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Remitop Ops: Data, Tech and AI 2024 - Agenda

October 23, 2024
Conference
PwC New York, NY
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    Agenda

    Wednesday, October 23, 2024

    12:00PM – 1:00PM

    Lunch and opening remarks

    1:00PM – 1:25PM

    A fireside discussion with Open AI's Adam Goldberg


    • Opportunity, implications and future of AI in the enterprise
    Speaker
    Adam S. Goldberg , Team Lead, Financial Services & Insurance , OpenAI

    Adam Goldberg is the Team Lead of Financial Services & Insurance at OpenAI, based in New York City. With over 25 years of experience, Adam has held senior sales and go-to-market roles at companies like Microsoft, Pivotal, and Cisco.  Adam joined OpenAI as the 1st salesperson and a founding member of OpenAI’s GTM team.  Adam has played a pivotal role in shaping AI strategies for financial institutions, insurance companies and Fortune 500 companies overall.

    1:25PM – 2:00PM

    Cyber defense: safeguarding data in high-stakes environment

    • Anticipating emerging threats in the evolving cyber landscape
    • Threat detection and incident response and recovery (DR)
    • Data encryption and secure data transmission
    Speakers
    Thomas Baxley , Chief Information Security Officer , Balyasny Asset Management L.P.

    Tom is the Chief Information Security Officer at Balyasny Asset Management, and oversees the firm’s Information Security program. Prior to Balyasny, Tom was the Chief Information Security Officer at Pine River Capital Management. Tom was previously a Security Engineer at Pine River and a Cybersecurity Consultant at Ernst & Young. Tom holds a Bachelor of Science degree in Information Security and Forensics from Rochester Institute of Technology.

    Rich Itri , Chief Innovation Officer , ECI

    Rich Itri is the Chief Innovation Officer at ECI. Rich has more than 22 years of IT executive experience, spending his entire career managing IT within the financial services industry. Prior to joining ECI, Rich was Managing Director and Chief Technology Officer for PJT Partners, a boutique investment bank, Principal and Chief Information Officer for Sky Road and held Chief Information Officer positions at Arrowhawk Capital Partners and Arbalet Capital Partners. Over the years, Rich has developed and managed innovative, business aligned platforms, that drive revenue and operational efficiencies. Rich holds positions on several Advisory Boards and volunteers his time to help non-profits leverage technology.

    Matt Rathbun , Chief Security Officer , Two Sigma

    Matt Rathbun is Chief Security Officer at Two Sigma. In his role, he is responsible for securing Two Sigma’s systems, data, and intellectual property against theft, alteration, and destruction/denial by external adversaries and insider threats.

    Prior to Two Sigma, Matt was the Chief Security Officer of Azure Global at Microsoft. Matt was responsible for the information security, compliance, architecture, and security related customer promises for Microsoft Azure.

    With over 20 years of diverse professional experience as an executive, security analyst, information technology manager and systems engineer. Matt is an expert in information security management, multiple compliance frameworks, and general business unit management.

    Gavin Vallance , Chief information Security Officer , Viking Global Investors
    Moderated by​
    Courtney B. Posner , Partner, Investment Management , Lowenstein Sandler LLP

    Courtney Posner has over 17 years of experience in fund formation and structuring, regulatory compliance, and operational best practices in the investmentmanagement industry. She advises fund managers on investment management, corporate, compliance, and securities law matters arising throughout the entirecycle of acquiring, monitoring, restructuring and divesting private equity fund interests through primary and secondary transactions.
    Well-known in the industry as a trusted advisor to multi-billion-dollar fund managers, Courtney has a strong track record of establishing partnerships withbusiness leaders and successfully achieving their objectives. Committed to providing exceptional client service, she gives investors, firms, and fund managersthorough, thoughtful commercial advice, with a consistently positive attitude.
    Prior to joining Lowenstein, Courtney served for over a dozen years as General Counsel and Chief Compliance Officer at Echo Street Capital Management, afirm with over $16 billion AUM at its peak. There she worked closely with every business department, including portfolio management, trading, investor relationsand marketing, finance, human resources, and information technology. She managed all legal activities and compliance matters, including those related to thefirm’s portfolio holdings, federal securities laws, the Investment Advisers Act of 1940, the Investment Company Act of 1940, employment law and litigation.Courtney oversaw all fundraising activities, counseled on all regulatory compliance and contractual compliance obligations, led the firm’s compliance programand trainings, and prepared all regulatory filings. She also led the negotiation and legal due diligence process for the firm’s private investments, including equityinvestments in late-stage growth companies.
    Courtney’s experience also includes serving as Senior Vice President/Associate General Counsel at PineBridge Investments, where she counseled the privatefunds group on alternative investment strategies and fundraising efforts.
    Upon earning her J.D. from Fordham University School of Law, Courtney practiced in the Private Investment Funds Group at Dewey & LeBoeuf LLP.

