The Third-Party Risk Management & Oversight Summit San Francisco 2019 featured 15+ hand-picked renowned speakers in the industry that shared best-in-class strategies to mitigate third-party risk factors.
Kimberley brings more than a decade of executive leadership experience in the Governance, Risk and Compliance space, building brand recognition, thought-leadership and revenue-accelerating marketing programs at companies including Thomson Reuters, SAI Global, the Global Association of Risk Professionals, Practical Law Company and Complinet.
As part of her role at Aravo, Kimberley develops thought leadership content designed to help third party risk professionals benchmark their programs, share best practice, elevate their conversations to the Board, and build the business case for investment in the development of their programs.
If you’re wondering where her accent is from – Kimberley is originally from New Zealand, and has also lived and worked in London and New York.
She now lives in San Francisco, and in her spare time enjoys travel and al fresco dining with her husband and bulldog.
Robin Andruss, CIPP,US,E,CIPM, FIP Director, Privacy
Robin Andruss, CIPP/US/E,CIPM, FIP has over 15 years experience in privacy, risk and compliance. Currently, as a Director, Privacy Governance for Twilio, Robin leads her team to help Twilio constantly improve and programatically scale their world class privacy program. Additionally, Robin is a frequent speaker on privacy topics and teaches IAPP certification training courses in her free time.
Prior to Twilio, Robin's privacy career includes privacy roles from TrustArc, Google and Yahoo, where she consulted externally with many clients in the privacy space @ TrustArc and then internally with all aspects of the business (Google & Yahoo).
Robin developed a strong background in project and process management, financial audit and compliance (Sarbanes Oxley internal/process audits), and consulting from Deloitte. Her background includes client work with Fortune 500 and industry leaders in the energy, technology, and healthcare industries.
Director of Market Development, Quantitative Investments
David Aubuchon Director of Market Development, Quantitative Investments
David Aubuchon is the Director of Market Development, Quantitative Investments at Refintiv based in San Francisco. David brings experience in the ESG space having worked with the application of this unique and expanding content across the Investment Management & Corporate landscape since 2008. With nearly 17 years in the Financial Services sector, his experience spans multiple disciplines including Strategy, Commercial Management, Technology, and Proposition Development. His recent areas of professional interest have him involved in the application of Data Science to the rapidly evolving world of Alternative Data.
David is a graduate of the University of Missouri – St. Louis (BS-MIS).
Sandra Bell is a Vice President, and CECL Program Manager at M&T Bank, with over 20 years experience in Financial Services and Fortune 500 Companies.
Sandra is a thought leader in Project and Portfolio Management, with a focus on Cybersecurity, Risk Management, Financial and ERP Systems. She has an MBA from Rochester Institute of Technology, and BSIT from Southern Illinois University. She is also PMP Certified and a Certified Scrum Master.
Sandra is also the founder and managing director of Relate Fast, LLC, a boutique IT Consulting firm, specializing in complex IT system implementations and integrations.
Recent professional engagements include:
- FDIC 370 Compliance for M&T Bank
- Workday Integrations Project for Global Medical Manufacture.
- Manage Bank-Wide Cybersecurity Risk Assessment Program for M&T Bank.
- Manage Data Center Consolidation Program for Global Medical Device Manufacturer
- Manage PCI Compliance Assessment Project for large Regional Bank.
- Director, PMO Portfolio and Process Control for Constellation Brands
Sandra is an Active Member of the Adirondack Mountain Club and PTFL Kayaking Club
Jennifer is the founder and CEO of Interos Inc. and started the company with the vision that the future of doing business would be built on data, artificial intelligence and machine learning around global business relationships. Her drive to be the world’s leading authority on supply chain transparency and assurance is embedded in the DNA of the company she built.
With more than 25 years of specialized experience in supply chain risk management (SCRM), vendor risk management, big data analytics, cybersecurity and supply chain strategy, Jennifer is a recognized leader in the development of integrated solutions that deliver mission readiness and operational excellence through the identification, visualization, and prioritization of opportunities and threats to an organization’s global business network.
In addition to her visionary work and success in the software industry, Jennifer is a sought after speaker on the topic, and is a leading voice on economic opportunity for women. Through her involvement with the W(omen) 20, Women Impacting Public Policy (WIPP), WIPP International and Quantum Leaps, she travels the world promoting women’s economic empowerment through opportunity, collaboration and entrepreneurship.
