SPARK National Conference

Conference Speakers

Tim Black

Tim Black
President,
Black Diamond Advisory Services LLC

Black Diamond Advisory Services was established in 2015 as a leading independent retirement plan advisory and consulting firm fully dedicated to consulting with retirement plan clients and their employees. With his unique background in finance, plan service, and plan distribution, Mr. Black applies over 25 years of retirement plan industry expertise to his clients.

He has received numerous industry accolades and is a sought-after speaker for engagements pertaining to retirement planning. He has been named a "Top 5 Retirement Plan Adviser" by PLANSPONSOR and PLANADVISER magazines; and listed among the "Top 300 Most Influential Consultants in Defined Contribution Plans" by 401kWire.

Prior to founding Black Diamond, he worked as a retirement plan consultant for 401(k) Advisors and other entities related to NFP Retirement, Mr. Black has also previously worked for a number of the recordkeeping industry's leading firms.

Serge Boccassini

Serge Boccassini
Senior Vice President,
Northern Trust

Serge is a Senior Vice President in Northern Trust's Institutional Product Management and Solutions Group. In his current role Serge is responsible for the research, identification, and development of products and services available to the Americas and APAC markets. Serge's team includes domain expertise in global custody, retirement, insurance, alternative assets, foreign exchange and accounting solutions. Serge also oversees the fund administration, regulatory, compliance and transfer agency products for both traditional and alternative asset classes.

Serge works closely with some of the leading research and publication organizations ensuring continuous market trend understanding, assessments and impacts which are presented results to our clients and partners. Serge also drives global market research which derives new areas of development and thought leadership such as; data management and strategy, Asset Transparency, Investment, Regulatory and Technology trends and impacts as examples. Previously Serge was principal and director of product Management at Northern Trust Retirement Consulting, L.L.C., supporting the firm's commitment to institutional retirement services.

Prior to joining Northern Trust, Serge was an assistant vice president in MetLife's Institutional Business supporting their Retirement Services Group. In that role, he managed all aspects of product and process development and enhancements, SEC and NASD compliance, as well as being a member of the operational review team for retirement business mergers and acquisitions. Year Started at Northern Trust1999 Year Started in Industry 1980 Credentials and Affiliations B.S. Degree in Business Management and Behavioral Sciences, St. Peter's University, Jersey City, New Jersey American Bankers Association - Council on Retirement and Employee Benefits The Defined Contribution Institutional Investment Association, Founding Member - Defined Contribution Alternatives Association.

Jennifer Brown

Jennifer Brown
Manager of Research,
National Institute on Retirement Security

Ms. Brown joined the National Institute on Retirement Security in 2015. Ms. Brown conducts original research and analysis regarding issues related to retirement and is often quoted by the news media.

Before joining NIRS, Ms. Brown worked at the U.S. Department of Labor. There, she worked on issues related to corporate transactions, financial products, and the Affordable Care Act. Additionally, Ms. Brown has held positions at Georgetown University Law Center as a researcher with the ERISA Legislative History Collection and several law clerk positions focused on pension and benefit plans and retirement policy. She is also a contributor to the Fifth Edition of the ERISA Litigation treatise. Additionally, she serves an Adjunct Professor at American University and is a Fellow with the Tax Policy Center at American University.

Ms. Brown holds an LL.M. in Taxation and a Certificate in Employee Benefits Law from the Georgetown University Law Center, a J.D. from the American University Washington College of Law and an M.S. in Law and Society from the American University School of Public Affairs. She earned a B.S. in Philosophy and Criminology from the University of Florida.

Bill Byerly

Bill Byerly
EVP, General Manager,
FIS

Bill Byerly is the EVP and General Manager of the Omni division. He is responsible for the direction and growth of Omni's operations, technology, client satisfaction and product development for FIS's wealth and retirement administration business.

With more than 30 years of experience, Bill has built scalable, comprehensive, and highly productive service delivery teams and platforms, including ten years of experience in off-shore and near-shore operations involving off-shoring work to India and within the U.S. as well as direct oversight of the off-shore resources.

Sheryl Craun

Sheryl Craun
Senior Managing Director, Head of Individual and Institutional Operations,
TIAA

As head of the global I&I Operations teams, Sheryl Craun is responsible for delivering TIAA's Pension and IRA recordkeeping services and capabilities to 3.7 million participants and 16,000 participating institutions. Sheryl is passionate about innovation and leading change. With a global team of about 1,100 associates, I&I Operations annually processes and recordkeeps more than 23 million individual and institutional retirement client transaction requests related broadly to contributions and withdrawals. She also is responsible for Enterprise Services, which includes enterprise mail, imaging, client-data maintenance as well as Financial Operations, Tax Reporting and Unclaimed Property. I&I Operations partners with areas across the enterprise to support our vision for growth with the goal of becoming fast, flawless and efficient.

Prior Experience: Sheryl joined TIAA in 2015, bringing more than 30 years of experience in the financial industry. She has held leadership positions at Fidelity Investments, The Vanguard Group, Deutsche Bank/Scudder Investments and ADP Retirement Services with responsibilities spanning retail and institutional client services, relationship management, call-center operations and retirement recordkeeping, as well as employee training and development. Sheryl earned her master's degree in Organizational Leadership from Southern New Hampshire University, and her bachelor's degree in Psychology from Messiah College. She holds NASD Securities licenses (Series 26, 6), was interviewed for a 2012 New York Times published article on Retirement Plans for Executives and is featured in Marjorie Brody's book Career Magic.

