firm in 2010 after having held a number of senior executive roles at Bridgewater Associates and Morgan Stanley, where she devoted more than 20 years of her career.
In 2020, Hung was selected by American Banker as one of the “25 Most Powerful Women in Finance,” the fourth consecutive year she has received this award, and in 2019, she was named to Barron’s inaugural list of the “100 Most Influential Women in US Finance.” Hung is a member of the Board of Trustees of Northwestern University and serves on the Executive Committee and the Board of Governors of the Investment Company Institute. Hung earned her MBA from Harvard University and BS in mechanical engineering from Northwestern University.
Christine Hurtsellers is CEO of Voya Investment Management, the asset management subsidiary of Voya Financial. Hurtsellers is responsible for overseeing all aspects of Voya’s asset management business, including institutional, retail funds, retirement, and proprietary portfolio segments. Based in New York, Voya IM has domestic operations in Atlanta, Scottsdale, and Windsor and global operations in London, Hong Kong, and Sydney. Before becoming CEO, Hurtsellers was CIO of fixed-income at Voya IM, responsible for leading a team of more than 100 fixed-income investment professionals. Previously, Hurtsellers served in a variety of roles at the Federal Home Mortgage Corporation and was also portfolio manager for mortgages and structured products at Alliance Capital Management and Banc One. She is a board member of Pomona Capital and a member of the US Treasury Borrowing Advisory Committee. Hurtsellers is on the board of councilors for the Carter Center and the southeast regional board of UNICEF USA.
Jonathan Isaac is vice president and managing director, product management for Eaton Vance Distributors, responsible for all of Eaton Vance’s open- and closed-end funds and separate account strategies. He manages the firm’s product and portfolio strategy and market intelligence teams, oversees all investment-related communications, and maintains the firm’s relationships with closed-end fund research analysts and designated market makers. He also heads up the responsible investment strategy team, which was formed upon the firm’s acquisition of Calvert Research and Management in 2016. Isaac joined Eaton Vance in 1994 and leads the firm’s new product development and launch efforts. He is also managing director of product strategy for Advanced Fund Solutions LLC, a wholly owned subsidiary of Eaton Vance Corp. He is responsible for all product-related activities associated with AFS. Over his career at Eaton Vance, Isaac has held a variety of managerial positions in the firm’s operations, marketing, and wealth management groups. His involvement with closed-end fund products dates to 2004 and coincided with dramatic growth in the firm’s closed-end fund assets under management. Isaac is a graduate of University College, London, in his native United Kingdom.
Lisa M. Jones
Lisa M. Jones is head of the Americas, president, and chief executive officer of Amundi US, Inc., the US division of Amundi Asset Management. She is trustee of the Pioneer Funds, and president and chief executive officer of the Pioneer Funds. Jones is also president of Amundi Distributor US, Inc. She is head of the US Executive Committee and US Management Committee, and a member of the Global Executive Committee. Jones has more than 30 years of experience in global financial services developing and building asset management businesses. In 2016 and 2020, Jones received the Top “Women in Asset Management Award” from Money Management Executive. Before joining Amundi US, Jones was global head of distribution at Morgan Stanley Investment Management (MSIM) and president of MSIM Distribution Inc. Before that, Jones was head of the global institutional division at Eaton Vance Management. She also spent more than 16 years at MFS Investment Management in leadership roles across both retail and institutional divisions.
Jones is a member of the Board of Governors of the Investment Company Institute and a member of the MIT Sloan Finance Group Advisory Board at MIT Sloan School of Management. Jones has served on other boards such as the Foreign Policy Association in New York, the advisory board of the Institutional Investor Institute, and the Board of Fellows at Trinity College. She is also a former trustee at the Pingree School Board of Trustees. She has a BA in economics from Trinity College.
Joanne Kane is the senior director of operations and transfer agency of the Investment Company Institute (ICI). Kane joined ICI in 2013 and is responsible for facilitating transfer agent initiatives with industry stakeholders and collaborating with stakeholders to pursue and achieve related regulatory, legislative, and public policy goals. Kane has more than 30 years of experience in the financial services industry, including extensive knowledge of transfer agency and compliance. Before joining ICI, Kane served as vice president of transfer agent governance and administration for Columbia Management Investors Services, Corp. Earlier in her career, she served as assistant vice president of transfer agent compliance with IXIS Asset Management Services. Kane graduated magna cum laude from Providence College with a BS in finance.
