Modern Compliance - Cutter Member Meeting

Stacia Graham has more than 20 years of experience in investment management, bringing a deep understanding of end-to-end asset management processing and project management to her role as Managing Director at Cutter Research. Prior to Cutter, Stacia worked at Wellington Management Company LLP in Boston in various roles within compliance and operational risk, including leading and managing the global Investment Guideline Compliance team for eight years. She earned a bachelor of science in business administration from Bryant University and an MBA from Bentley University.

Recent research assignments and publications include the following:

• All-In-One or Standalone Solutions? Finding the Right Technology Strategy
• Asset Allocation Solutions
• Governance, Risk, and Compliance (GRC) Systems
• Performance Measurement and Attribution Systems
• Rethinking Research Management
• Robotic Process Automation (RPA)
• The Future of Work in Investment Management

Gina McCafferty has 30 years of experience in the financial services industry. She served at Cutter from 1999 to 2011 as Principal and Managing Director of CutterResearch, and she was instrumental in growing that business. Gina returned to Cutter in 2017, and established and ran the company’s Wealth Management research division. In 2019, she was appointed to Head of Research, responsible for Asset Management and Wealth Management product development and delivery to over 200 member firms around the globe. Gina was previously at Investit Ltd., where she served for six years as head of the company’s research service. Prior to that, she held senior positions at DST International with product responsibility for their global accounting and performance measurement systems, and at SunGard as Vice President of Client Services for their securities trading products.

Todd Spillane brings more than 20 years of industry experience, with a focus on compliance and legal functions in investment management, to his Senior Director’s role at Cutter Associates. At Cutter, he is the subject matter expert and advisor on compliance initiatives, providing thought leadership as well as strategic and tactical advice. In addition to compliance, his areas of expertise include risk management, valuation, and legal oversight. A featured speaker at various industry forums on compliance-related topics, he has presented on compliance and risk management for investment managers. Prior to Cutter, he held several compliance, general counsel, and COO leadership roles, including most recently as GC, CCO, and COO of AlphaTrAI. He also was Executive Director at Morgan Stanley Investment Management, where he oversaw the compliance program for Morgan Stanley Funds. A graduate of Fairfield University and Western New England School of Law, Todd is a member of the Connecticut Bar.

Shankar Subramanian has over 25 years of industry experience in investment management and technology solutions. Shankar has a deep understanding of investment data management, portfolio management, risk management, investment accounting, and alternative investments. At Cutter Associates, he heads the Risk and Compliance practice, helping client with investment risk management, and asset allocation, as well as providing support for compliance with consulting on trading forensics, communication surveillance, regulatory reporting, and guideline compliance. He advises on, and designs, operating models, selects systems, and implements business and technology solutions. He also leads development of Cutter’s alternative investments practices and the firm’s efforts to provide thought leadership and strategic and tactical advice to asset owner clients.

Prior to joining Cutter, Shankar held senior roles at IBM Global Services and PricewaterhouseCoopers (PwC), advising clients and leading global delivery teams in large engagements. Shankar holds a Bachelor of Science in engineering from the Indian Institute of Technology and an MBA in finance and information systems from the Indian Institute of Management.

Lori Bosi is a director of investment compliance at MFS Investment Management® (MFS®). In consultation with senior management, she manages the investment compliance program in accordance with legal, regulatory and client‐imposed requirements.

Lori joined MFS in 2022. Previously, she worked for 15 years at Western Asset Management, where she was most recently a portfolio compliance manager on the firm’s startup integration team. Before that she was an assistant vice president and senior compliance analyst at Wellington Management for more than three years. She began her career in the industry in 1995.

Lori earned her Bachelor of Arts and Master of Business Administration degrees from Northeastern University.

Jordan Domash has been with Relativity since 2014 and is the general manager of Relativity Trace. He guides the development and sale of this tool, built on the Relativity platform, for proactive compliance monitoring, leading engineering, marketing, and sales teams. Prior to developing Relativity Trace, Jordan was the Chief of Staff to Relativity’s Founder. In his role as Chief of Staff, Jordan balanced his time between strategic issues, internal and external communications, and tactical support for the executive team. Prior to Relativity, Jordan was a management consultant at Bain & Company, where he advised large corporations and private equity firms on strategic issues, M&A due diligence, and operational effectiveness.

Matt Grinnell is global product manager for Linedata compliance and oversight solutions. A seasoned industry veteran, Matt’s focus is driving vision and strategy, working closely with clients and industry participants to discover and develop initiatives that grow customer value. Before joining Linedata, Matt worked at Fidessa for over a decade, where he was responsible for global product management and marketing of portfolio compliance and regulatory controls solutions. Prior to that he held compliance leadership roles at Putnam Investments and Fidelity and specialized in assessing the impact of new regulations and evaluating industry trends in risk and compliance.

Nader Shwayhat is Global Head of Bloomberg's Compliance, Collaboration, and Surveillance Solutions. He is a veteran Financial Technology executive having founded and led several AI-based analytics and communication start-ups as well as leading large transformation initiatives and global product teams at CME Group, BNY, and now Bloomberg. With a focus on how collaboration, trading, and compliance all intersect, Nader is focused on delivering product and data solutions that can reduce a client's risk while delivering genuine business insights