Outside Experience: Sheryl is on the Board of MeckEd , a non-profit, serving as an advocate for children and parents in Mecklenburg County Schools. Sheryl sits on the Executive Committee for the Heart Association Heart Ball, advancing research and education on heart disease. Most recently, Sheryl was named as Chair for the Sparks Institute, Senior Operations Committee.

Joseph DeNoyior

Joseph DeNoyior
Managing Partner,
Washington Financial Group

Joe is the CEO at Washington Financial Group (WFG) and leads the charge of WFG's retirement plan group which services over 150 qualified plans. Since 1990, he has maintained a commitment to building an organization centered on client needs that seeks to provide unsurpassed service and independent advice.

Joe is proud to lead the team at Washington Financial Group that was recently named the 2017 PLANSPONSOR Retirement Plan Adviser of the Year in the Small Team category.

Joe is the Past President of the National Association of Plan Advisors (NAPA) as well as a Founding Lecturer at The Retirement University for Advisors at UCLA and a member of the Retirement Advisor Council (RAC). He was recently named to the Financial Times Top 401 Retirement Plan Advisors list as well as one of PLANADVISER's 2018 Top 100 Retirement Plan Advisers. He serves on the board of The American Retirement Association.

Joe is a strong advocate of financial education for himself and his clients. He is an Accredited Investment Fiduciary (AIF, Chartered Retirement Plan Specialist (CRPS), Certified Plan Fiduciary Advisor (CPFA) and Certified 401(k) Professional -- C(k)P. He is also an instructor for The Retirement Advisor University (TRAU) in Collaboration with UCLA Anderson School of Management Executive Education, where he educates qualified retirement plan advisors enrolled in the two-year C(k)P certification program. He is a graduate of The George Washington University in Washington, DC and holds a Bachelor of Science degree in Business Administration and Finance.

Joe, his wife Stacy and son Anthony live in Vienna, Virginia. He is active in the hockey community as both a coach and a player. Joe is also on a consent quest for the best slice of pizza.

Mike Domingos

Mike Domingos
VP, Corporate Distribution & Strategy,
Prudential Retirement

Mike Domingos is vice president, Corporate Distribution and Strategy within Prudential Retirement, a business unit of Prudential Financial, Inc. (NYSE: PRU), and a leading provider of defined contribution, defined benefit, nonqualified deferred compensation plan administration, and institutional investment and risk management services.

Mike is responsible for leading the corporate market distribution team, nationally. This includes overseeing the development and execution of the distribution strategies for defined contribution, pension, and nonqualified plan services in corporate markets.

Mike entered the financial services industry in 1993, when he joined Prudential. He has a Bachelor of Science degree in business administration from the University of Hartford and is a Series 6, 7, 24, and 63 registered principal.

Terry Dunne

Terry Dunne
SVP, Managing Director,
Millennium Trust Company

Terry is responsible for executing key strategies, managing and developing the Retirement Services team. He brings over 35 years of sales and marketing experience in the financial services industry.

Prior to joining Millennium Trust, he served as director of marketing and client service at Harris Associates, and also held positions at Chicago Title and Trust, Arthur Andersen, and Harris Trust and Savings Bank.

Terry has written on a number of retirement plan topics for several different publications, including the American Society of Pension Professionals and Actuaries (ASPPA), Sage's Compensation & Benefits Review, International Foundation for Employee Benefits Plans, National Association of Bankruptcy Trustees, and Thomson Reuters' Westlaw Journal.

He holds a bachelor's degree in economics from the University of Notre Dame, an M.B.A. in accounting and finance from the University of Chicago, and a master's degree in taxation from DePaul University. He has previously held the Certified Public Accountant, Certified Financial Planner and Personal Financial Specialist designations.

 

Morian Eberhard

Morian Eberhard
Vice President, Threat Management and Monitoring,
Schwab Cybersecurity Services

Morian Eberhard serves as Vice President of Threat Management and Monitoring and joined Schwab in August 2017. In his current role Mr. Eberhard oversees: Threat Intelligence, Vulnerability Management, Penetration and Controls Testing, Cyber Risk Assessment and Remediation, Cyber Event Orchestration and Automation, Security Event and Incident Management, our 24x7 Security Operations Center, Incident Response, and Security Engineering.

Prior to assuming his current role, he served as Chief Information Security Officer of Zions Bancorp. He also served as Deputy Chief Information Security Officer of MUFG Union Bank since 2013 and Vice President of Enterprise Security since 2006.

Mr. Eberhard has significant cybersecurity experience, having served in senior leadership roles overseeing the design, development and operations of security for over 20 years. As Vice President the Threat Management and Monitoring program, Mr. Eberhard works closely with other risk management groups across Schwab enhancing and monitoring the cybersecurity of the company.

Marina Edwards

Marina Edwards
Senior Consultant,
Willis Towers Watson

Marina Edwards is a Senior Director consultant in Willis Towers Watson's Benefits Advisory and Compliance group. She serves as a national lead for DC compliance, plan design, vendor search and fee benchmarking projects. Marina applies her more than 25 years of 401(k), 403(b) and pension plan expertise to lead clients in a wide range of defined contribution plan activities, including vendor search projects for qualified and nonqualified DC plans, plan design studies, merger and acquisition due diligence and strategy, trustee and independent fiduciary searches, fee analysis and benchmark studies, plan compliance reviews and Puerto Rico plan administration.

