2022 FINRA Virtual Diversity Leadership Summit: Resilience in a Time of Transition

CEO Conversation
FINRA Vice President and Chief Diversity Officer Audria Pendergrass Lee provides opening remarks for a dialogue between FINRA President and CEO Robert Cook and Maeve DuVally, former managing director of Corporate Communications at Goldman Sachs. During this conversation, Robert and Maeve will discuss the challenges, progress and breakthroughs of diversity, equity and inclusion in the financial services industry, including for LBGTQIA+ inclusion and allyship.

Introduction:

• Peter Gonzalez, 2022 Diversity Leadership Summit Co-Chair, Community Outreach Program Manager, Investor Education, FINRA
• Carly Griffin, 2022 Diversity Leadership Summit Co-Chair, Director, Office of Regulatory Liaison, FINRA
• Audria Pendergrass Lee, Vice President and Chief Diversity Officer, Inclusion, Recruitment & Workforce Compliance, FINRA

Speakers:

• Robert Cook, President and CEO, FINRA
• Maeve DuVally, Communications, Diversity, Equity and Inclusion Consultant, Goldman Sachs

Blindspot: Hidden Biases of Good People
Our keynote speaker, Dr. Mahzarin Banaji, will reveal the surprising and even perplexing ways in which we make errors in assessing and evaluating others when we recruit and hire, onboard and promote, lead teams, undertake succession planning, and work on behalf of clients or the public we serve.

Introduction:

• Rainia Washington, Executive Vice President and Chief Human Resources Officer, People Solutions, FINRA

Speaker:

• Dr. Mahzarin Banaji, Harvard University, Richard Clarke Cabot Professor of Social Ethics

Fostering Inclusive Thought Leadership with Keynote Speakers Commissioners Mark T. Uyeda and Jaime Lizárraga
During this session, government leaders Commissioner Uyeda, the first Asian American Pacific Islander to serve as a commissioner at the SEC, and Commissioner Lizárraga, who most recently served as senior advisor to House Speaker Nancy Pelosi, will share their thoughts on how diverse backgrounds and inclusive leadership make for better public policy and regulation of the capital markets by bringing more voices to the table. 

Moderator:

• Robert Cook, President and CEO, FINRA

Speakers:

• Mark T. Uyeda, U.S. Securities and Exchange Commission, Commissioner
• Jaime Lizárraga, U.S. Securities and Exchange Commission, Commissioner

Recruiting and Retaining a Diverse, Equitable Workforce
A panel of scholars will identify and analyze obstacles and opportunities for refining, reexamining and reimagining strategies for recruiting and retaining a diverse, equitable workforce, informed by empirical and academic research.

Introduction:

• Greg Jones, Director, Market Regulation Technology, FINRA

Moderator:

• Alexandra (Lex) Toton, Director, Testing and Continuing Education, FINRA

Speakers:

• Dr. Nandita Das, Professor of Finance, Delaware State University College of Business
• Dr. Erika Kirgios, Assistant Professor, University of Chicago Booth School of Business

Innovation, Technology and DEI: A Vital Connection
Panelists will cover the importance of democratizing finance and how innovation and technology can help make investing more accessible and financially inclusive. The panel will also explore how DEI and innovation and technology drive one another in the workplace and in the financial services industry.

Introduction:

• Patrick Tominey, Vice President, Trading and Execution, FINRA

Moderator:

• Rubyna Zito, Vice President, Technology Operations and Services, FINRA

Speakers:

• Lule Demmissie, Chief Executive Officer, Etoro USA Securities
• Tobin McDaniel, Head of Invest, SoFi
• Erick Smith, Senior Manager, Diversity, Equity & Inclusion, STASH

FINRA Investor Education Foundation’s 2021 National Financial Capability Study: Implications for the Capital Markets
This session will feature financial capability research professionals from FINRA’s Office of Investor Education who will discuss key findings from the latest FINRA Foundation National Financial Capability Study and its implications on the capital markets. Our speakers will also discuss the role that the pandemic environment has played on financial capability at the national level, as well as new trends impacting individual investors.

Introduction:

• Sarah Halwani, Senior Specialist, Diversity and Worklife, FINRA

Speakers:

• Olivia Valdes, Associate Principal Research Analyst, FINRA Foundation
• Gary Mottola, Director of Research, FINRA Foundation

Chief Diversity Officer Fireside Chat

FINRA’s Chief Diversity Officer, Audria Lee, will host a conversation with Lisa Russell, Co-Founder and CEO of Aleria PBC. During this conversation, Audria and Lisa will draw on their own professional experiences; share their perspectives on the solutions, innovations and research findings explored during FINRA’s Diversity Leadership Summit; and provide actionable steps attendees can take to advance DEI in the workplace.

Speakers:

• Audria Pendergrass Lee, Vice President and Chief Diversity Officer, Inclusion, Recruitment & Workforce Compliance, FINRA
• Lisa Russell, Co-Founder and CEO, Aleria PBC