BobBreseis a VP and Executive Partner at Gartner, Inc., the world’s largest research and advisory firm where he advises and coaches CIOs and other C-Suite executives on business and technology strategies for mission and business success.
Bobis formerly the CIO of the U.S. Department of Energy, whose national laboratory and production facility missions range from open science to nuclear security. During his tenure as CIO, he led DOE to become the first Federal agency to fully convert from compliance to a mission-focused risk management approach to cybersecurity. He also led the stand-up of DOE’s supply chain risk management program to address the risk associated with growing dependence on external suppliers to the nuclear security mission.Bobalso served as a DOE executive in a number of other technology and national security leadership roles. Prior to DOE, he was a career nuclear submarine officer in the U.S. Navy.
Former Chief, FCPA Unit,U.S. Securities and Exchange Commission
Prior to joining Debevoise in 2017, Ms. Brockmeyer served as the Chief of the SEC Enforcement Division’s Foreign Corrupt Practices Act Unit and directed a nationwide team of attorneys and forensic accountants investigating violations of the FCPA, including anti-bribery, books and records, and internal controls provisions of the federal securities laws.
During her tenure as chief of the unit, she oversaw many of the agency’s largest and most complex FCPA investigations, and under her leadership, the SEC increased its coordination with other countries to reach global settlement resolutions. She was also one of the principal authors of the SEC-DOJ Resource Guide to the Foreign Corrupt Practices Act, which is widely considered the definitive government-issued guide on the FCPA.
Ms. Brockmeyer’s expertise extends well beyond the FCPA. Over a seventeen-year career at the SEC, including five years as an assistant director, she has led and personally conducted major investigations in all areas of SEC enforcement, including financial reporting, broker-dealer and investment adviser violations, and insider trading. She was also the founder and co-head of the division’s Cross–Border Working Group, an interdisciplinary group focused on addressing accounting fraud by companies based overseas. Before joining the SEC in 2000, Ms. Brockmeyer was in private practice in Chicago, primarily focused on securities and complex commercial litigation.
Ms. Brockmeyer earned her J.D. in 1992 from the University of Michigan Law School, magna cum laude, where she was also Note Editor of the Michigan Law Review. She received her B.A. from Williams College, cum laude, in 1989.
Samantha Cowan is the Security Compliance Manager at HackerOne, the #1 hacker-powered pentest and bug bounty platform. Samantha has extensive experience with complex security projects involving security monitoring, organizational compliance, threat detection, and incident response. Prior to HackerOne, Samantha was the Director of Compliance at OneLogin, as well as a security engineer at CoverHound / CyberPolicy, and Zenefits. Samantha holds an MS in Cybersecurity and MBA from the University of Maryland. She lives in San Jose with her amazing pup Layla, her sphynx Pancake and a number of snakes. She loves food, comedy, art, and music.
Jaymin Desai is a Certified Information Privacy Professional (CIPP/E , CIPM) and the Third Party Risk Offering Manager at OneTrust – the #1 most widely used privacy, security and third-party risk technology platform. In this role, Desai oversees a global professional services team of privacy certified consultants focused on formulating efficient and effective responses to data protection requirements. His team advises many of the world's leading organizations on General Data Protection Regulation (GDPR), California Consumer Privacy Act (CCPA) and ePrivacy (Cookie Law) solution implementations with extensive experience building and scaling enterprise-level privacy programs. He holds a B.S. in Biomedical Engineering from the Georgia Institute of Technology.
Melanie Gallagher Head of Third Party Risk Management
Melanie Gallagher is the Head of Third Party Risk Management at Intuit. She has a passion for GRC and building programs that are both effective and efficient – managing risk and demonstrating compliance while enabling the business to be nimble and innovative. She has spent her 20+ year career in high tech companies in Silicon Valley beginning with KPMG where she working with clients that included Apple, Acer, and Network Computing. Prior to Intuit, Melanie worked for Visa International, Apple, and a start-up, Raffage.com. Melanie is a CPA, CFE, CIA, and CISA. She is the recipient of the AppZen A.I. Vanguard Award for Artificial Intelligence Leadership in Finance. She loves music, hiking, and animals. In her free time, you can find Melanie enjoying wide open spaces, listening to her husband playing his guitar, and petting her cat Mabeline.
