Chris Armellino
Manager, Business Analysis
Chris is a highly skilled and experienced consultant specializing in Corporate Actions, Conversions, and BPS (Business Process Solutions) implementations. With a proven track record in delivering successful projects for large firms, Chris Armellino brings deep expertise and a strategic mindset to drive operational excellence and maximize client value.
With 13 years of industry experience, Chris has cultivated a comprehensive understanding of Corporate Actions processes and the intricacies involved in managing complex events. Having worked on numerous high-profile projects, Chris possesses a strong ability to analyze and interpret market data, develop strategic action plans, and execute them flawlessly to ensure clients navigate Corporate Actions with efficiency and accuracy.
Chris has extensive experience in conversions and implementations, having led successful projects for prominent financial institutions. Whether it is transitioning to new systems, implementing process enhancements, or optimizing operational workflows, Chris excels in driving seamless conversions and implementing tailored solutions that align with client objectives.
Carl Bennett
Director, Consulting Services Expert, EMEA
Carl leads several Professional Services offerings for Broadridge within the EMEA and APAC region. He has strong experience coordinating high-impact business transformation and regulatory projects – from conception through to delivery and user adoption. His industry background spans Asset Servicing, Collateral Management, Trading Expense Management, Regulatory Reporting and Non-Financial Risk as a Project Manager, Business Analyst and Agile Lead. Carl adds practical experience with many industry leading BA, BI, ETL and RDBMS tools, systems and methods to his knowledge in Post-Trade Operations.
Marlyse Campbell
Director, Wealth Management & Capital Markets
For over 15 years, Marlyse has applied her extensive knowledge of financial planning services and deep understanding of cash management, wealth management, and product management to deliver cutting edge operational intelligence to solve critical challenges for financial institutions.
With a background in financial performance analysis, end-to end credit solutions for retail and commercial banking, securities-based lending expertise, cash management payment applications, along with strong project management acumen, Marlyse delivers transformative solutions to help firms simplify banking processes across the business life cycle.
Marlyse currently serves as the Cash Management subject matter expert within Broadridge Consulting Services where she applies process improvements to the design and delivery of banking operation best practices.
Phani Chiguluri
Associate Vice President, Broadridge Consulting Services, India
Phani is a customer centric professional with 16+ years of experience in delivering World Class Consulting Services in Banking and Capital markets practice.
He has broad experience in Fixed Income securities processing, trade life cycle events and reconciliation functions. His deep expertise in the reconciliations space resulted in simplifying the time/business- critical break management challenges with innovative Artificial Intelligence solutions.
Phani is a leading subject matter expert in implementing Industry initiatives (LIBOR to SOFR, Sponsored Repo, Sponsored GC etc.) for our esteemed clients.
Celia Da Silva
Senior Consultant, Client Services & Post Trade Services, EMEA
Celia has more than 20 years of Investment Banking experience and deep knowledge of the financial industry and securities products, such as Equities, Fixed Income and Repo.
Celia has worked for several major broker dealers and brings specialist expertise in Operations client middle office, Client Relationship Management, Product Management and Risk & Control, bringing strong expertise in the post trade process – from trade booking to settlement.
Celia has worked on several high- profile client initiatives to optimize operational workflows, improve settlement efficiency, and reduce cost. She has built a strong network with all major global vendor and fintech partners and has worked closely with large Asset Management firms in the UK, Europe, and North America.
Sandipram Ganguly
Senior Director
Sandip brings proven value-oriented experience in capital markets.
His ability to lead high-performing teams, hands-on subject matter expertise, effectiveness in influencing stakeholders, combined with a core belief in positive customer experience has been foundational in delivering multiple large-scale complex engagements. These product and adjacency engagements span fixed income industry initiatives, multi-platform bank mergers, systems conversion, process assessments, analysis, and designing future state frameworks.
He specializes in securities operations and is a leading expert in fixed income domestic and international transactions processing, netting, settlement, clearing, and accounting practices.
Sandip’s deep expertise as a delivery and engagement leader for complex cross-platform engagements has significantly contributed toward revenue growth, cost savings, and profitability.
Dave Gibson
Managing Director, Delivery Practice Lead
A change management expert with 30 years of
Operations Consulting experience, David has led technology transformation efforts for scores of financial businesses.
