Conference & Panel Appearances
I've been fortunate to speak at some of the financial services industry's most important venues for technology and compliance leaders — including FSI OneVoice and the FINRA Annual Conference. My sessions have focused on the technology challenges that matter most to broker-dealers and RIAs: vendor governance, cybersecurity risk management, digital account opening, and the practical realities of evaluating and implementing FinTech solutions in a regulated environment.
If you're interested in having me speak at your event or contribute to a panel, I'd welcome the conversation. Get in touch →
Panelist on modernizing digital account opening and onboarding experiences for broker-dealers and RIAs — covering workflow integration, advisor and client experience, straight-through processing, and compliance considerations. Co-panelists represented Pershing, Fidelity, and Docupace, with a moderator from Osaic.
Panelist on how independent broker-dealers assess, implement, and govern FinTech solutions — from evaluation and onboarding through integration, ongoing oversight, and offboarding. Co-panelists represented Cetera, Osaic, and Envestnet, with a moderator from Orion.
Panelist on structuring vendor governance programs across the full vendor lifecycle — procurement, onboarding, ongoing due diligence, incident response, and offboarding — for broker-dealer and advisory firms.
Panelist alongside FINRA Member Supervision leadership and the FBI Cyber Criminal Section on the evolving cyber threat landscape for broker-dealers — covering governance, incident response, supervisory expectations, and real-world case studies.
Panelist on practical approaches to modernizing security posture at independent broker-dealers — including risk-based control design, vendor and third-party oversight, branch-level controls, and aligning cybersecurity initiatives with broader technology modernization efforts.
My speaking work draws from firsthand operational experience, not theory. Current topics include:
Interested in having me speak at your event or contribute to a panel?
Get in Touch