Lisa Glover-Gardin Senior Counsel and Compliance Program Manager
Lisa Glover-Gardin is a managing attorney in Google’s Ethics & Compliance team where she leads Google's Third Party Data Protection Program. In this role she works to ensure Google’s ongoing compliance with consent based and regulatory obligations; assists product teams in evaluating the impact of privacy laws, regulatory guidance, security safeguards, and enforcement actions on third party data sharing; and drives high-profile and high-impact projects involving data protection assessment and compliance. Prior to joining Google, Lisa was Legal Director of Employment and Compliance at Quantum Corporation.
Lisa is licensed to practice law in California, England and Wales; is a Certified Information Privacy Professional (CIPP/US) and IT Governance Practitioner. Lisa earned her law degree from Santa Clara University School of Law.
Amanda Hill is an Internal Audit Manager for Western Union, a global money transfer and financial services firm head-quartered in Denver, Colorado. Amanda delivers risk advisory and assurance services across the enterprise, with a special focus on Finance, Operations, and Third Party Risk Management. Her diverse professional experience includes technology, financial, and operational auditing; project managing; and management consulting. Amanda is a Certified Information Systems Auditor (CISA), with a BBA in Finance from Kennesaw State University and an accelerated MBA from Louisiana State University. In her free time, she enjoys running marathons and planning new travel adventures.
Bob Hirth was appointed to the nine-member standard setting board of the Sustainability Accounting Standards Board (SASB) upon its formation in 2017 and serves as a Vice Chair of the board. He currently heads SASB’s Technology and Communications sector committee and is a member of the Services, Healthcare and Extractive and Minerals Processing sector committees.
Serving as COSO Chair from June 2013 to February 2018, his activities included leading COSO’s project on revising its Enterprise Risk Management Framework which was released in September 2017, issuing COSO’s Guide on Fraud Risk Management and actively promoting COSO’s 2013 Internal Control Integrated Framework around the world and through the Media. He has worked on assignments and made presentations in over 20 countries, serving more than 50 organizations and working closely with board members, C-level executives, University professors, finance and accounting personnel as well as public accounting firm partners and employees.
He is a Senior Managing Director of Protiviti, a global internal audit and business risk consulting firm that operates in 22 countries. Prior to that, he was Executive Vice President, global internal audit and a member of the Firm’s six-person executive management team for the first ten years of Protiviti’s development.
In 2012, Bob was appointed to serve a two year term on the Standing Advisory Group of the Public Company Accounting Oversight Board (PCAOB) and was re-appointed to serve a three-year term ending December 31, 2016.
Bob started his career in public accounting and became a global equity partner of Arthur Andersen in 1988. During his tenure there, he worked in the Dallas, Melbourne Australia, San Jose and San Francisco offices, serving as a partner in both the audit and advisory practices of the firm. For over 20 years, he practiced as a CPA in Texas and California and also qualified as a chartered accountant and registered company auditor while working in Australia.
In 2013, Bob was inducted into The American Hall of Distinguished Audit Practitioners. In 2014 and 2015, he served as the Chairman of the IIA’s IPPF re-look task force. Bob graduated from Southern Methodist University in Dallas, Texas, with a concentration in accounting.
Rob Howe is on a mission to make compliance understandable, efficient, and a regular part of processes. As a 15-year veteran in compliance work and over 30 years in technology, he draws from both strategic and tactical experience to find solutions that meet current and future needs. Rob designed the first internet-based software update process for a major software manufacturer. He improved the efficiency and lowered the impact of annual control testing for multiple clients. Rob currently works analyzing global information security and data protection regulations for a high tech company.
Dianna is currently Senior Counsel, Global Compliance at Uber Technologies, Inc. providing advice on a wide range of legal issues primarily involving anti-corruption compliance matters. Dianna was previously Region Compliance Counsel - Western Hemisphere at Wood PLC, a global leader in project and engineering and technical services delivery. Dianna advised Wood PLC on anti-corruption compliance and business ethics matters as well as complex mergers and acquisitions. Before joining Wood PLC, Dianna was with the international law firm, Greenberg Traurig, LLP, where she advised clients on complex mergers and acquisitions, public and private equity and sports facility project finance transactions, as well as anti-corruption compliance matters. Dianna is a graduate of the University of Oklahoma (BBA - International Business) and Vanderbilt University Law School (Juris Doctorate). She is also a certified Compliance & Ethics Professional Œ International (CCEP-I), and enjoys her global practice immensely.
