Future of Work: Keynotes

Virtual Conference


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Learn how financial services organizations are preparing for the future of work

The Future of Work in Financial Services

Join Principal Analyst Peter Wannemacher from Forrester as he:

  • Outlines the four shocks fundamentally reshaping the nature of work, with a particular focus on the effect these are having within financial services firms
  • Dives into how financial services organizations are preparing for the future of work in terms of security, privacy, regulatory and compliance needs, and digital collaboration tools
  • Discusses what executives and leaders at financial providers should take away from these insights

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Panelists in this Session

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Peter Wannemacher

Principal Analyst,

Peter serves digital strategy leaders at banks, advising them on how to better win, engage and retain customers. He works with bank executives and their digital teams to challenge thinking and lead change in the banking market. Peter's strategic frameworks help banks prepare for digital disruption and the future of financial services. He leads Forrester's ongoing digital banking benchmark research, a series of assessments covering companies' online banking, tablet banking, mobile banking and digital sales efforts. This includes a recent global mobile banking benchmark that reviewed 53 banks from 18 countries across six continents. Peter's recent research includes "The Digital Banking Imperative," "Amazon Invades Banking: Here's What You Should Do,” “Bots Aren’t Ready To Be Bankers,” "Millennials Want Financial Advice, With Or Without Humans," and "Assemble Cross-Functional Teams To Achieve Digital Success." In addition to speaking at Forrester Forums and events, Peter has been interviewed by various publications, including American Banker, Bloomberg, CNBC, The New York Times, NPR, TechCrunch, and The Wall Street Journal.

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Robert Cruz

VP, Information Governance,

Robert Cruz is Vice President of Information Governance at Smarsh. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance, and discovery cost and risk reduction.





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2020 Year in Review: Regulatory Enforcement Actions and Trends

Join Former FINRA Head of Enforcement, Susan Schroeder and Mimi LeGaye, President of MGL Consulting as they:

  • Analyze recent regulatory enforcement actions and discuss the lessons learned
  • Examine current enforcement trends as well as the regulators’ priorities to the enforcement process
  • Engage with our panel to learn more about these enforcement trends, the subsequent compliance challenges that arise and how to overcome these challenges

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Panelists in this Session

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Susan Schroeder

Former FINRA
Head of Enforcement,

As the former head of enforcement at the Financial Industry Regulatory Authority (FINRA), Susan Schroeder has deep insight into the priorities and procedures of the regulatory bodies that govern the financial services industry, including the US Securities and Exchange Commission (SEC), FINRA, exchanges and state securities regulators. In addition, Ms. Schroeder calls on her extensive experience overseeing thousands of regulatory investigations to assist and advise clients in all aspects of internal investigations, including detecting potential misconduct, complying with reporting obligations and effectively remediating systemic problems. Ms. Schroeder rejoined WilmerHale in 2020 after eight years at FINRA, where she served as the head of enforcement from 2017–2019 and the deputy head of enforcement from 2011–2017. Ms. Schroeder initially joined WilmerHale in 2004, and represented investment banks, investment advisers, broker-dealers, public companies, hedge funds and individuals in a wide range of enforcement matters before the SEC, SROs and state securities authorities.

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Mimi LeGaye

MGL Consulting

Melinda (Mimi) G. LeGaye serves as President of MGL Consulting, LLC. Ms. LeGaye has 35-plus years’ experience representing the interests of small broker-dealers having held the positions of president, CCO and FINOP for several small broker-dealers over the years. In addition to her role at MGL, she currently serves as President and CCO of Moody Securities, LLC and as FINOP and a registered principal for RCX Capital Group, LLC. Ms. LeGaye also serves as a Small Firm Member on FINRA’s SE Regional Committee.


Marianna Shafir

Regulatory Advisor,

Marianna Shafir is Regulatory Advisor at Smarsh, where she’s responsible for regulatory affairs worldwide. With her expertise in financial services industry, compliance and e-discovery, Marianna counsels Smarsh clients on meeting regulatory obligations, leveraging technology and guidance on best practices related to electronic communications supervision. Prior to joining Smarsh, Marianna worked for BNY Mellon and Invesco where she was an instrumental member on compliance teams. Marianna has also served as an adjunct professor at New York Career Institute where she taught Law Office Management and Real Estate Law. She earned her Juris Doctorate from Nova Southeastern University. She is a frequent speaker at industry conferences and a contributor to various online publications.

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