David Lamb is head of closed-end funds at Nuveen and has worked in the investment management business since he joined the firm in 1991. Lamb leads the closed-end fund product management and development efforts at Nuveen. He is also responsible for outside relationships related to closed-end funds and acts as a liaison to national exchanges, primary contact for the analyst community and institutional investors, and is current chair of the Investment Company Institute’s Closed-End Fund Committee.
Lamb graduated with a BS in finance from the University of Illinois. He has passed the CPA exam and holds the FINRA Series 7, 24, and 56 securities registrations.
Kevin Mandia has served as FireEye chief executive officer since June 2016 and was appointed to the company’s board of directors in February 2016. He was previously president of FireEye from February 2015 until June 2016. Mandia joined FireEye as senior vice president and chief operating officer in December 2013, when FireEye acquired Mandiant, the company he founded in 2004. Prior to Mandiant, Mandia was the director of computer forensics at Foundstone (acquired by McAfee Corporation) from 2000 to 2003, and the director of information security for Sytex (later acquired by Lockheed Martin) from 1998 to 2000. Mandia also served in the United States Air Force, where he was a computer security officer in the 7th communications group at the Pentagon, and a special agent in the Air Force Office of Special Investigations (AFOSI).
Mandia holds a BS in computer science from Lafayette College and a MS in forensic science from The George Washington University.
John Mari is managing director of intermediary oversight and transfer agency administration supporting Charles Schwab Investment Management, Inc. (CSIM). In this role, he leads two operational teams in managing intermediary and product distributor relationships and overseeing the transfer agent. Prior to joining Schwab in 2016, Mari was with Janus Capital Group (now Janus Henderson Investors) for 26 years, most recently as the vice president of distribution operations. There he was responsible for implementing a system to support intermediary oversight, negotiating service fee contracts, and managing sales operations. During his tenure at Janus, Mari also led teams in global strategy and business intelligence, global platform services, and institutional operations.
Mari earned a BA in economics from the University of Colorado Boulder, an accelerated MBA in financial services from the University of California, Berkeley, and the New England College of Finance, and an executive MBA from the University of Denver’s Daniels College of Business. He holds series 6, 26, and 63 licenses. Mari is also a member of the ICI Bank Trust Retirement Advisory Committee.
Marshall N. McIntosh
Marshall N. McIntosh is an executive vice president with PIMCO. He serves as head of internal and digital sales for US global wealth management out of their New York office. Prior to joining PIMCO in 2009, McIntosh held sales and marketing roles at Legg Mason, Citigroup, and American Skandia. He has 26 years of investment experience and holds an MBA from Columbia Business School and a bachelor’s degree in economics from the College of the Holy Cross. McIntosh serves as the chairperson for ICI’s Internal Sales Managers Roundtable, as an advisory board member of Reading Partners, New York City, and on the President’s Council Executive Committee at Holy Cross.
Chris McIntyre is a partner in the New York office of The Boston Consulting Group. He is on the global leadership team for asset management and leads the firm’s work on distribution and investment topics. McIntyre spent 10 years working in investment and distribution roles for leading alternative investment managers.
Katie L. McKay
Katie L. McKay is head of sales enablement and distribution strategy at John Hancock Investments, a division of Manulife, one of the world’s largest asset managers to employ a multimanager approach. In her role, McKay oversees the internal sales and specialized product sales teams, and is responsible for adviser segmentation strategies. She also leads sales enablement for the firm, which includes training and development, crafting messaging and positioning for the sales force, and implementing data and new technology. McKay brings more than 20 years of industry experience to her role in helping to build and implement the group’s mission and strategic vision for the entire sales organization.
McKay joined John Hancock in 2008 as the national sales manager for the annuity sales desk and has been leading the internal sales team for John Hancock Investments since 2011. Prior to joining the firm, McKay held roles as a mutual fund and annuity wholesaler, a financial adviser, and a 529 specialist. She earned a BA from Calvin College.