Marina has spent more than half of her career working for Willis Towers Watson. She gained additional experience with an investment management and trust company as an assistant vice president and corporate trust officer, where she managed clients of all sizes.

Throughout her career, Marina has advised many large employers across a wide range of industries including health care, higher education, financial services, utility, food and beverage, pharmaceutical, oil and gas, and manufacturing. She is a recognized guest speaker for a number of national DC conferences and has been quoted in such publications as The Wall Street Journal, USA Today, Pensions & Investments, U.S. News & World Report and Workforce Management.

Marina earned her B.S. from the University of Wisconsin - Madison.

Peter Falco

Peter Falco
Director of Broker Dealer Services,
Financial Services Information Sharing and Analysis Center (FS-ISAC)

Peter D. Falco is the director of broker dealer services of the Financial Services Information Sharing and Analysis Center (FS-ISAC). The FS-ISAC is a non-profit corporation formed in 1999 and is funded by its 7,000 member organizations. The FS-ISAC's mission is to help assure the resilience and continuity of the global financial services infrastructure and individual firms against acts that could significantly impact the sector's ability to provide services critical to the orderly function of the global economy. The FS-ISAC shares threat and vulnerability information, conducts coordinated contingency planning exercises, manages rapid response communications for both cyber and physical events, conducts education and training programs, and fosters collaborations with other key sectors and governments.

For over a decade, Peter served as a SVP and Technical Officer for Roosevelt & Cross Inc., a broker dealer based in New York City. At Roosevelt & Cross, Peter oversaw all of the firm's technology - including voice, data, software development, and network systems - as well as being a co-author of the firm's business continuity plan. Peter has worked in a variety of other technology management roles with UPS (2000-2004), IBM (1997-2000) and Prudential (1995-1997).

Peter is an honored graduate of Saint Peter's College in Jersey City, New Jersey.

Russell Fernandez

Russell Fernandez
Senior Manager,
Deloitte Consulting LLP

Russell is a Senior Manager in Deloitte Consulting's Financial Services practice specializing in Retirement Services. Russell has more than 17 years of experience in Defined Contribution administration & retirement consulting, focusing on operations and technology transformation. Russell advises Clients on operational efficiency, business process design, large-scale system implementation, technology rationalization, data management & governance, cost transparency, customer experience & product and service segmentation.

Russell has experience working with a variety of retirement systems including core recordkeeping platforms (Omni and proprietary) as well as surround systems such as CRM, Workflow and Issue Management applications. Russell possesses strong project management skills, leading both complex projects and cross-functional teams.

Chris Gaston

Chris Gaston
Senior Policy Director,
Davis & Harman LLP

Chris Gaston is Senior Policy Director of Davis & Harman LLP. Chris has more than a dozen years of Capitol Hill experience and he represents clients on a wide range of issues before Congress, particularly retirement and savings policy.

Prior to joining Davis & Harman LLP, Chris served as Chief of Staff for U.S. Representative Rush Holt (D-NJ) who was a senior member of the House Committee on Education and the Workforce.

After growing up in Central New Jersey, Chris initially started with Rep. Holt as an intern and over the next twelve years, worked for Rep. Holt in a number of congressional and political positions. For more than five years Chris served as Rep. Holt's Legislative Director where he helped establish an ambitious legislative agenda and advised him on a diverse range of legislative issues. In that capacity, Chris was responsible for all of Rep. Holt's work on the Education and the Workforce Committee, including his legislative initiatives to promote retirement savings. Chris also led Rep. Holt's efforts to raise concerns about the Department of Labor's fiduciary proposal.

Chris graduated with a B.A. in Political Science with a Public Policy Focus from The George Washington University and received a M.A. in International Law and Politics from Georgetown University. He and his wife, Molly, have two active kids, Max and Clare, and one hyper active Border collie, Ace.

Mike Hadley

Mike Hadley
Partner,
Davis & Harman LLP

Mike Hadley is a partner in the law firm Davis & Harman LLP. He practices in the area of employee benefits, advising clients on the full range of tax, ERISA, and other laws affecting benefit plans. He has a particular focus on helping financial institutions that sell products to defined contribution and defined benefit plans, IRAs and similar plans navigate the special rules that govern those plans. He also provides clients with strategic advice, plan design, counseling, and compliance assistance for qualified plans, 403(b) and 457 plans, non-qualified executive compensation, employment agreements, and health and other welfare plans.

Mike was formerly Associate Counsel for Pension Regulation at the Investment Company Institute, the national association of U.S. investment companies. His responsibilities included advocating for the Institute's membership before Congress, the Department of Labor, the Department of the Treasury, and the Securities Exchange Commission on retirement security issues and assisting ICI members and staff in understanding tax and ERISA rules. Among other duties he managed ICI's work implementing the Pension Protection Act and responding to 401(k) fee, investment advice, and fiduciary developments in Congress, DOL, and the courts.

Prior to joining ICI, Mike was an associate with Covington & Burling LLP, where he advised clients on employee benefit plans and executive compensation arrangements, provided advice on ERISA litigation, and assisted with pension and benefits issues in mergers, acquisitions, and other corporate transactions.

Mike is a frequent speaker on the latest retirement savings policy developments coming out of Congress and the regulatory agencies and has testified before Treasury, IRS, and Department of Labor. A sampling of articles he has authored or co-authored: ERISA Compliance for Investment Advisers: A Q&A Guide To DOL's 408(b)(2) Disclosure Regulation, Investment Lawyer, Vol. 20, No. 7 (July 2013); The Economics of Providing 401(k) Plans: Services, Fees, and Expenses, 2010 ICI Research Perspective, Vol. 17, No. 4 (June 2011); and 401 (k) Plans: A 25-Year Retrospective, ICI Research Perspective, Vol. 12, No. 2 (Nov. 2006).

