In other People Moves news, SEC’s enforcement division has a retirement, FINRA hires from RBC, and TORA taps Barclays.
Broadridge Creates Senior Position to Advance Diversity
Frieda Lewis, Chief Commercial Diversity Officer, Broadridge
Broadridge Financial Solutions reports that Frieda Lewis has been named managing director, chief commercial diversity officer.
In 2008, Lewis joined Broadridge, a provider of investor communications and technology-driven solutions for banks, broker-dealers, mutual funds and corporate issuers, as managing director, global relationship management.
“She is credited with launching the Women’s Leadership Forum at Broadridge, and is a member of Broadridge’s Executive Diversity Committee,” the company says. “Outside of Broadridge, Lewis is a member of the Board of the Women’s Bond Club, Governing Member of the Wall Street Women’s Alliance, member of the SIFMA Diversity Board and a member of the Bank Insurance & Securities Diversity Board.”
In her new post, she will “focus on advancing the company’s diversity and inclusion efforts by developing and executing a strategy that enables Broadridge to better understand and serve its diverse, global marketplace,” according to the vendor, which notes also that, prior to joining Broadridge, she spent “25 years in the financial services industry” She held senior executive positions at Sun Life Financial and Mellon Financial. She also spent 16 years with Fleet Financial Group, where she served as president and CEO of Fleet Brokerage Securities and its wholly owned subsidiary Fleet Clearing Corp.
SEC’s Enforcement A.D. in Chicago Retiring
SEC officials report that Timothy L. Warren, associate director of enforcement in the Chicago regional office, is retiring after more than 30 years at the commission.
Since his appointment to associate director in 1998, Warren has “supervised a staff of more than 40 attorneys and other professionals responsible for investigating potential violations of the federal securities laws by a wide range of market participants,” the commission says, adding that he also has been “significantly involved in international enforcement training with the Office of International Affairs to build capacity and strengthen partnerships with the SEC’s international counterparts, including conducting programs held in India, Malaysia, Vietnam, South Korea, Kenya, Swaziland, Romania, Saudi Arabia, Bahrain, Jordan, Indonesia, United Arab Emirates, and Turkey.”
FINRA Appoints SVP Office of Government Affairs
The Financial Industry Regulatory Authority reports that it has named Gregory J. Dean, Jr. senior vice president for the office of government affairs.
Gregory J. Dean, Jr., SVP, FINRA
Dean joins from the Royal Bank of Canada (RBC), “where he is currently Senior Director, Regulatory & Government Affairs,” the authority says. “Before joining RBC in 2015, he served for more than 14 years in a variety of roles on Capitol Hill, including serving as Chief Counsel for three separate committees in the U.S. Senate including on the Banking, Housing and Urban Affairs, Health, Education, Labor and Pensions, and Budget Committees.”
Dean also served as staff director for the Securities Subcommittee of the Senate Banking Committee, according to FINRA. Dean was also the finance counsel for the U.S. House Committee on Small Business and the Banking Counsel for the Senate Committee on Small Business and Entrepreneurship. “Prior to his Congressional career, he was with FINRA’s predecessor, NASD Regulation, where he served as an attorney in the Office of the General Counsel,” officials say.
TORA Opens European Regional Office & Hires from Barclays
The San Francisco-based TORA, an investment management platform vendor, announced the expansion of its European presence and the hiring of David Tattan as head of European business development, officials say.
Tattan will be based in the company’s new regional headquarters in Jersey, Channel Islands, in the U.K. He is joining TORA “in response to the growing demand for its integrated investment technology solution,” TORA officials say. “He will be working with Chris Jenkins, who is overseeing the European expansion.”
From the Jersey, U.K. location, TORA will offer specialist software solutions to a client base of asset managers, hedge funds and brokerage houses, officials say. The offerings include an order and execution management system and a portfolio and risk management platform, officials say.
“Europe has a mature asset management industry and we feel that with the forthcoming regulatory requirements in MIFID II there will be increased demand for advanced systems such as TORA,” says Robert Dykes, CEO of TORA, in a prepared statement.
Tattan has many years of experience in portfolio management technology, having previously worked as a director at Barclays Investment Bank in London where he held senior positions as head of European client services and also as head of U.K. sales for the POINT platform, officials say. He also had analytical roles in portfolio risk management solutions, indices and fixed income at both Lehman Brothers and IDC.
“European asset managers are increasingly looking for investment management technology platforms that not only offer advanced features but which are also fully integrated across the investment process,” Tattan says in a statement. “TORA’s investment suite offers solutions to both these demands and I am looking forward to introducing TORA’s products and services to the European marketplace.”
TORA has more than 250 employees across offices in Jersey, Tokyo, Hong Kong, Singapore, Sydney and Cluj-Napoca, officials say.
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