Eva M. Mykolenko
Eva M. Mykolenko is associate chief counsel, securities regulation with the Investment Company Institute and ICI Global. Mykolenko advocates on behalf of US and global regulated funds and their investors to securities regulators and multinational organizations in the United States and abroad. She started with the Institute in 2008 after more than eight years in private practice at Willkie Farr & Gallagher LLP and Shearman & Sterling LLP. While in private practice, Mykolenko advised mutual fund, hedge fund, and investment adviser clients on a variety of compliance, regulatory, and transactional matters. Mykolenko received her undergraduate degree from the University of Michigan and her law degree from the University of Michigan Law School.
Ronald P. O’Hanley
Ronald P. O’Hanley is chairman and chief executive officer of State Street Corporation. He is also a member of State Street’s Board of Directors. Previously, O’Hanley was president and chief operating officer of State Street and president and chief executive officer of State Street Global Advisors. Before State Street, O’Hanley was president of asset management and corporate services for Fidelity Investments, responsible for all asset management organizations and corporate functions and enterprise technology. Before joining Fidelity, O’Hanley served as president and chief executive officer of BNY Mellon Asset Management. During this time, he also served as vice chairman of Bank of New York Mellon Corporation and was a member of its executive committee. Additionally, O’Hanley oversaw all of Bank of New York Mellon’s activities in Asia. Before the 2007 merger of Bank of New York and Mellon, he was vice chairman of Mellon Financial Corporation and president and chief executive officer of Mellon Asset Management. Before Mellon, O’Hanley was with McKinsey & Company, Inc. and was elected a partner in 1992. He founded the investment management practice worldwide and was cofounder and coleader of the firm’s North American personal financial services practice. Additionally, he was a member of the worldwide property and casualty insurance practice.
O’Hanley received his BA in political science from Syracuse University and his MBA from Harvard Business School. He serves on the boards of Unum Corp., Rhode Island Commerce Corporation, Beth Israel Lahey Health, the Boston Foundation, IYRS School of Technology and Trades, Syracuse University, and WBUR.
Maureen Quill leads the registered fund servicing business of UMB Fund Services. In this role, she provides leadership and oversight to the company’s registered fund service lines. In addition to her leadership role with UMBFS, Quill serves as president and trustee of the Investment Managers Series Trust, UMBFS’ turnkey solution for starting/servicing a mutual fund. During her time with UMBFS, Quill has held roles of increasing responsibility. She served as chief operating officer after leading the transfer agency for many years. Before joining UMBFS in 1996, she spent 11 years with Kemper, holding positions with both Kemper Service Company and Kemper Clearing Corporation.
Quill has a bachelor’s degree in management and finance from Saint Mary’s College in Notre Dame, Indiana. She holds the Series 7, 24, and 63 securities licenses. Quill was honored by the Milwaukee Business Journal as one of their “Women of Influence.” She has also received UMB Financial Corporation’s highest recognition, the Leadership Award.
Donald Rolfe is a senior counsel at Capital Group. He has 20 years of investment industry experience and has been with Capital Group for 14 years. Throughout his career at Capital, Rolfe’s focus has been on legal and compliance issues related to mutual funds. Before joining Capital, Rolfe was a corporate and securities attorney with O’Melveny & Myers LLP in Los Angeles. He holds a JD from the University of Michigan Law School and bachelor’s degrees in history and political science from the University of California, Los Angeles. He is also a member of the California State Bar.
Cristina Santos is an inclusion and diversity executive with more than 20 years of corporate experience. As senior vice president, head of diversity, equity, and inclusion at Capital Group, she drives the evolution of Capital Group’s DE&I strategy to deliver on the goals of a culture of belonging, diverse teams of associates at all levels, meaningful impact on communities, and sincere leadership commitment and accountability. She also chairs the firm’s DE&I steering committee. In addition to her role at Capital Group, Santos gives back to the DE&I practitioner community through Cornell’s ILR school as part of the facilitating faculty in the diversity and inclusion certification program. Before joining Capital Group, Santos worked with Sanofi as the head of inclusion and diversity, total well-being, and equal employment opportunity for North America. In this role, she led the human healthcare company’s efforts to maximize the power of difference within, enabling a culture where employees are engaged, empowered, and included.