Mike was a law clerk for the Honorable Gerald Tjoflat, U.S. Court of Appeals for the Eleventh Circuit. He received his J.D. from the University of Virginia, where he was Notes Editor of the Virginia Law Review and elected to the Order of the Coif. He received his B.A., cum laude, from the College of William and Mary.

Josh Haims

Josh Haims
Principal,
Deloitte Consulting LLP

Josh is a Financial Services Partner solving his clients most complex and pressing Human Capital issues. In today's world of constant disruption, those issues include: Determining the future composition of the workforce; Enabling the digital organization; Managing the cost of labor; and Optimizing the employee experience- all centered around how to optimize the intersection of people and business performance.

He specializes in guiding organizations to activate their digital enterprise, reimagine the future of work, and how to redesign employee centric strategies to realize our clients future vision. He is Co-Dean of the Deloitte Chief Learning Officer Forum and Sponsoring Partner of the Wall Street Learning and Development Executive Roundtable.

Josh has served clients including Citigroup, Bank of America, JP Morgan Chase, US Bank, Ameriprise, American Express, State Street, TD Bank, BlackRock

Tom Kmak

Tom Kmak
CEO,
Fiduciary Benchmarks

CEO and co-founder of Fiduciary Benchmarks, 2007 to current. Fiduciary Benchmarks (FBi) is a premier and patented benchmarking service (U.S. Patent 8,510,198) for defined contribution plans that uses various mathematical models to help fiduciaries determine whether the fees they are paying to their service providers are reasonable in light of the value being received. Through their construction and presentation, FBi reports give plan decision makers the context necessary to improve decisions and positively affect the measures of long-term plan success. FBi reports are available primarily through advisor/consultants, recordkeepers, TPAs and other plan service providers.

Prior to founding FBi, Tom Started the JPMorgan Retirement Plan Services business in 1990 with American Century. Upon leaving in October 2007, that business employed 1,100 people serving 200 large plan sponsors with over 1.5 million participants and more than $115 billion in assets.

During his 18 years with Retirement Plan Services, the company initiated numerous industry firsts including no blackout conversions and the innovative employee education program, Audience of One. Tom also served on the Executive Committee for JPMorgan's asset management business.

Named by Ingram's magazine as one of Kansas City's inaugural class of "Forty most influential people under Forty," Tom is a recognized expert in the retirement services industry who has been a featured speaker at various conferences and has published articles in some of the most well-known periodicals in the industry.

Graduated Phi Beta Kappa from DePauw University with B.A. degrees in Economics and Computational Mathematics. He is also the first graduate of the Management Fellows Program and 3 year letterman in inter-collegiate basketball.

David Lebovitz

David Lebovitz
Executive Director, Global Market Strategist,
JP Morgan Asset Management

David M. Lebovitz, Executive Director, is a Global Market Strategist on the J.P.
Morgan Asset Management Global Market Insights Strategy Team. In this role,
David is responsible for delivering timely market and economic insights to clients
across the country. David helped build the Market Insights program in the United
Kingdom and Europe, has appeared on both Bloomberg TV and CNBC, and is
often quoted in the financial press.
 
David first joined J.P. Morgan in 2010. Prior to joining the firm, he was a
Research Analyst at Kobren Insight Management.
 
David obtained a B.A. in Political Science and Philosophy, with a concentration in
Leadership Studies, from Williams College in 2009. He earned a dual-MBA
degree from Columbia University and London Business School in 2015.
David Levine

David Levine
Principal,
Groom Law Group, Chartered

David N. Levine is a principal at Groom Law Group, Chartered. He advises plan sponsors, advisors, and other service providers on a wide range of employee benefits matters, from retirement and executive compensation to health and welfare plan matters.

Mr. Levine's areas of service include: the redesign of complex retirement, executive, and health and welfare plans; ongoing, day-to-day counseling of plan sponsors; in-depth compliance reviews of corporate and governmental benefit programs; and representation of tax-exempt organizations with respect to issues involving corporate governance, executive compensation, and unrelated business income tax liability.

Mr. Levine was previously the Chair of the IRS Advisory Committee on Tax Exempt and Government Entities (2011-2013) and is currently a member of the Executive Committee of the Defined Contribution Institutional Investment Association and serves in a number of leadership roles in the American Bar Association Tax Section's Employee Benefits Committee. Mr. Levine regularly speaks on plan design, fiduciary governance, and legislative issues and contributes a recurring column to NAPA Net -- The Magazine. He is recognized in The Legal 500 and USA Chambers guide for Employee Benefits & Executive Compensation.

Mr. Levine received his J.D., from the University of Pennsylvania Law School and his B.A., with general and departmental honors, from Johns Hopkins University.

Daniel Lyons

Daniel Lyons
Supervisory Special Agent,
Federal Bureau of Investigation

Supervisory Special Agent Daniel J. Lyons began his service to the Federal Bureau of Investigation in 1996. Mr. Lyons currently supervises all FBI financial crime matters in the State of Connecticut. These investigations include bank fraud, securities fraud, insider trading, investment fraud and corporate fraud.