George Kaniarasseril, CPA
Third Party Risk Management Governance Manager, Americas
George Kaniarasseril, CPA Third Party Risk Management Governance Manager, Americas
Standard Chartered Bank
George is a Third Party Risk Program Manager at Standard Chartered Bank (SCB). From a 2nd line perspective, he is the primary owner of oversight for the TPRM program for all US and LATAM operations. In addition, he works to address a variety of issues for the TPRM program in the UK and Europe.
George began his career with PWC as a cyber security risk and controls specialist. Through consulting, he worked within a wide variety of industries to provide services to clients for forensics, privacy, attack and penetration, network architecture, incident response, and litigation support. In addition, he assisted clients to develop a strategic approach to security management, focusing on effective reporting and program measurement.
George continued his career in other public accounting firms and eventually made his way to PGIM, the large multinational asset management arm of Prudential. At PGIM, he managed a number of projects to support the 1st and 2nd lines of defense and worked towards the remediation of risks for an array of complex third party relationships. He actively participated in a number of enterprise-wide initiatives, such the implementation of GRC solutions and feedback towards third party risk program design.
During his 20 year career, George has served as a passionate thought leader and subject matter expert for industry associations, such as the Information Systems Security Association and Global Association of Risk Professionals. He is a Certified Public Accountant (CPA) and holds a Bachelors of Science from the Stern School of Business at NYU and a Masters of Science from the College of Old Westbury.
Peter Kohler leads a team dedicated to developing a detailed understanding of Refinitiv’s suite of risk management solutions and how they intersect with and support the needs of our customers. Mr. Kohler has been with the company since 2013 and has helped a range of customers including large financial institutions with domain and security expertise around governance, risk, compliance and third party risk.
Joachim Koopsingraven, CFE, CIA, studied business administration at the University of Essen in Germany (graduate) and Bond University in Australia (undergraduate).He started his career as an internal auditor for the German utility group RWE. He later joined the business software manufacturer SAP, where he worked in multiple countries as an audit expert focusing on internal fraud and compliance investigations in their corporate audit department. After transferring to the U.S. three years ago, Koopsingraven now works as Global Compliance Officer for SAP in their Newtown Square (Philadelphia) location and leads the Global partner audit and monitoring as well as preventive compliance audit teams. Koopsingraven has been invited to speak at several events, including conferences for the German and U.S. chapters of the Institute of Internal Auditors (IIA), the Association of Certified Fraud Examiners (ACFE) and for the Economics of Corruption lecture series at the University of Paderborn.
Bassel Korkor is an attorney with extensive experience in corporate compliance, including ethics, sanctions, and anti-corruption management. He has advised clients (including large corporations, start-ups, non-profits, and political organizations) on legal and compliance risk management, including helping clients navigate the sensitive and complex requirements of dealing with humanitarian and political issues related to the crisis in Syria. He has led teams covering Third Party, Ethics, Political Law, Charitable, and other Compliance areas at Fidelity Investments and currently at Charles Schwab. Bassel is a graduate of Northwestern University and The Ohio State University Moritz College of Law. He has previously been recognized as a “Top 40 Young Lawyer” by the American Bar Association, a “Rising Star” in Washington, DC by Thomson Reuters Super Lawyers, and a Texas Fellow of the American Bar Foundation.
Compliance Week Editor in Chief Dave Lefort is an award-winning journalist with an extensive background in content management and digital strategy. He spent nearly two decades in digital leadership roles at The Boston Globe and ESPN.com before joining CW in early 2018.
Lisa Beth Lentini Walker is the CEO and Founder of Lumen Worldwide Endeavors, a firm specializing in compliance, governance and ethics consulting as well as executive coaching to improve performance and well-being. She is an adjunct professor of law at Mitchell Hamline Law School. Lisa Beth is a skilled global business partner that has led award winning legal and compliance departments within large public corporations and privately held enterprises. She does this by strategically aligning resources to create efficiencies and advising the board of directors to further strategic initiatives while mitigating risks in all aspects of the domestic and global operations. She has held corporate secretarial, legal, compliance, ethics, governance and risk positions as an attorney at a Fortune 50 corporation, as the compliance leader of a global travel company operating in 150 countries and as the corporate secretary, chief compliance officer and co-chair of the risk council at a NYSE-listed corporation. Lisa Beth also served with US Securities and Exchange Commission in Washington, DC, in the Divisions of Corporation Finance and Enforcement.
