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OPS 2018 - Operations Conference & Exhibition

JW Marriott Phoenix Desert Ridge Resort, Phoenix, Arizona
May 07 - May 10, 2018

Why Attend

Event Overview:

For 45 years, SIFMA’s Operations Conference & Exhibition has gathered operations, technology and regulatory leaders from across the securities industry to collaborate, share information and address challenges.

As the industry continues to evolve – responding to regulatory changes, shortening the settlement cycle, tapping into the transformative potential of technology and driving smarter efficiencies – today’s innovation is presenting new ways for firms to understand and interact with their customers, businesses, and the markets.

Join us at OPS 2018 as we explore the practical applications of breakthrough technologies in operations, compliance and the implementation of regulatory changes, evolving investor engagement, and management of new risks in support of safe and resilient capital markets.

About SIFMA:

SIFMA is the voice of the nation’s securities industry. We advocate for effective and efficient capital markets.

Source : Event Website


May 7   

12:00PM – 6:00PM

Registration Desk Hours

4:00PM – 5:00PM

Partner Workshops

5:30PM – 7:00PM

Welcome Reception

May 8   

7:00AM – 4:30PM

Registration Desk Hours

7:15AM – 8:15AM

Continental Breakfast – Exhibition Hall

8:15AM – 12:15PM

General Session

8:15AM – 8:30AM


Kenneth E. Bentsen, Jr.

8:30AM – 8:55AM


Lisa Kidd Hunt

8:55AM – 9:20AM


John P. Carlin

9:20AM – 9:45AM


Kathleen Lynch

9:45AM – 10:10AM


Michael C. Bodson

10:10AM – 10:30AM

Networking Break – Exhibition Hall

10:30AM – 10:55AM


Commissioner Brian D. Quintenz

10:55AM – 11:30AM

Featured Speaker

11:30AM – 12:15PM

As lead solo pilot of the Blue Angels, John Foley had to consistently perform as part of a team in an intense, high-stakes environment. Reaching that level of excellence required…


John Foley

12:15PM – 2:00PM

Networking Lunch – Exhibition Hall

2:00PM – 3:00PM


Tim O’Donnell

Join operational subject matter experts for an informative discussion on buy-side perspectives.  Topics include fintech and what asset management ops are doing now to adopt emerging technologies; ,.  Panelists will…


Louis J. Rosato, III, Bill Galipeau, Michael Herskovitz, Jason Minkler, Jesse Robinson

Operations professionals continue to focus on the mitigation of risk and enhancement of the customer experience driven by the evolving complexity and regulatory requirements in the corporate actions space. This session…


Carly Byrd, Lawrence Conover, James Monahan, Cynthia Rainis-Tirino, Daniel Thieke

Cognitive and analytical technologies are poised to introduce widespread change in the financial services industry. From regulation to middle and back-office…


Ron Lefferts, Christina K. McGlosson-Wilson, Mark J. Sullivan

The panel will discuss the industry Bulk Transfer initiative, a collaboration among regulators and the industry to create a common data and regulatory architecture for the efficient and speedy ‘bulk…


Michael Alexander, Michele Hillery, Lawrence Holmes

Why are leading financial institutions using an innovative digital platform approach to drive operational excellence? Tackling complex global financial issues requires powerful and new approaches for creating more compelling and…


Michael Heffner, Dennis Mackey

3:00PM – 3:30PM

Networking Break – Exhibition Hall

3:30PM – 4:30PM

Blockchain holds great promise to help transform securities markets and processes – but what does actual implementation of this technology look like? This panel will explore how the industry is…


Christopher Rigg, Pramod Achanta, Graeme McEvoy, James O’Neill, Jennifer C. Peve

Nearly 25% of all cyber incidents today are caused by malicious insiders or by employees unintentionally introducing malware into their environments through phishing attacks. Along with this, the number of…


Thomas M. Wagner, Craig Byrkit, Justin Harvey, Matt Miller, Alan Charles Raul, Ellen Schubert

In a world of instantaneous information and high-speed transaction processing, the account transfer process – which moves accounts between brokerage firms and/or banks – must ensure that it takes the…


Ellen Bocina, Kelly Cornwell, Helene W. Garcia, Bill J. Kapogiannis, Evan Oliveaux

Join subject matter experts to better understand how firms are currently applying the DOL’s fiduciary rule and an update on the status of the SEC’s Development of a Best Interest…


Kevin Carroll, Daniel Bender, Rob Cirotti

The recent explosion of data caused by the Internet of things, advancement in computing power and maturing algorithms has accelerated the adoption of artificial intelligence (AI), machine learning (ML) and…


Michael Alexander

The panel will examine the ongoing efforts led by the global regulatory community and both public and private sectors working groups,…


Roy Choudhury

The successful wealth management firm of the future will have to use new technology platforms to be able to deliver personalized client service and experience to different target groups. To…


Scott Reddel, Kendra Thompson

4:30PM – 6:00PM

May 9   

7:00AM – 4:30PM

Registration Desk Hours

7:30AM – 8:30AM

Continental Breakfast – Exhibition Hall

8:30AM – 12:15PM

General Session

8:30AM – 8:40AM


Randy Snook

8:40AM – 9:00AM

Featured Presentation: The Nexus Between Financial Services and Technology

During the next two to five years, the financial services industry will continue to undergo a digital transformation, driven by blockchain and other emerging technologies. Ms. McNamara will discuss what…


Grainne McNamara

9:00AM – 10:00AM

The transformative impacts of emerging technologies are not limited to new ways of interacting with customers, but have the potential to reshape the operations, systems, and processes that drive the…


Joseph Guardino, Phil Davies, Thomas A. Giacalone, Olga Naumovich, Murray C. Pozmanter, Thomas Tremaine

10:00AM – 10:20AM

Networking Break – Exhibition Hall

10:20AM – 11:15AM


Ira D. Hammerman, Anthony Russell, Bill Wollman

11:15AM – 12:15PM

General Session Panel

11:50AM – 12:15PM

Day 2 Keynote Speaker

12:15PM – 1:15PM


Ellen Greene, Andre Frank, Manisha Kimmel, Robert Walley

Breakout Session 2: U.S. Government Securities Market (Clearing and Tri-Party)

The US Government Securities Market is going through many changes. The changes include post trade settlement, a greater need for clients to mobilize these high-quality assets around the globe and…


Brian Ruane, Michael Albanese, Brian Disken, Philippe Seyll, Suzanne Sprague


Judith Ricketts, John P. Davidson, Thomas Ferlazzo, Michael McClain

Fannie Mae and Freddie Mac are scheduled to implement the Single Security in Q2 2019. Will you be ready for this significant change impacting the to-be-announced (TBA) mortgage=backed security (MBS)…


Stephanie Milner, Barbara Pak

1:15PM – 3:00PM

Sponsored Shadow Financial Systems, Inc. 

3:00PM – 4:30PM

Women’s Networking Event

10:00PM – 12:00AM

May 10   

8:00AM – 10:15AM

Registration Desk Hours

8:30AM – 10:00AM

General Session with Breakfast

8:30AM – 8:50AM


Scott Mullins

8:50AM – 9:15AM


Chris Church

9:15AM – 10:15AM

The transformation of middle and back office functions is well underway, driven by recent advances in fintech. Firms are tasked with selecting those products and services that will be most…


Stuart Bowers, Jan Dinger, Donald Marino, Laura Paul, Sanjay Vatsa

10:15AM – 10:15AM

Conference Adjourns

Exhibitor Brochures & Prospectus


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