Prior to serving as a supervisor, Mr. Lyons conducted white collar criminal investigations in the State of Connecticut from 2006 until 2012. Mr. Lyons worked in the FBI's New York office from 1996 until 2006. During his time in the New York Office, Mr. Lyons conducted investigations in the area of public corruption, financial fraud and organized crime. Mr. Lyons also spent four years serving as Associate Division Counsel in the FBI's Legal Department.

Prior to joining the FBI, Mr. Lyons was an Assistant District Attorney for the City of New York, Queens County. He is a graduate of St. John's University, School of Law. Mr. Lyons has presented numerous lectures on the USA Patriot Act to universities and civic groups. He has also published an article on the Federal Sentencing Guidelines.

John Mitchem

John Mitchem
Principal,
JM3 Projects

John Mitchem, Principal of JM3 Projects, has worked in journalism, public policy, executive communications and strategic content marketing.

His focus has been on emerging technologies, economic development, global capital markets, in asset management, fintech and retirement finance. JM3 projects has worked with leading financial services firms, trade associations, governments and universities around the world.

Jay Muller

Jay Muller
Manager, Business Systems Analysis,
DST / SS&C

Jay has seventeen years of experience in client support and services. For the past ten years Jay has been with DST and has been primarily focused on supporting the Mutual Fund and Retirement Servicing arms of the organization.

Jay is the manager of a team that specializes in complex workflow automation, system transformation, and process development/re-engineering. Jay is a founding member of the DST RPA Center of Excellence and leads internal automation implementations for the DST Mutual Fund and Retirement Services Operations teams. Using a combination of internal automation applications as well as Robotic Process Automation Jay's team delivers streamlined business process solutions that decrease processing time, reduce risk, and increase quality.

Ed Murphy

Ed Murphy
President,
Empower Retirement

Edmund (Ed) Murphy provides leadership and strategic direction for Empower Retirement's 5,000 associates. He directs all defined contribution, defined benefit, institutional and IRA markets. He also oversees all sales, marketing and global operations. Empower administers over $500B in assets serving 37,000 plan sponsors and 8.5M participants.

Ed brings 30 years of broad industry experience to his role. Before his 2014 appointment as President of Empower, he had served as Managing Director of the Defined Contribution and Investment Only business at Putnam Investments since 2009. He joined the firm's Operating Committee in 2011.

Previously, Ed held executive leadership roles for nearly 20 years at Fidelity investments in its institutional, private equity and retail businesses. He also served as President and Chief Executive Officers of Veritude, LLC and as a board member of BostonCoach, Advisor Technology Services, Seaport Hotel, World Trade Center and several other Fidelity-owned businesses. Earlier, he spent six years at Merrill Lynch.

Ed has written articles on retirement-related matters and has testified in Washington, D.C., before the House Committee on Ways and Means. He has also testified before the Department of Labor, the Treasury Department and the IRS. He speaks on topics ranging from investment advice to lifetime income solutions for retirees.

Ed is a board member of the Employee Benefit Research Institute, Cristo Rey School, Boston College Wall Street Council, and the New England Council. He holds a bachelor's degree from Boston College. Ed is a graduate of the General Manager Program at Harvard Business School.

Susheel Nesargi

Susheel Nesargi
Chief Technology Officer, Wealth & Retirement,
FIS

Susheel Nesargi is the chief technology officer for the Wealth and Retirement division at FIS. In addition, he leads all application development for FIS Retirement Solutions which includes the Omni and Relius recordkeeping platforms. With more than 23 years of IT experience, Susheel is a seasoned expert focused on technology strategy, execution, delivery management and product engineering.

Susheel joined FIS in 2004 and leads teams to research, explore and uncover new, innovative technology ideas, processes and their practical application to solve real world business needs for FIS and its clients. During his time with the company he has been an active participant and judge in annual FIS sponsored technology events including Codeathon, Hackathon and InnovateIN48.

Susheel has a bachelor of engineering degree in computer engineering and is currently driving the adoption of Robotic Process Automation within the business process outsourcing operations across FIS Wealth and Retirement, having successfully deployed software "bots" that are currently in production or in development.

Monica Oswald

Monica Oswald
Vice President, Operations & Business Support Services,
Prudential Financial.

Monica Oswald is vice president and head of Operations & Business Support Services for the Workplace Solutions Group of Prudential Financial. In this role, she leads centralized services, sourcing and business control functions for the Workplace Solutions Group, which encompasses the Prudential Retirement and Group Insurance business units. She works closely with business unit operations and corporate enterprise functions to execute and drive results on key cross-functional business initiatives.

Prior to her current role, Monica led the Business Administration team in Prudential Retirement and was accountable for the leadership of various business control, process improvement, and governance functions. She was also accountable for the strategy and execution of the integration of MullinTBG into Prudential Retirement which was part of a larger business segment transformation effort she led.

Monica's prior experience also includes leading the production and client services' functions within Prudential Retirement's sales operations organization and serving as the Chief Operating Officer for Prudential Bank & Trust, FSB and its predecessor, CIGNA Bank & Trust, FSB. In addition, her previous responsibilities while at CIGNA Retirement included leading operations and asset retention activities for its retail segment, Defined Contribution operations management, and mergers and acquisitions.

Monica's prior banking experience includes community bank management roles at Connecticut National Bank. Monica has a B.A. from Vassar College and an M.B.A. from The University of Connecticut. She currently sits on the Board of Directors of Prudential Bank & Trust and holds Series 7 and 24 licenses.