George Serafeim is the Charles M. Williams Professor of Business Administration and the faculty chair of the Impact-Weighted Accounts Project at Harvard Business School. He has taught courses in the MBA, executive education, and doctoral programs, and is currently teaching the elective course “Reimagining Capitalism: Business and Big Problems ” in the MBA curriculum, which received the Ideas Worth Teaching Award from the Aspen Institute and the Grand Page Prize. Serafeim has presented his research in more than 60 countries around the world, including to world leaders in government and business at events such as the World Economic Forum at Davos and the Aspen Ideas Festival. He ranks among the top 10 most popular authors out of more than 12,000 business authors on the Social Science Research Network.
Amy C. Sochard
Amy C. Sochard is the vice president of FINRA’s advertising regulation department. The department helps protect investors by ensuring members of FINRA use communications, including social media, digital advertising, and other marketing material that are fair, balanced, and not misleading. Sochard oversees the department’s regulatory review programs and business operations, including the development of technology to facilitate the review of communications. Sochard provides expertise and policy guidance to other FINRA departments concerning FINRA, SEC, MSRB, and SIPC rules pertaining to communications with the public. She also oversees the development of new rules, published guidance, and interpretations regarding communications, and she routinely speaks at industry events on these topics. Prior to joining FINRA, Sochard worked with a real estate syndication firm in Washington, DC. She received a bachelor’s degree with distinction in English from the University of Virginia and studied poetry writing at Columbia University.
With his extensive background in brokerage operations and mutual funds experience, Mike Stroble is uniquely suited to intermediary services. Currently, he serves as the director of PGIM investments intermediary services team within the mutual funds transfer agency and his responsibilities include intermediary oversight, communications, and onboarding. In addition, he serves as the DTCC liaison, and sits on a number of cross-functional committees within the organization such as the legal agreements team and others, where he provides operations-related input. Further, Stroble participates in a number of industry initiatives, including an intermediary oversight roundtable and various ongoing BTRAC projects. Prior to this, following the sale of Prudential’s brokerage business to Wachovia, Stroble joined Prudential mutual funds services, where he managed their mutual fund clearing operations. In this role, he managed day-to-day operations as well as numerous omnibus conversions and de-conversions across multiple dealer platforms and approximately 400 external fund families. While with Prudential Securities, he managed the mutual funds trade desk, where his focus became advisory program and omnibus trading and reconciliation. Stroble entered the mutual funds industry in 1993 with Prudential Securities, specializing in mutual funds settlement reconciliation, aiding the firm in moving toward the move to networking and omnibus trading and settlement.
Matthew Thornton is associate general counsel for the Investment Company Institute, with responsibility for a wide range of legal issues affecting registered investment companies. Thornton’s primary areas of responsibility include valuation, liquidity, stress testing, corporate governance and proxy voting, advertising/social media, issues related to fixed-income, anti–money laundering, target date funds, disclosure, and investment advisory matters. Prior to joining the Institute in 2014, Thornton was an associate in Dechert LLP’s financial services group from 2005 to 2014. Before practicing law, Thornton held positions in the financial services industry at SunTrust Banks from 1998 to 2005 and Merrill Lynch from 1997 to 1998. Thornton is a Certified Financial Planner™. He received his BA in economics from the University of Notre Dame and his JD from Georgetown University Law Center.
Mark Trenchard joined Putnam Investments in 1984. He held several different positions within Putnam’s investor services division through 1994, when he transitioned to Putnam’s defined contribution services division as a regional manager in plan sponsor services. In 2000, Trenchard assumed responsibility as director of Putnam’s control division, where he served until May of 2004 when he joined Putnam’s legal and compliance division, reporting to the chief compliance officer in his current role. The operational compliance department supports Putnam Investor Services, Inc. (PSERV) in its capacity as transfer agent for the Putnam Funds, and Putnam Fiduciary Trust Company, LLC (PFTC) in its capacity as a directed trustee for Putnam’s prototype retirement plans. Trenchard also serves as Putnam’s chief privacy officer.