He applies his expertise toward solving complex operational and Regtech Consulting challenges and spearheading
Broadridge Consulting efforts in the successful integration of systems and business processes.
A professional in best practices for global securities clearance and settlement processes, David is proficient in financial services data migration and translation. Proficient with complex program deliveries across people and technology, David optimizes management efforts across integrated multi-platform, multi-vendor service suites.
Mike Gibbons
Senior Director
For over 10 years, Mike has delivered expertise in transforming and enhancing the business models and technology for a myriad of firms.
Drawing upon his invaluable insight and collaborating with leading firms on large scale transformational programs, Mike alongside the accomplished team of Broadridge Consulting partners, specializes in spearheading major change-the-business programs that seamlessly integrate and implement multiple technology platforms enabling businesses to scale, unlock new potential, and deliver dynamic results.
With a background in capital markets and investment banking, spanning across both consultative and client-side roles, Mike adeptly understands the unique needs and drives tailored solutions to elevate each individual client.
Doug Gifford
VP, Regulatory and Industry Initiatives
Doug Gifford joined the firm in 2014 and has over 44 years of experience in the securities industry.
Doug is a recognized industry expert on regulatory change, with in-depth knowledge of North American Capital Markets and Wealth compliance challenges. In his current role, Doug is responsible for tracking and implementing key industry change initiatives. Prior to joining Broadridge, he held a number of compliance and management roles with Merrill Lynch. He previously held FINRA Series 4, 7, 8, 24, and 63 licenses. Doug received a Bachelor of Science in Economics from the Georgia Institute of Technology.
Tony Gonzales
Senior Director
Veteran business analyst with noted success in capital markets fintech development, conversions, and financial regulation technology projects. Subject matter expertise in BPS/BPSA and generalist in Broadridge products. Deep software development experience in equities, options, futures, derivatives, mutual funds, and fixed income products. Highly versatile communicator with the ability to inspire colleagues, partners and clients, leading teams across functions to achieve extraordinary results.
Alok Gupta
Managing Director, Wealth Management and Asset Management Practice Lead
Alok is Practice Lead for Wealth Management and Asset Management practices. Alok has significant global experience in developing and implementing growth strategy and transformation for Wealth Management, Investment Management, and Banking clients. He has led multiple projects of critical strategic importance for large financial services clients.
Prior to joining Broadridge, Alok was Senior Managing Director leading Strategy and Transformation for City National Bank’s (RBC subsidiary) wealth and investment management group. In this role, Alok led the executive strategic planning process, overall growth and transformation strategy development, and managed the execution roadmap.
Alok focuses on helping clients identify and develop specific initiatives that drive their growth agenda, and also implements those initiatives in the market to create measurable impact.
Previously, Alok worked at McKinsey, PwC, and Capgemini Consulting where he was a leader in the Financial Services Strategy and Transformation practice.
Alok has a PhD from the Stern School of Business NYU. He completed his MBA and Bachelor’s in mechanical engineering from University of Mumbai.
Robert Henry
Managing Director and Finance Solutions Practice Lead
A results-driven leader with more than 20 years of experience in accounting, risk management and
Financial Services Regulatory Consulting, Robert develops processes for streamlining operations to optimize efficiencies and minimize risk.
Committed to helping clients find a faster path to their digital transformation, Robert is a proven team player who draws upon his Broadridge Consulting colleagues for additional perspective and insights.
Robert is adept at balancing strategic objectives with quantifiable results. Through his expertise in Capital Markets Consulting, he empowers those wealth management and asset management clients looking to apply next-generation technologies to their business models.
Bhavesh Jha
VP, Broadridge Consulting Services, India
A result driven and client oriented professional with over 18 years of experience in financial services domain. Bhavesh has collaborated with major financial institutions across the globe to drive their journey of operational and technology transformation. With subject matter expertise in post trade operations and technology solutions, he assisted clients in areas of new business onboarding, operating model optimization, product ecosystem consolidation, data driven analytics, regulatory and industry reforms.
Bhavesh is responsible for engagement delivery as his primary focus is to setup high performing teams. These cultivated teams under his direct leadership build capabilities to deliver flawless consulting engagements across capital markets, asset management, wealth management and emerging tech practices.