Lisa Beth is a member of the Minnesota, New Jersey, New York and District of Columbia bars. She previously served as a board member of the Society for Corporate Governance and the SEC Historical Society.
She delights in the art of possibility. In her free time, she is an advisory board member to a women’s fashion startup, Alice Riot, she is part of the organizing committee for the Team Women (MN) annual leadership conference and she also serves on the board of Stages Theatre (a children’s theatre) in Hopkins, MN.
After spending years as an Executive Chief Compliance Officer and Chief Risk and Credit Officer at companies such as Bank of the West/BNP Paribas, Zions Bancorporation, SunTrust, and American Express, Karin Lockovitch recently started the ELA Risk Solutions with the vision of providing optimized and innovative risk and compliance advice and solutions for companies that need to create and/or strengthen their risk management practices in a manner that ensures adoption of relevant technological capabilities, optimizes resources and operational efficiencies, and enables increased organizational innovation and transformation.
With more than 20 years of broad experience in the design, implementation and oversight of risk and compliance programs, Karin has had the unique opportunity to see the evolution of risk management practices in an array of financial service organizations with varied products and services, ownership and legal entity structures, customer demographics and risk profiles, geographic footprints, acquisition channel strategies, regulatory oversight constructs, organizational risk tolerances, and risk culture and program maturities. Karin has worked in investment, retail, and commercial banks, in foreign-owned, publicly held, and holding company bank structures. She has been part of creating new bank charters, has worked with Fintech organizations on the design of their risk management programs, and led the design of effective bank and Fintech partnership models. She has also worked closely with all federal regulatory bodies, State AG’s, and European regulators and global and European oversight boards, and has a strong track record for cultivating and maintaining positive, productive and collaborative relationships with regulators. Karin is a recognized and influential leader in creating innovative risk and compliance programs and advocating for the necessary evolution of risk management through influencing risk culture and perception, rethinking risk management talent, adoption of relevant technological capabilities and process related efficiencies as a critical imperative, return to the fundamentals of conduct, customer protection and strength in internal control environments, and an intentional objective of creating risk programs that are nimble, innovative, engaged, more pro-active, and risk-balanced.
In addition to her impactful work and success in risk management, Karin is a sought-after speaker and writer on these topics, and a leading voice and advocate for the empowerment of girls and advancement of women in business. Through her involvement with the Girl Scouts of Utah, United Way Women United, Girls on the Run, Girl Scouts of Utah, and the University of Utah Women’s Leadership Program, Karin has had the wonderful opportunity to be a positive influence on the advancement and support of girls and women as they grow and develop confidence and sense of self, as they pursue education, career and professional advancement opportunities, and while they strive to balance their career objectives with their most important family and personal priorities, and a dynamic that Karin herself can personally relate to.
Dr. Stephen Malinak is Chief Data and Analytics Officer for Truvalue Labs. Stephen leads Truvalue Labs’ quantitative research team in applying artificial intelligence and machine learning techniques to create new financial signals from unstructured data. An industry leader in quantitative analytics, Stephen joined Truvalue Labs from Thomson Reuters, where he spearheaded the company’s quantitative analytics offering, StarMine, and developed over 15 quantitative models. He has an extensive track record of successful predictive models using widely varying techniques across numerous domains. He attended college at the Massachusetts Institute of Technology where he received his S.B. in Electrical Engineering and Computer Science. Stephen went on to receive his Masters and PhD in Engineering-Economic Systems from Stanford University.
Larry Navarro Senior Solutions Consultant- Process Strategy
Larry Navarro, Senior Solutions Consultant with ProcessUnity, has over 20 years of experience in recommending and implementing Third Party Risk and GRC solutions to organizations of all sizes.
Larry has helped organizations automate the identification and mitigation of risk and address the impact of regulatory requirements in Financial Services, Health Care, Energy, Manufacturing, Technology and Retail industries.
Larry holds a B.S. Degree in Business from California State University at Los Angeles.
Daniel Pepper is a partner in BakerHostetler's Privacy and Data Security group. Utilizing 25 years of comprehensive experience in information technology, data privacy and cybersecurity law, Dan advises clients on proactive data security practices, data breach incident response, and regulatory compliance. He frequently handles security incidents and has interacted with federal and state agencies and forensic service providers, overseen investigations, and designed post-incident response notification and remediation plans. In addition to his incident response work, Dan provides compliance support on applicable security laws, PCI-DSS, and security audit standards such as the NIST. He also facilitates in-depth security incident simulations and advises clients in third party privacy and security risk management, including conducting security assessments and audits.
