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Achieving Competitive Advantage Through Operational Excellence In Client Lifecycle Management

Learn how Wealth Management & Asset Management firms can streamline operational processes and optimize experience across the client lifecycle.

  • September 23, 2020
  • 12:00 - 1:00 PM EDT
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In highly competitive times, the real differentiator is putting your client at the center of everything you do. With all the legacy processes and technology, increased regulatory scrutiny, and constant pressure to speed up onboarding and drive down costs, driving efficiency across client lifecycle management (CLM) and Know Your Customer (KYC) processes are no longer optional – it’s critical to achieving and maintaining competitive advantage.

Join Pega, Steve Ganis, Partner at the Mintz law firm, Matthew Faraone, Managing Principal at Capco and Dory Bowers, Director of Operations at Congress Asset Management to discuss why Wealth Management and Asset Management firms must accelerate their adoption of new technologies for continued success in “the next new normal.”

The session will include insights on:

  • Regulatory and industry themes impacting operational models today and in the future
  • How to drive efficiency across CLM and KYC in Wealth Management and Asset Management
  • How to put client experience at the center of building resilient, sustainable enterprises
  • Strategies for embracing digital solutions that streamline operational processes

Speakers

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Matthew Faraone

Managing Principal, Capco

Matthew Faraone is a Managing Principal at Capco in the Wealth & Asset Management practice where he is responsible for Cost & Operational Efficiency. In recent years, Matthew has been focused on building out and optimizing wealth management platforms. He has partnered with leading firms to design and execute upon their platform vision and strategy, define their client experience programs and segmentation offering and explore digital opportunities, which has enhanced FA and client-facing capabilities, improved operational efficiency and reduced operating cost across the end-to-end value chain. He is a recognized thought leader and has recently addressed several topics such as the ongoing challenges of client onboarding for wealth management firms and has been published in CXOtoday.com.

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Dory Bowers

Director of Operations, Congress Asset Management

Dory Bowers joined Congress Asset Management in 2013 as the firm’s Director of Operations. In this role, she is responsible for overseeing a team of professionals spanning operations, equity trading, trade settlements, information technology, and administration. Prior to Congress, she held senior operations roles at Boston Common Asset Management and Shepherd Kaplan LLC.

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Alyssa Lewis

Director, Americas CLM/KYC Sales, Pegasystems

An experienced Fintech sales executive, Alyssa has spent over 20 years selling enterprise solutions to some of the world’s largest financial services organizations. Joining Pega in March 2020, she is responsible for leading the Americas Client Lifecycle Management solutions sales efforts, focused on helping financial institutions achieve regulatory compliance and operational excellence through the power of intelligent automation.

Prior to joining Pega, Alyssa worked at AWS in Global Financial Services leading a relationship management team centered on the world’s top global banks. In addition to her financial services cloud experience, she spent 19 years at Bloomberg LP where she was a founding member of Bloomberg’s Enterprise Data and KYC Utility businesses and led consultative sales teams delivering transformative solutions across the firm’s full suite of financial technology offerings. Alyssa’s professional experience spans financial markets, enterprise market data and distribution technologies, cloud infrastructure solutions as well as regulatory process technology.

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Alex Dixon

Global Head Client Lifecycle Management & KYC, Pegasystems

Alex is Global Head of Client Lifecycle Management (CLM) and KYC business at Pega, where he’s focused on delivering thought leadership and products that meet clients’ needs now and are built to handle the inevitable changes in the future. Prior to joining Pega in October 2019, Alex worked at Morgan Stanley, JP Morgan, Credit Suisse and UBS covering Client Lifecycle and data responsibilities. His last role at UBS was as Global Head of Client Onboarding and Regulatory Compliance for the Corporate and Investment Bank, as well as Wealth Management in the Americas. He has successfully built out multiple client onboarding systems, as well as near shore teams in Krakow, Poland and Nashville, Tennessee, while guiding a team of over 300 globally. He has extensive regulatory experience in CLM, KYC/AML, Dodd Frank, EMIR, FATCA/CRS, and MiFID I & II, as well as in leading industry efforts such as the LEI Steering Committee and the creation of ISDA Amend to solve many regulatory issues. Most recently, he was at Bloomberg leading their Entity Exchange and Entity Intelligence businesses. Alex has a BS in Materials Science & Engineering from Lehigh University, and spent the first part of his career at Andersen Consulting coding in Cobol and C++ prior to moving into strategic transformation initiatives.

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Steve Ganis

Partner, Mintz Law Firm

Steve Ganis is a partner at Mintz, where he practices investment management, broker-dealer, and other financial services regulatory law. His clients include institutional and wealth asset managers, registered and private funds, investment advisers, fintech platforms, fund distributors, broker-dealers, transfer agents, trust companies, and other financial firms. Clients engage Steve to advise on projects involving trading, custody, distribution, fund administration, servicing, M&A, product launch/redesign, and financial institution formation and registration. He represents institutions and individuals in regulatory examinations and investigations and has achieved favorable outcomes in enforcement the SEC, FINRA, the CFTC, the NFA, FinCEN, OFAC, and banking and state regulators. His prior roles included Chief Anti-Money Laundering Officer of Fidelity Investments, House of Representatives Financial Services Committee Counsel, and Attorney in the SEC’s Office of the General Counsel. Steve graduated from Harvard Law School (J.D.) and Dartmouth College (A.B. Summa Cum Laude) and studied at the University of Bologna, Italy.

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