Guest Speaker:

Ric Keller
Hill Rugh Keller & Main

Former U.S. Congressman Ric Keller (R-FL) served four terms in the U.S. House of Representatives from January 2001 through January 2009.  He represented the Greater Orlando area and served on the Judiciary and Education Committees.

Ric is a partner at the law firm of Hill Rugh Keller & Main in Orlando, Florida, www.hrkmlaw.com, where he focuses on commercial litigation, intellectual property litigation, and products liability defense. He is also an on-air Political Analyst for the Fox 35 TV station.

Ric was born in Johnson City, Tennessee, and grew up in Orlando. He received his bachelor’s degree from East Tennessee State University, where he graduated first in his class, and his law degree from Vanderbilt Law School.

In his free time, Ric loves riding his Ducati motorcycle and attending concerts, comedy clubs, and football games.

Compliance Panel:

Moderator:

Gigi Szekely, INTL FCStone Financial Inc.

Gigi Szekely has more than 20 years of experience as a senior compliance executive. She is currently the Chief Compliance Officer for INTL FCStone Financial Inc. (“IFF”). She manages and oversees the compliance programs forthe securities and clearing business lines. She also oversees the compliance programs for an affiliated investment adviser and broker dealer. Prior to joining IFF she was the SVP of Enterprise Risk Management and Chief Compliance Officer for Newport Group, Inc., where she managed and oversawthe Enterprise Risk Management and Compliance efforts for the organization.Prior to joining Newport, she was Managing Director at IMP Consulting, responsible for managing and growing the compliance practice that supports asset managers. Formerly she was the Vice President, Chief Compliance Officer at Eaton Vance Distributors, Inc. and Deutsche Asset Management and worked in a senior compliance management position at JP Morgan. She is a member of the National Society of Compliance Professionals, Security Traders Association of Florida and a frequent speaker at conferences on compliance related topics. Ms. Szekely holds a FINRA series 7, 24, 63, 79 licenses, a BA in Economics from the University of Massachusetts – Amherstand anMBA from the Simmons University School of Management in Boston.
 
 

Panelists:

Francois Cooke, ACA Compliance Group

Francois Cooke is a Managing Director for the Broker-Dealer Services Division of ACA Compliance Group (ACA). Francois is responsible for the day-to-day operations of the broker-dealer services which include mock regulatory examinations; compliance risk assessments and testing; preparation and reviews of policies and procedures related to operational, financial, trading, sales and compliance processes; and development of enterprise-wide compliance programs.

François has over 30 years of experience with broker-dealers, investment advisers, and transfer agents. Previously, Francois led the securities segment of the Financial Services Regulatory Practice as a partner of KPMG, a Big 4 accounting firm, where he was employed for over 8 years.

Prior to KPMG Francois was a Vice President of a nationally recognized consulting firm where, over a 3-year period, he conducted and managed a variety of regulatory analysis engagements with broker-dealers and investment advisers. He served with the SEC for 5 years where he performed numerous examinations of broker-dealers, investment advisers and transfer agents, becoming one of the senior staff accountants in the Southeast Regional Office in Miami, FL. Before joining the SEC, he was with the NASD for 3 years as an examiner in the NASD’s Philadelphia District Office conducting examinations of broker-dealers, preparing manual monthly financial analysis of FOCUS Reports, and participating in Pre-Membership Interviews. He began his tenure with the NASD as an Advertising Analyst.

Francois has expertise with financial and operational regulatory requirements, sales practice monitoring and surveillance controls, design and development of compliance and supervisory frameworks, and mitigating trading regulatory risks for both fixed income and equity products. Francois also understands the unique environments of insurance and bank affiliated broker-dealers, private placement agents, foreign affiliated broker-dealers, mutual fund distributors, self-clearing operations, dually registered investment advisers and broker-dealers, and has conducted many due diligence reviews on broker-dealers representing both buyers and sellers.

Francois has spoken at a number of industry conferences including multiple speaking engagements for the Securities Industry and Financial Markets Association – Internal Audit Division Conference; and the National Society for Compliance Professionals. In addition, he has published a white paper titled “Zero Deficiencies: Closing the Gap.” The paper provides practical advice on how to create and continuously enhance compliance and supervisory structures and procedures.

Francois has an M.B.A. from the University of Virginia, and a B.S. in Communications from Cornell University. He currently is an active Certified Anti-Money Laundering Specialist (“CAMS”).
 
 

Mark Davies, S3

Mark Davies is Co-Founder and CEO of S3, a full-service compliance and trade analytics software. He is responsible for the organization’s business strategy, the executive team, and has oversight of the company’s day-to-day operations, including client relations, sales, and business development.

A financial services executive with over 15 years experience in fintech and regtech, Mr. Davies has deep industry knowledge in trading technology, particularly trade surveillance, best execution analysis, and regulatory reporting. Currently, Mark is leading the industry on market structure and regulatory reporting requirements for the Securities and Exchange Commission’s (SEC) Rule 606 under Reg NMS and is sought after for his subject matter expertise.