National Geographic magazine photographer Ami Vitale has lived in mud huts and war zones, contracted malaria, and donned a panda suit—all in keeping with her philosophy of “living the story.” Recently, she has turned her lens to compelling wildlife stories, such as returning critically endangered, captive-born species like the giant pandas back to the wild, and attempts to save the last living northern white rhinos from extinction.
Vitale’s work is exhibited worldwide in museums, galleries, and private collections. She has garnered prestigious awards, including multiple prizes from World Press Photo, the International Photographer of the Year prize, and the Daniel Pearl Award for Outstanding Reporting. She has also been named Magazine Photographer of the Year by the National Press Photographer’s Association.
Vitale was the subject of a Mission Covershot, a National Geographic Channel TV series, and Over the Islands of Africa, a documentary series featuring her work in Madagascar. She is a founding member of Ripple Effect Images, a collective of scientists, writers, photographers, and filmmakers who document challenges facing women and girls in developing countries and donate that media to the organizations to assist in fundraising. She is also a member of the Executive Advisory Committee of the Alexia Foundation’s Photojournalism Advisory Board.
Laurie Wallace is Invesco’s business continuity senior principal. In this role, Wallace is responsible for creating business continuity policies, methodologies, and guidelines to ensure compliance across offices in North America, EMEA, and Asia-Pacific, providing leadership and support to prepare for potential and actual disruptive events, creating and documenting effective continuity and resiliency strategies, and partnering with the business and technology to ensure continuity of critical operations and delivery of services to clients.
Wallace is a business continuity professional with more than 25 years of experience and specialized skills, including business continuity planning, crisis management, emergency response, project management, disaster recovery planning, risk analysis, operational resilience, and technical writing. Before rejoining Invesco in 2019, she was a business continuity manager for the Texas office of the attorney general, Invesco, AIM Management, and Van Kampen American Capital.
Wallace maintains a variety of certifications, including Certified Business Continuity Professional (CBCP) and FEMA Professional Continuity Practitioner. She is a member of the Association of Contingency Planners (ACP) and the Investment Company Institute (ICI) Business Continuity Committee and has presented at national conferences on business continuity.
Samantha Withers is the EMEA lead within BlackRock’s legal and compliance shareholder monitoring and reporting team advising on portfolio management, trading, and disclosure obligations. Withers has more than 20 years’ experience in financial markets managing risk across a broad range of regulatory and compliance regimes and operational processes. Withers has worked at tier 1 investment firms on both the buy- and sellside, including Morgan Stanley, Barclays Capital, BZW, and, for the last six years, at BlackRock.
Carrie Wong serves as counsel and vice president for Dimensional Fund Advisors. In this role she is responsible for advising Dimensional and its subsidiaries and funds on global marketing, distribution, and sales activities. Before joining Dimensional in 2016, Wong worked for a registered investment adviser and broker-dealer, advising on general corporate and securities laws matters.
Wong earned a JD from the Santa Clara University School of Law and a BA from Boston University.
Douglas M. Yones
Douglas M. Yones is currently the head of exchange-traded products at the New York Stock Exchange, where he oversees the team responsible for the delivery of customized, full service end-to-end capabilities for ETP and closed-end fund issuers. From the moment an asset manager begins developing their product, the team at NYSE can help to drive product and index development, regulatory guidance and legal support, an unparalleled listing day experience, and long-term enhancement of product growth and distribution alongside superior market quality and liquidity. Before joining the NYSE, Yones spent 17 years at The Vanguard Group, most recently as the head of domestic equity indexing/ETF. He has earned the ChFC® designation.
Liz Young has more than 30 years of experience in the investment management industry. Her entire career has been with American Century Investments. She is currently the vice president of services and operations and is responsible for overseeing the contact center, back-office operations, and operational compliance for the transfer agent, broker-dealer, and registered investment adviser businesses. Young is also the chief privacy officer and money laundering reporting officer.
Young participates on several industry committees, including the ICI Fraud Working Group, the ICI Anti–Money Laundering Working Group, and the International Association of Privacy Professionals. Additionally, Young holds FINRA Series 6, 26, and 99 licenses.