Alex Petrow

Alex Petrow
VP of Information Security,
Ascensus

Alex Petrow is the Vice President of Information Security at Ascensus. He joined Ascensus in 2011 and is responsible for information security across the enterprise. Alex formalized and grew the security program working closely with surrounding Risk Management, Legal, and IT teams.

Prior to joining Ascensus, Alex founded two technology start-ups and went on to information security consultant with PwC for nine years performing a range of capabilities from penetration testing and assessments to security strategy. Alex worked with large and medium-sized companies across several industries with a concentration in financial services.

Alex holds a bachelor's degree in Accounting Information Systems from Bryant University honors program and is CISSP certified.

Mia Puzo

Mia Puzo
Fraud Prevention SME,
Nuance Communications

Mia Puzo has been with Nuance for 10 years.

She first gained interest in Biometrics while working as a User Experience designer on the Professional Services team. After learning more about the technology, she joined the Biometric and Security team as a Manager and Fraud Prevention SME.

She is experienced in guiding customers through the security and fraud related aspects of biometrics deployments globally.

Rich Rausser

Rich Rausser
SVP, Client Services,
Pentegra Retirement Services

Rich leads Pentegra's Consulting, Product Development, Marketing & Communications, BOLI and Non-qualified Plan Sales and Actuarial and Technical Services teams. Besides that, he's an all-around good guy and Pentegra SmartPathTM champion.

Since joining Pentegra in 1997, he's traveled the county to visit over 1,000 clients, helped develop and launch new and exciting products and services, and has continued to add to his more than 30 years of experience in the retirement benefits field.

What He Likes Best About His Job: Rich loves what he does every day, and it shows. His broad knowledge of the retirement plan marketplace and deep insights when it comes to customer needs have been instrumental in not only expanding Pentegra's array of retirement solutions, but also helping us market them, and have made him a sought after speaker on retirement benefit topics. One of his favorite things to do is to share his knowledge to help educate people on the importance of retirement savings strategies and Pentegra's SmartPathTM thought leadership in this area. His many media interviews can be seen on our website under 'As Seen in the News.' 

He Got His Start: Rich's interest in business and finance began early when he attended Ursinus College and received a B.A. in Economics and Business Administration. He went on to earn an M.B.A. in Finance from Fairleigh Dickinson University. His passion for retirement services is evident in his long list of professional credentials, including Certified Pension Consultant (CPC), Qualified Pension Administrator (QPA), Qualified 401(k) Administrator (QKA) and member of the American Society of Pension Professionals and Actuaries (ASPPA).

Joe Ready

Joe Ready
EVP & Director,
Wells Fargo Institutional Retirement and Trust

Joe Ready is executive vice president and director of Wells Fargo Institutional Retirement and Trust. In this role, Joe has responsibility for products and services for more than 5,400 employer-sponsored retirement plans and custody accounts with 4 million employees representing almost $800 billion in assets, supported by more than 2,200 team members with a mission to help America's diverse workforce prepare for a better retirement.

Joe has more than 30 years of leadership experience the financial services industry, including relationship management, sales, investments, trust administration, operations and systems. He has served in a variety of leadership roles in the institutional retirement and investment areas including the mutual funds business, defined contribution, pension and employee benefits, and the institutional custody division.

He earned a bachelor's degree from Franklin and Marshall College. Joe is active in the retirement industry as a speaker and has appeared on Fox Business News, CNBC, Reuters, and has been quoted in various publications such as The Wall Street Journal, Fortune, Pensions & Investments, Investment News, The Street, PLANSPONSOR, 401kWire, and The Washington Post. He also participates in several executive industry trade groups and boards. He currently is C0-Chair of the Wells Fargo Bank N.A. Trust Committee and is an active Governing Board Member of The SPARK Institute, Inc. Joe previously served as the President of SPARK Institute, Inc. from March 2014 to June 2017. Joe was also previously a board member of BPS & M, LLC, a benefit consulting actuarial firm that is now owned by Findley & Davies.

Joe volunteers in the Charlotte, N.C. area with various charitable functions. He previously served as a board member on the College of Charleston Parent Advisory Council and chaired the Charlotte Catholic Foundation. Over the last several years, Joe has been named one of the 401(k) industry's top 100 most influential people by 401(k)Wire.

Julian Regan

Julian Regan
Senior Vice President, Public Sector Market Leader,
Segal Marco Advisors

Mr. Regan is the Public Sector Market Leader and a Senior Vice President in Segal Marco Advisors' Boston office.

Prior to joining the firm, he served in leadership, investment and risk oversight roles in the private and public sectors. Between 2001 and 2006, Mr. Regan served as Executive Director for the New York State Deferred Compensation Board, where he ran the state's $8 billion supplemental retirement plan and administered regulations that governed 250 local retirement plans. He also served as Vice President, Risk Governance and Strategy for Fidelity Investments, and as Assistant General Manager and Budget Director for the Massachusetts Bay Transportation Authority.

Mr. Regan is a contributing author to the International Foundation of Employee Benefit Plans (IFEBP) Trustee Handbook and co-author of the National Conference on Public Employee Retirement Systems (NCPERS) Best Governance Practices for Public Retirement Systems, among other publications. Mr. Regan is a past recipient of the IRS Tax-Exempt and Government Entities "Commissioner's Award" and a "Plan Sponsor of the Year" award recipient and serves on the IFEBP Financial Education/Retirement Security Expert Panel. He received his BSBA and MBA from Suffolk University and studied at Georgetown University.