Mr. Davies co-founded S3 in 2002. In 2004, S3 launched its first trading analytics product, redefining S3’s core business. Since then, under Mr. Davies guidance, S3 has improved trust in the industry through appropriate and intelligent disclosure via regulatory reporting and analytics.

Mr. Davies holds a Bachelor’s of Science degree in Computer Science from the Massachusetts Institute of Technology (MIT). He lives in Austin, Texas with his wife and three children.
 
 

Michael G. Tirello, Bloomberg LP

Mark Davies is Co-Founder and CEO of S3, a full-service compliance and trade analytics software. He is responsible for the organization’s business strategy, the executive team, and has oversight of the company’s day-to-day operations, including client relations, sales, and business development.

A financial services executive with over 15 years experience in fintech and regtech, Mr. Davies has deep industry knowledge in trading technology, particularly trade surveillance, best execution analysis, and regulatory reporting. Currently, Mark is leading the industry on market structure and regulatory reporting requirements for the Securities and Exchange Commission’s (SEC) Rule 606 under Reg NMS and is sought after for his subject matter expertise.

Mr. Davies co-founded S3 in 2002. In 2004, S3 launched its first trading analytics product, redefining S3’s core business. Since then, under Mr. Davies guidance, S3 has improved trust in the industry through appropriate and intelligent disclosure via regulatory reporting and analytics.

Mr. Davies holds a Bachelor’s of Science degree in Computer Science from the Massachusetts Institute of Technology (MIT). He lives in Austin, Texas with his wife and three children.
 
 

Len Patti, MCAP LLC

Len Patti has over 20 years of experience in the securities industry. Prior to joining MCAP as the firm’s Chief Compliance Officer in 2018, he held senior compliance and supervision positions at Bear, Stearns & Co. Inc., Cantor Fitzgerald, L.P., and Instinet, LLC. Mr. Patti is a proud United States Navy veteran and served in Operation Desert Storm during the Persian Gulf War.
 
 

Frank Grampone, BXS

Frank Grampone is a veteran of the financial services industry with 30 years of experience specifically in trading, client services, business development, and regulatory compliance. From 1995 to 2010, Frank was a Managing Director at Knight Capital Group, Inc where he oversaw US Operations, managing Client Services and Broker Dealer Sales-Trading. He also spearheaded the Best Execution Committee while coordinating all efforts for Rule-605 and Rule-606 regulatory reporting. After Knight, Frank spent more than 5 years at UBS Investment Bank as an Executive Director of Whole-Sale Market-Making, managing Client Services, monitoring and analyzing execution performance statistics, overseeing market structure initiatives, and supporting sales and business development. Frank is also a successful small business owner having launched, marketed and managed a chain of environmentally friendly dry cleaners in New Jersey.

Frank has joined BXS as Executive Vice President where he will focus on business development, strategic initiatives, and tailoring products and systems to better serve its clients and the capital markets community.
 
 

ETF Panel

Panelists:

Brian Gilman

Brian Gilman has 14 years of financial services experience and 10 years in ETFs. After earning his J.D. from Boston University and passing the NY State Bar Exam, Brian practiced labor law before transitioning to a career in financial services and joining the fixed-income desk at SIG. Brian’s entry into the ETF space began with a trading role at Labranche Structured Products in 2009. Over the past 10 years, Brian has served both proprietary and sell-side ETF trading roles and is adept in risk-pricing and on-screen market making functions. In his current role of ETF Liquidity Sales at Virtu Financial, Brian focuses on product listings and lead market making for ETF issuers, as well as best-execution consultation for ETF users throughout the trading ecosystem.

Brian holds a B.A. from Vanderbilt University and a J.D. from Boston University.

Joe Mahoney
Institutional Sales & Trading, ETF Specialist

Joe Mahoney is an ETF Specialist on Jane Street’s Institutional Sales & Trading team. In this role, Joe helps lead the firm’s U.S. ETF sales initiatives by partnering with ETF issuers and institutional investors to provide trading solutions and access to Jane Street’s differentiated liquidity.

Joe joined Jane Street in his current role in 2014. Prior to joining Jane Street, Joe served as a Vice President at State Street Global Advisors where he held various roles within the SPDR ETF business unit. Notably, Joe spent his time traveling and meeting with institutional investors and financial intermediaries to discuss ETF trading strategies and product structure. With over a decade of experience dedicated to educating investors in the ETF industry, he regularly represents Jane Street at various events and speaks on topics related to trading and liquidity.

Joe holds a B.S. in Finance from Providence College.

Rob Satzger
Vice President – Institutional Sales & Trading, Citadel Securities

Rob Satzger is Vice President of Institutional Sales & Trading at Citadel Securities, focusing on various cash equity products, including single stock, ETF, and portfolio trading. His clients are some of the largest asset managers and broker dealers in the US.

Prior to joining the firm, Rob was a senior cash equity trader at Automated Trading Desk, specializing in electronic market making.

Rob received a bachelor’s degree in International Business from the College of Charleston.