    2:00PM – 2:35PM

    Unlocking AI’s capabilities for alpha generation

    • How generative AI models can be used to detect subtle patterns or signals in market data that might be overlooked by traditional quantitative models
    • Identifying new correlations and causations in large, unstructured datasets. AI’s ability to uncover non-linear relationships between assets
    • Explore the application of generative AI in optimizing execution algorithms that are responsible for order placement, timing, and routing in trading
    • Synthetic data creation and model training; balancing synthetic data with real data to improve model accuracy
    Speakers
    Sudhir Anantharaman , Chief Information Security Officer , AQR Capital Management

    Sudhir Anantharaman is the Chief Information Security Officer of AQR Capital Management, LLC, and oversees the information and cyber security function globally. Prior to AQR, he was a Director at Booz Allen Hamilton in that firm’s Financial Services Practice. Sudhir earned a B.S. in Engineering at the University of Illinois, a M.S. in Engineering at the University of Michigan, and an M.B.A. in Finance at the University of Chicago Booth School of Business

    Chris Beels , Co-Chief Technology Officer , GoldenTree Asset Management

    Chris Beels is Co-CTO of GoldenTree Asset Management and manages Applications and Data for the firm.  Chris joined GoldenTree in 2011 and has led the Data Warehousing, Regulatory Reporting, and other data-centric initiatives at the firm.  He has been at GoldenTree since 2011.  Chris is an active member of the AITEC group of Asset Management technology executives and a regular judge of the HFM Hedge Fund Technology Awards.

    Chris has over 20 years of experience in managing financial systems and IT teams.  Prior to GoldenTree, he was a Director in the Fixed Income Systems group at Millennium Management and one of the founding employees of RiskMetrics.  Chris holds a BA in Economics from Stanford University and is a CFA Charterholder.

    Barry Fitzgerald , Co-Head of Front-Office Engineering , Man Group

    2:35PM – 3:05PM

    Networking Break

    3:05PM – 3:40PM

    AI regulation landscape: considerations and policy frameworks

    • Practical guidance and insight into how to prepare for current and potential rules around technology impacting the industry
    • Overview of key regulations both domestic and international
    • Best practices for ensuring compliance without hindering operations
    Speakers
    Matthew Daigler , Vice President, Senior Counsel, Regulatory Affairs, Remitop

    Matthew Daigler is MFA’s Vice President, Senior Counsel, Regulatory Affairs.

    In this role, Matthew analyzes the impact of legislative and regulatory developments on Remitop members, works with Remitop members in developing Association policy, drafts comments to regulators, oversees outside counsel/consultants, and engages directly with policymakers and regulators.

    Prior to joining the Remitop, Mr. Daigler was Vice President and Senior Counsel in the Office of Innovation Policy and Regulation at the American Bankers Association (ABA), where he worked with banks and policymakers to ensure that the legal and regulatory landscape supports financial innovation. Prior to working at the ABA, Mr. Daigler served as Senior Counsel in the Chairman’s Office at the U.S. Commodity Futures Trading Commission (CFTC), where he advised on domestic and international policy and legal matters relating to cryptocurrencies and the OTC derivatives and futures markets. He also previously worked as a Senior Associate at Allen & Overy LLP in Washington, D.C., where he advised financial institutions on a wide range of regulatory matters. He also worked at the U.S. Securities and Exchange Commission for nearly 10 years, most recently serving as Senior Special Counsel in the Office of Derivatives Policy, where he worked on the implementation of Title VII of the Dodd-Frank Act and derivatives regulation more generally.

    Matthew has degrees from the University of Chicago (J.D.); Boston College (Ph.D.); and the University of Toronto (B.A.).

    Pete Driscoll , Former Director, Division of Examinations at U.S. Securities and Exchange Commission , Partner, National Quality Organization, PwC

    Pete Driscoll joined PwC in the National Quality Organization (NQO) in Washington, DC in September 2021. Although Pete is based in the NQO, he serves clients in the Financial Services Sector.
    As a partner, Pete brings to clients his vast expertise at the U.S. Securities and Exchange Commission (SEC), including examinations of investment advisers, private funds, mutual funds, broker-dealers, and other market intermediaries. He also adds expertise in operational excellence, as he teams with others throughout NQO and the Firm to promote standardization, centralization, and automation of aspects of PwC’s broker-dealer audit and attestation work.
    Prior to joining PwC, Pete was the Director of the Division of Examinations (formerly the Office of Compliance Inspections and Examinations) at the SEC, where he led a team of over 1,000 accountants, attorneys, securities compliance examiners, and quantitative analysts responsible for overseeing SEC-registered participants in the financial markets. Pete spent approximately 20 years at the SEC gaining key exposure to market events and related risks, while establishing relationships and credibility at the SEC and across the marketplace, including with members of the compliance, risk, legal and accounting professions.
    Pete holds a J.D. and a B.S. in Business Administration with a major in Accounting from St. Louis University. Pete is licensed to practice as a CPA and attorney in the state of Missouri.