Kathleen Roche

Kathleen Roche
Vice President, Business Development Strategy,
Ascensus

Drawing on her 25 years of experience and passion for the retirement plan industry, Kathleen builds world class programs that deliver proven results. She recently joined Ascensus in a newly created role designed to lead strategic planning for broker-dealer and RIA relationships.

Prior to joining Ascensus Kathleen was Vice President of Commonwealth Financial Network, where, as a founding member of its Retirement Consulting team, she led initiatives in the development and delivery of products and services that support advisors in the retirement plan marketplace. Kathleen has extensive experience managing strategic relationships that define and drive sales strategy, fuel sales activity and increase market share.

A graduate of Stonehill College with a degree in business administration, Kathleen was President of Women in Pensions Network in 2017 and has served on the WiPN Board for four years. She serves on the American Retirement Association (ARA) Women in Retirement Conference planning committee and was formerly the co-chair for the National Association of Plan Advisors (NAPA) DC Fly-in Forum in 2015 and 2016.

Gayle Rollins

Gayle Rollins
Assistant General Counsel,
AIG Consumer

Gayle Rollins is Assistant General Counsel at AIG Consumer. She works with a team of tax, benefits and ERISA professionals supporting AIG's group plan services for employer-sponsored qualified and nonqualified retirement plans, IRAs, nonqualified annuities and mutual funds. 

Prior to coming to the legal team Gayle had a law practice devoted to domestic relations order assistance to participants, alternate payees and family law attorneys and was part of the management team in VALIC's Operations Department. Her responsibilities in VALIC Operations included financial reporting for retirement plans, plan document services, nondiscrimination testing and plan consulting services. 

She was on the team that implemented of the Department of Labor fee disclosure regulations for Form 5500 Schedule C, service provider and participant fee disclosures. She was part of the legal team that drafted and submitted VALIC's 403(b) documents to the Internal Revenue Service's preapproval program.

Gayle graduated from The University of Tulsa with a B.S. in Education and from the University of Tulsa Law School.

 

 

Tim Rouse

Tim Rouse
Executive Director,
SPARK Institute

Tim has over thirty years of experience in the financial services industry mainly within retirement services of large mutual fund companies.  For the past twenty-five years Tim has worked with major plan sponsors in state and local governments, corporations, Taft-Hartley plans, nonprofit hospitals, colleges and universities.  Over his career Tim has worked with Voya Financial, Fidelity Investments, ICMA Retirement Corporation and The Vanguard Group. 

Tim is a former President of the National Association of Government Defined Contribution Administrators' Industry Board and a graduate of Villanova University.

Preston Rutledge

Preston Rutledge
Assistant Secretary,
U.S. Department of Labor, Employee Benefits Security Administration

Preston Rutledge is the Assistant Secretary of Labor for the Employee Benefits Security Administration (EBSA). Before joining the Department of Labor he served as senior tax and benefits counsel on the Majority Tax Staff of the U.S. Senate Finance Committee where his responsibilities included employee benefits, retirement issues, tax-exempt organizations, health tax issues, and the tax provisions of the Affordable Care Act.

Prior to joining the Finance Committee, Mr. Rutledge served as a senior tax law specialist on the Headquarters Staff of the Tax Exempt and Government Entities Division of the Internal Revenue Service, and as a senior technical reviewer in the Qualified Pension Plans Branch of the IRS Office of Chief Counsel. During his tenure there, he was the recipient of an Office of Chief Counsel National Award. Mr. Rutledge also served as a law clerk on the United States Court of Appeals for the Fifth Circuit, and worked in private law practice as an employee benefits counselor and ERISA litigator.

Mr. Rutledge earned a B.S. in business, cum laude, from the University of Idaho; J.D., with high honors, from the George Washington University School of Law, and an L.L.M. - taxation, with distinction, including a certificate in employee benefits law, from the Georgetown University Law Center. Prior to law school, Mr. Rutledge was a Naval Officer and served on the U.S.S. Bagley (FF-1069).

Wendy Shaw

Wendy Shaw
Vice President, Retirement Plan Operations,
Nationwide

Wendy Shaw is Vice President, Nationwide Retirement Plans Operations and is responsible for driving Nationwide Retirement Plans' administrative, operations and customer service groups to create an excellent service experience for the company's members and partners. Wendy has extensive retirement plan experience in every stage of a plan's business cycle, with 19 years at Nationwide. This includes working in the field to transition new plans to Nationwide; leading teams who managed major project portfolios to deliver capabilities that enhance the customer experience; and leading the service teams who manage daily service interactions with advisors, administrators, plan sponsors and participants.
 
Wendy graduated Summa Cum Laude from Marshall University where she earned a bachelor's degree in business administration. She also holds an executive certification for Lean Leadership from the Fisher College of Business at The Ohio State University. An active participant in the retirement plans industry, Wendy is a member of the American Society of Pension Professionals & Actuaries (ASPPA) and is a member of the Senior Operations Council for SPARK.
 
She holds FINRA Series 6, 26 and 65 registrations and completed the Nationwide Financial Six Sigma Black Belt training.
 
Jania Stout

Jania Stout
Practice Leader,
Fiduciary Plan Advisors, HighTower

Jania Stout, Managing Director, Co-Founder of Fiduciary Plan Advisors at HighTower, brings over 20 years of experience in ERISA plan consulting to the organization. She was named the 2016 Plan Adviser of the Year by Plan Sponsor Magazine.