Dan is highly knowledgeable in identifying, evaluating and managing risks associated with privacy and information security practices. Additionally, he stays on top of industry trends and applicable state, federal and international privacy and data security laws, including the General Data Protection Regulation (GDPR), California Online Privacy Protection Act, and the China Cybersecurity Law.
Dan also has experience handling technology transactions, primarily working with clients in the telecommunications and software sectors. He is proficient at structuring complex technology acquisitions, licensing and distribution arrangements, as well as cloud-based/SaaS transactions.
Mimi Plummer is a Senior Risk Manager for Microsoft, a global technology company headquartered in Redmond, Washington, where she leads the Enterprise Supplier Security Governance team. Her role focuses on evaluating and monitoring supplier security risks and control compliance across all domains. Previous to this role, she was on the Enterprise Business Continuity Management team at Microsoft, focused on ensuring the resiliency of critical services and their abilities to displace workloads / workforce globally. Prior to joining Microsoft, Mimi was a Logistics Coordinator at Schneider National. Mimi is a Certified Business Continuity Professional (CBCP) with a BA from the University of Wisconsin, and an MS in Global Supply Chain Management from the University of Southern California.
Vera Powell is Senior Counsel, Global Compliance at Uber in San Francisco. In her role Ms. Powell is responsible for managing a broad variety of anti-corruption compliance topics, including developing a risk-based third party risk assessment and due diligence process, conducting compliance risk assessments, and devising a compliance monitoring system.
Prior to joining Uber, Ms. Powell was an associate in the Government Investigations group of King & Spalding LLP’s Atlanta office. Her practice focused on white collar criminal defense, internal corporate investigations, corporate compliance reviews, and compliance counseling. Ms. Powell frequently represented large corporations in connection with investigations by the Department of Justice, the Securities and Exchange Commission, and state attorneys general into potential violations of the False Claims Act, the Anti-Kickback Statute and Stark Law, and the Foreign Corrupt Practices Act (“FCPA”) and other anti-corruption laws.
Prior to that Ms. Powell served as a Compliance Officer at Siemens, where she played a key role in the design and implementation of a best-in-class compliance program in the wake of one of the most significant FCPA settlements of all time to prevent, detect, and respond to violations of anti-corruption and anti-trust laws. As the Compliance Officer responsible for several U.S.-based divisions operating internationally, Ms. Powell worked closely with executive management and all relevant functions to foster a values-based compliance culture by continuously enhancing, monitoring, and enforcing the compliance program components. She conducted regular anti-corruption risk assessments, drafted and implemented various compliance policies, provided day-to-day advice to management and employees, and monitored the effectiveness of the compliance program by performing compliance reviews. Ms. Powell has lived and worked in six countries, and is fluent in five languages.
Adam J. Reback is a Director at Optima Partners, a leading global regulatory compliance advisory firm. Adam focuses on supporting the regulatory and compliance needs of Hedge Funds, Private Equity Funds, Registered Investment Advisers, Broker-Dealers, Independent Research Providers, and other global financial institutions. Adam is based in New York City. Adam has 25 years of investment management industry experience including 18 years as an in-house Chief Compliance Officer.
Prior to joining Optima, Adam was a Partner & CCO of J. Goldman & Co., L.P. (JGC), an SEC and NFA registered multi-strategy hedge fund manager with long/short equity and quant strategies comprising $1.6 billion AUM, where he served on the firm’s Operations Committee; led governance restructuring and jointly oversaw the HR, IR, Operations, and IT Departments. At JGC, Adam managed all legal and regulatory compliance matters globally, including the design, implementation and assessment of the firm’s compliance programs. Previously, Adam was the CCO of John A. Levin & Co., a publicly traded global asset management firm comprised of long-only strategies, hedge funds, mutual funds and a broker-dealer subsidiary comprising $16B AUM. Adam has held management positions on the sell side at Ladenburg Thalmann & Co. and Gruntal & Co. He held FINRA Series 7, 9, 10, 24, 62, and 63 registrations.
