MFA Ops: Data, Tech and AI 2024 - Agenda
October 23, 2024
Conference
PwC
New York, NY
Wednesday, October 23, 2024
12:00pm - 1:00pm
Lunch
12:55pm - 1:00pm
Opening Remarks
Speakers
Amy D’Annunzio
,
Managing Director, Sponsorship & Conferences, Managed Funds Association
Amy D’Annunzio is MFA’s Managing Director, Sponsorship and Conferences. She is based in the New York office and is responsible for managing and executing MFA’s marquee conferences. Amy works directly with the Chief Commercial Officer who leads the global Conferences and Events team.
Prior to MFA, Amy worked at Morgan Stanley as Vice President Firmwide Marketing and Events. At Morgan Stanley, Amy was responsible for the organization, production and execution of large scale events, conferences and meetings across all divisions, including the Firm’s Senior Management.
Amy graduated from the University of Massachusetts with a Bachelor’s degree from the Isenberg School of Management, with a concentration in Hospitality, Tourism and Event Management.
Barry Knee
,
Assurance Partner
,
PwC
Barry is an asset management partner in PwC’s New York Metro practice. He is also a member of their Global Asset and Wealth Management Leadership Team. Barry has over 30 years of experience in the investment management industry and is currently working with both alternative and traditional investment products including hedge funds, private equity funds, mutual fund, Business Development Companies, collective investment trusts and endowments. Barry has dealt with complex issues surrounding valuation of various asset classes, fund mergers, multi-class structures, master-feeder structures, share class reorganizations, complex performance fees and revenue stream valuations. Barry has assisted clients with their acquisition due diligence programs and has served as a Trustee on PwC’s pension plans performing due diligence on asset managers in that role.
Barry is a CPA and graduate of the University of Michigan. He is a member of the American Institute of Certified Public Accountants and the New York State Society of Certified Public Accountants and is licensed by the state of New York.
1:00pm - 1:25pm
A fireside discussion with OpenAI's Adam Goldberg
Speakers
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.
Moderated by
Calen Byers
,
Partner, Asset & Wealth Management, Asset & Wealth Management GenAI Sector Champion
,
PwC
Calen has over 17 years of professional experience providing assurance services to global private alternative funds. As the Generative AI Go-to-Market Leader for PwC’s AWM Assurance business, he engages closely with sector clients, trade associations, and key stakeholders to provide actionable, market-based insights that drive business outcomes. Calen leverages the breadth of PwC’s expertise to help clients operationalize AI responsibly, creating strategies that foster innovation while mitigating risk. Calen is passionate about helping clients ensure AI becomes a driver of value creation, transforming potential risks into opportunities for competitive advantage while ensuring regulatory compliance in a highly scrutinized environment.
1:25pm - 2:00pm
Cyber defense: Safeguarding data in high-stakes environments
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
Gavin Vallance is the Chief Information Security Officer at Viking Global Investors. Prior to joining Viking, he served as the Chief Information Security Officer at ExodusPoint Capital Management, where he joined at its launch in 2018 to build their global Information Security program from the ground up. Gavin has over 25 years of experience in enterprise technology and security, including 17 years in cybersecurity leadership roles.
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
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
Barry Fitzgerald is Co-Head of Front-office Engineering at Man Group. He is jointly responsible for all alpha generating technology delivered to Man Group’s investment teams; overseeing including their research and trading systems, Man Group’s central trading technology and quant platform teams; and working closely with the research and operations teams within Man Group.
Barry joined Man Group in 2008, initially working on the firm’s ecommerce operations. Since then, he has worked in a number of areas at Man Group, including trading cost analysis, risk, portfolio construction, ESG and technology tools for discretionary portfolio managers.
Barry holds a BA Mod in Computational Physics from Trinity College Dublin and a Higher Diploma in Mathematical Modelling from University College Cork.
Moderated by
Nora Richardson
,
Vice President, Membership & Investor Services
,
MFA
Prior to joining MFA, Nora was at Bank of America Securities as a Director in the Prime Brokerage Business Consulting team. Prior to that, Nora worked in both the U.S. and London offices of Bank of America as a prime brokerage account manager. She has more than thirteen years of experience serving equity, multi-strategy, and quantitative hedge funds of various sizes from new launches and emerging managers to institutionalized funds.
Nora graduated with honors from Fairfield University with a B.S. in mathematics and economics.
2:35pm - 3:05pm
Networking Break
3:05pm - 3:40pm
AI regulation landscape: considerations and policy frameworks
Speakers
Matthew Daigler
,
Vice President, Senior Counsel, Regulatory Affairs, MFA
Matthew Daigler is MFA’s Vice President, Senior Counsel, Regulatory Affairs.
In this role, Matthew analyzes the impact of legislative and regulatory developments on MFA members, works with MFA members in developing Association policy, drafts comments to regulators, oversees outside counsel/consultants, and engages directly with policymakers and regulators.
Prior to joining the MFA, 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
Speakers
Lancelot Esteibar
,
Legal Counsel, Head of US Regulatory Affairs
,
Marshall Wace North America LP
Lance currently serves as Legal Counsel, Head of US Regulatory Affairs of Marshall Wace North America.
Based in New York, Lance works within Marshall Wace’s Global Legal and Compliance division. He is responsible for all regulatory aspects of Marshall Wace’s North America business, including regulatory exams, investigations, registrations, reporting, regulatory change management and associated investment advisory issues. Prior to joining the firm, Lance served in similar roles at LMR Partners, KKR & Co., AQR Capital Management, and Morgan Stanley.
Lance holds a J.D. from the Benjamin N. Cardozo School of Law and a B.A. from the Johns Hopkins University.
Emiko Kamoda
,
Managing Director, Head of Prime, Digital Services
,
Goldman Sachs
Emiko is global head of Prime Digital Strategy, responsible for delivering solutions to Prime Services clients. In her previous role, she served as chief operations officer of GS Electronic Trading (GSET) globally, where she managed strategic equities initiatives, business metrics and client onboarding. Prior to that, Emiko led the development of Americas algorithmic trading products and has also worked as a sales trader in GSET. Emiko joined Goldman Sachs in 2000 as an associate in the Equities Division and was named managing director in 2015. Prior to joining the firm, she was a senior manager at Arthur Andersen LLP in the Financial Industry Group. Emiko serves as co-chair of the Americas Steering Committee at FIX Trading Community™, a nonprofit that addresses global trading and regulatory issues through standardization and Financial Information eXchange (FIX®) Protocol. Emiko earned an MBA, magna cum laude, in Finance from Columbia Business School. She is a CFA charter holder and a E certified public accountant.
Andrew Namoury
,
Principal
,
PwC
Andrew is a Principal with PricewaterhouseCoopers Advisory based out of New York. He is the New York Metro Third Party Risk Management Market Lead and Leads PwC’s US TPRM Managed Services offering with over 15 years of experience in technology strategy, operations, and third-party risk management for Fortune 500 companies. His experience has been focused on the development and implementation of strategies, operating models, and solutions to effectively manage risk and increase operational efficiency. Prior to PwC, Andrew worked at Deloitte & Touche for 4 years.
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.
4:15pm - 4:45pm
A fireside discussion with Bloomberg's Amanda Stent
Speaker
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
,
MFA
Noah Theran is MFA’s Executive Vice President and Managing Director, Head of Global External Affairs.
Noah joined MFA 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.