Jania began her career at ADP's Retirement Services Division and spent 10 years helping them become one of the largest retirement plan providers in the country. Jania then became a Senior Account Executive for Fidelity Investments. While at Fidelity, Jania advised on retirement plan solutions for mid-market companies. Jania gained tremendous exposure to the challenges plan sponsors face and their need to have a fiduciary partner. This exposure led her to leave Fidelity and form a team of consultants that had a unified focus on helping plan sponsors with their fiduciary responsibilities.

Jania has been featured in the Washington Post, Investment News, RIA Biz and Plan Sponsor Magazine. Her team won one of the most prestigious awards in the industry in 2013; the 401(k) Advisor Leadership Award sponsored by National Association of Plan Advisors (NAPA). Ms. Stout was appointed to the Leadership Council of National Association of Plan Advisors (NAPA) in spring of 2014. She is currently the Incoming President of NAPA. The Council is charged with setting the strategic direction and making policy decisions on all matters related to NAPA's mission.

She is a regular speaker at the Plan Sponsor National Conference as well as a contributor to many National industry publications and specifically writes about the topic of Financial Well Being. Jania holds her FINRA Series, 7, 6, 63 and 66. Ms. Stout was a two sport Division 1 athlete and graduated with a double major from Hofstra University. She is a 2008 graduate of the Greater Baltimore Committee (GBC) Leadership program and a board member of the Girl Scouts of Central Maryland. In her free time she coaches girls' lacrosse. She resides in Phoenix, MD with her two daughters Hannah and Sophie.

Mark Sweatman

Mark Sweatman
President, Retirement Plan Management Services,
RCP Solutions

Prior to leading RCP Solutions' Retirement Plan Management Services division, Mark had been with The Keane Organization in a variety of sales and service leadership roles since 2002. He was promoted to President of Keane's Retirement Services division in November 2009 and, during his tenure, the division's revenue grew nearly 300% and the division's exposure to the marketplace was greatly enhanced.

Mark's leadership and background in service has increased efficiencies as well as client retention. His background in risk and compliance issues has differentiated the Retirement Plan Management Services division from other providers as a key strategic partner for our clients. Mark's innate ability to understand the challenges facing organizations and finding creative ways to solve them has built credibility and respect from his clients.

Mark has over 20 years' experience in management, sales and service capacities. His relationship building, management style and focus on the customer helps drive product development that solves business needs and mitigates customers' risks. Prior to joining Keane, Mark held various sales, service and management roles at VerticalNet, Softmart and Mobil Oil Corporation.

Mark earned a Marketing degree from West Chester University.

Ben Taylor

Ben Taylor
Senior Vice President,
Callan LLC

Ben Taylor is a Senior Vice President and a defined contribution consultant in Callan's Fund Sponsor Consulting group based in the San Francisco office.

Ben formerly taught economics at Harvard University, where he received an award for excellence in teaching. Ben earned a Masters of International Political Economy and Development from Fordham University.

He also earned a Masters of Public Policy with a concentration in International Trade and Finance from Harvard University's Kennedy School of Government. He received his BA from Reed College. Ben is the Industry President and a Board member of NAGDCA.

Barry Tetrault

Barry Tetrault
Managing Director,
Deloitte Consulting LLP

Barry is a Managing Director in Deloitte Consulting's Human Capital Financial Services practice. He assists financial services industry clients navigate complex challenges related to the shifting and dynamic business environment. His tenured experience includes leading clients through large-scale business transformation initiatives aimed at harnessing the power of the future of work by identifying and mitigating risks of adoption, augmenting organizational design to support a digital business strategy and refining talent strategies to achieve and sustain business objectives.

Prior to Deloitte, Barry spent 7 years serving clients in the HR Outsourcing and Service Delivery domain at a leading provider organization.

Vincent Vicidomini

Vincent Vicidomini
Vice President,
Mesirow Financial Investment Strategies

Vincent Vicidomini is a vice president in Mesirow Financial's Investment Strategies division. In his role, he is responsible for developing new relationships with record- keepers, third-party administrators, broker-dealers, advisors and defined contribution investment only firms. Vincent regularly consults with retirement industry stakeholders regarding the impact of DOL fiduciary regulations to various business lines and ways to mitigate risk through outsourcing.

A 15-year veteran of the retirement services industry, Vincent joined Mesirow Financial in 2014. He has extensive wholesale, business development and direct-to- sponsor sales experience. Vincent has been quoted in several financial publications and is a recognized speaker on the subject of outsourced fiduciary services.

Prior to Mesirow, he worked as a pension consultant with Retirement Alliance, responsible for the distribution of retirement plan products and services within the northeast territory. Before joining Retirement Alliance he spent nine years with ING, starting as an internal wholesaler in New York City and later expanding ING's wholesale distribution efforts by establishing three new regions throughout the United States. Throughout his career, Vincent has developed scalable distribution solutions for institutions and enabled advisors to flourish as retirement plan specialists through extensive collaboration.

Vincent holds Series 6, 63 and 65 FINRA licenses. He earned a BS from the University of Florida.

Jay Whoriskey

Jay Whoriskey
Manager, Strategic Partnerships,
BioCatch

At BioCatch Jay is currently responsible for setting the partner global go to market strategy for the company and has helped build out the partner ecosystem that has enabled the business to scale considerably since the programs inception.

Prior to joining BioCatch, Jay spent over ten years building and scaling new products and markets in the cybersecurity and managed services industry. Jay was responsible for implementing new go to market strategies while at Rapid7 which led to significant revenue growth and opened up new channels of growth for the company.

And prior to this he worked at BT Global Services and held a number of different roles in sales, marketing, and channel development.

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