Adam is a regular contributor to various investment industry periodicals and frequently speaks at numerous industry events and conferences on a wide variety of topics, including insider trading, trade desk oversight, data integrity/big data compliance, third party vendor due-diligence, CCO liability and managing regulatory examinations and investigations. In 2016, Adam was invited by the SEC to speak at their Annual National CCO Outreach program.
Adam served on the Board of Directors of The National Society of Compliance Professionals (“NSCP”) from 2012-2018 where he created and chaired the NSCP Private Funds Committee. Adam attended New York University and completed the FBI Citizens Academy.
Head of Global Third Party Risk Management, Corporate Risk
Mary Rentoumis Head of Global Third Party Risk Management, Corporate Risk
Mary Rentoumis joined Wells Fargo in 2019 as head of Global Third Party Risk Management. In this role, she is leading an enterprise-wide third party risk management program charged with overseeing third party risks throughout the risk management lifecycle
Mary has more than 25 years of experience in financial services. Prior to her current role, Mary spent nine years as the head of Bank Oversight and Third Party Management at Charles Schwab Bank where she built and led teams as a change agent and innovation leader, safeguarding the operational and regulatory integrity of the Bank through a period of triple digit growth. She developed and drove the execution of mission critical programs with a focus on meeting regulatory expectations, including the Bank’s front line operational risk, third party management and business continuity programs.
Previously, she spent fifteen years leading teams in retail banking, commercial cash management, and middle market lending with Citigroup and Heller Financial (now GE Capital) and spent several years consulting for start-up Fintech companies.
Mary holds a Bachelor of Arts in History and Science from Harvard University. She is a life-long swimmer, an active member of a U.S. Masters swim team, and a Swimming Saves Lives Foundation volunteer trainer.
Tony is EY leader of the Consumer Products & Retail (CPR) Sector cyber security team in the Americas.
He has over 25 years of proven experience across a number of industries, working with public and private companies, early stage ventures, and government organizations. Tony leads cyber transformation engagements globally, advising clients on: assessing their cyber risk posture for resiliency, identifying their critical data assets, respective threats, and risk mitigation strategies as well as implementing appropriate people, process, and technology solutions to protect client networks, businesses, and brands.
Reese Solberg is a Senior Manager in the Advisory Services practice of EY. Reese leads EY’s west coast privacy practice and serves as a member of the firm’s Privacy Technology Steering Committee.
Reese has over 17 years of experience advising executives and product/service teams in designing, implementing and operating comprehensive data privacy programs. His work focuses on enabling trust by design across compliance areas to deliver more efficient and scalable operations, aligned to business drivers.
Prior to consulting, Reese served as Director of Privacy for Microsoft, where he managed the corporate Advisory team and was responsible for development of training and compliance related to emerging privacy issues.
Reese also served as Counsel and CPO to start-up and early stage companies in the United States and Europe.
Simon Tidnam is an experienced Senior Program Manager in the Security Assurance team at Uber. Simon has over 19 years of experience in program management, strategy, business development, and marketing. Simon earned his Master’s Degree in English Literature from The University of Edinburgh and his Master’s Degree in Marketing Strategy from Cornell University.
Alex Toews is a Chicago-based Risk Solutions Manager within Fusion Risk Management's product management and solutions pipeline. I have eight (8) years of experience working within numerous risk competencies across various industries, mainly focused in financial services. I have extensive professional experience across many areas of risk management and compliance, internal audit, corporate governance, regulatory requirements/expectations and program/project management.
My role as Risk Solutions Manager fits within the product management organization to support the successful definition, release, roll-out and market/customer adoption of one or more solutions related to Risk Management (Enterprise, Operational, IT, Vendor, etc.), Legal and Compliance Management, Business Continuity, IT Disaster Recovery, Crisis and Incident Management, and broad Program Governance.
This includes identification of critical capabilities within a solution area, collaborating with product managers to align those capabilities with backlog, development, and release activities and ensuring our products and features are built to fully address the solution requirements.
Mark Weatherford Global Information Security Strategist
MarkWeatherfordis the Global Information Security Strategist at Booking Holdings where he works with their brand companies that include Booking.com, Priceline, Agoda, Kayak, BookingGo, and OpenTable to create secure technology travel products for their millions of customers around the world.
He has held a variety of executive level cybersecurity roles including the Chief Cybersecurity Strategist at vArmour, a Principal at The Chertoff Group, and Chief Security Officer at the North American Electric Reliability Corporation (NERC).