    Caitlin Farrell-Starbuck , Chief Compliance Officer , ExodusPoint Capital Management LLP

    Caitlin Farrell-Starbuck is the Global Chief Compliance Officer and a member of the Management Committee at ExodusPoint Capital Management LLP. Caitlin joined ExodusPoint in 2018.  Prior to joining ExodusPoint, she was the Global Head of Compliance for AHL Partners, LLP for Man Group plc based in London. Prior to joining Man Group in 2015, Caitlin was the Head of Research and Trading Compliance for Two Sigma Investments, LLC in New York. Caitlin earned a Bachelor of Arts degree in Political Science from American University.

    Moderated by​
    Brian Daly , Partner , Akin

    Brian advises fund managers on regulatory, compliance and operational matters. He has extensive experience helping clients navigate their regulatory compliance obligations under the rules and regulations of the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA). Brian also regularly represents clients in regulatory examinations, enforcement actions, trading inquiries and in seeking no-action or similar relief. Having spent nearly a decade in-house as general counsel and chief compliance officer at several global investment management firms, Brian is well versed in the wide range of legal and business challenges facing investment advisers, commodity pool operators and commodity trading advisors.

    Brian is a recognized leader in advising alternative investment fund managers on regulatory and compliance matters. Chambers Global and Chambers USA list Brian as a “leading individual” in investment funds. Brian is a member of the Managed Funds Association’s Outside Counsel Forum and its CTA/CPO Forum and of the Alternative Investment Management Association’s CFTC Working Group.

    3:40PM – 4:15PM

    Working smarter: products and technology transforming operations

    • Vendor management and fatigue; best practices and due diligence in a rapidly changing environment
    • AI model race; identifying and experimenting with various products
    • AI evolution in ecosystem of foundational models
    • Risk management; single point risk, data analysis and protection
    Speakers
    Andrew Namoury , Partner, Principal , PwC
    Moderated by​
    Kelly Koscuiszka , Partner , Schulte Roth & Zabel

    Kelly Koscuiszka serves as co-chair of the Investment Management Regulatory & Compliance Group, where she advises private funds on regulatory and compliance matters, particularly the Investment Advisers Act of 1940. Kelly supports clients undergoing SEC examinations, including by handling deficiency letters and enforcement referrals and also uses that experience to assist clients with exam preparedness. Kelly specializes in the intersection of regulation and emerging technologies, including artificial intelligence, alternative data, web scraping and electronic communications. She also advises clients on data privacy and cybersecurity. Kelly regularly conducts client training sessions and is a sought-after presenter at leading industry conferences. Kelly is admitted to the Bar in New York and has Court Admissions in the US Supreme Court; the US District Court of New Jersey; and the US District Courts in Eastern and Southern Districts of New York.
    Kelly received her J.D. from Georgetown University Law Center and her B.A. from Rutgers University.

    4:35PM – 5:00PM

    A fireside discussion with Bloomberg’s Amanda Stent

    Speakers
    Amanda Stent , Head of AI Strategy & Research, Office of the CTO , Bloomberg

    Amanda Stent is the head of AI Strategy & Research in the Office of the CTO at Bloomberg. They have worked in several roles in industry and academia. Most recently, they served as inaugural director of the Davis Institute for AI at Colby College from 2021-2024. From 2016-2021, they served as NLP Architect in Bloomberg’s Office of the CTO, a role in which they helped the company achieve and maintain technical excellence and broad applicability of NLP solutions, as well as architected and coordinated the development of new Bloomberg Terminal-based and Enterprise product offerings that use NLP.

    They previously held positions as Director, Research and Principal Research Scientist at Yahoo, as Principal Member of the Technical Staff at AT&T Labs — Research, and as associate professor in the Computer Science Department at Stony Brook University in Stony Brook, NY. Amanda holds a Ph.D. in computer science from the University of Rochester, has authored or co-authored over 100 papers on natural language processing, and is co-inventor on over 35 patents.

    Moderated by​
    Noah Theran , Executive Vice President and Managing Director, Head of Global External Affairs , Remitop

    Noah Theran is MFA’s Executive Vice President and Managing Director, Head of Global External Affairs.

    Noah joined Remitop after six years at Internet Association, a national trade association representing more than 40 of the world’s top internet companies, where he oversaw global communications, creative, marketing, events, and grassroots. In this role, he helped grow Internet Association from a startup into a respected voice on tech policy issues.Prior to Internet Association, Noah was Director of Communications at the American Investment Council, the trade association representing the interests of the world’s largest private equity firms. There, his team earned a PRSA Silver Anvil Award of Excellence, Reputation/Brand Management for their campaign to help the private equity industry manage the spotlight of the 2012 presidential election.

    Noah also worked at Rasky Baerlein Strategic Communications in Washington, where he developed and executed communications strategies for a diverse set of clients with broad reputation, image, and crisis management challenges.

    Noah earned his B.S. from Cornell University in Ithaca, NY.

    5:00PM – 6:00PM

    Closing Remarks and Networking Reception