Ariel Junqueira-DeGarcia
Managing Director, Emerging Technology Practice Lead
Through more than 15 years of executive experience advising senior clients as a management consultant, Ariel has steadily honed his specialized skills in emerging technology to guide firms through large-scale business transformations.
Focusing primarily on applying Distributed Ledger Technology (DLT), cryptocurrency, and data analytics solutions, Ariel applies his knowledge across the buy-side and sell-side ecosystem. To overcome their initial tech reluctance, Ariel believes firms should start small and scale quickly to make their tech adaptations impactful, controllable and practical.
Saurabh Kabre
Senior Director, Consulting Services Expert, EMEA
For more than 14 years, Saurabh has applied his professional strengths to empowering banks, capital markets, and asset management firms to address the technology challenges that stand between their ROI today and tomorrow’s profits.
His toolbox of skills includes many qualitative and quantitative techniques needed to drive process improvement, technology acceleration, acquisition integration, and regulatory readiness, such as six sigma lean business excellence, stakeholder management, and PRINCE2 project management.
With his extensive project track record in the U.S., Europe, and Asia, he also brings a unique cross-practice, cultural perspective to Broadridge Consulting Services that optimize the transformational initiatives of global firms in intelligent, innovative, and scalable ways.
Franklin Kwok
Managing Director, Finance & Accounting Solutions
With 23+ years of experience, Franklin Kwok currently serves as a subject matter expert on a variety of projects in the realm of financial services. He focuses his consulting expertise on the optimal way to transform business and the strategy for driving efforts from the current state to the desired future state in an effective and efficient manner. In the past, he has worked in the trenches in middle and back-office roles supporting fixed income and equity trading strategies.
His areas of expertise include Financial Control, Product Control, and Operational Control. Franklin has played integral roles in spearheading projects to implement a multitude of fixed income related solutions. He possesses an intricate level of expertise around conversion design and methodology, controls and reconciliation design and implementation, fixed income accounting, DW/BI, trading architectures, and settlement systems.
Specializing in the Following Areas:
- Conversion & Implementation Strategies
- Workflow & Systems Architecture within a Fixed Income Trading Environment
- Accounting, Financial Control, Product Control & Operations Knowledge across a Variety of Financial Products, with a Specialty in Fixed Income.
- Controls & Reconciliation Design
- Consolidated Sub-Ledger Design
- Data Warehousing & Business Intelligence
- Impact Fixed Income Security Settlement System - with Specialties in Back End Tables and Accounting and P&L Configuration/Functionality
Stuart Locke
Senior Director, Product Management
With over 25 years’ experience in Financial Services, working for major global banks within Europe and Asia (Hong Kong), Stuart has extensive knowledge in Prime Brokerage, Equities, Fixed income and Custody areas working within Asset Servicing, Corporate Actions and Settlements along with all of the other Front to Back processes.
He has a proven track record of operational management, process improvement and project delivery. Using his unique ability to utilize skills from each umbrella Stuart fuses his operational expertise with projects and his projects expertise within ops to maximize output and efficiency and has worked on various projects reviewing and creating optimized operating models within the various businesses.
Allan Lumutenga
Senior Director, Emerging Technology
With his 15 years of change leadership experience, Allan delivers operational intelligence to those firms looking to optimize their post-trade banking and financial services capabilities.
Allan specializes in
operational transformation , regulatory change management, and post-trade efficiencies for cross-asset class derivatives and cash securities. He is an expert in analyzing and testing business and technology requirements, risk and control assessments, data analysis, and remediation.
As a member of Broadridge Consulting Services, he applies his proven expertise to the design and delivery of large, complex implementation programs for international investment and corporate banking firms that require best-in-class industry standards and transformational frameworks.
Sean McClenin
Senior Director
Sean McClenin is a highly committed and experienced project management professional, with over 20 years of financial services industry experience. Throughout his career, Sean has gathered expertise in the areas of Settlements & Clearance, Shared Services Operations, Reconciliations, and Operational Risk and Control. Prior to joining Broadridge 5 years ago, Sean held Operational Leadership and Management roles at high profile US Broker Dealers.
With skilled proficiency in domestic and international fixed income and equity trade execution, as well as, comprehensive understanding of sophisticated financial accounting, corporate finance, product control and risk mitigation, Sean is an extremely valuable resource for organizations looking to improve their operational efficiencies and expand business scope.
Audrey Mindak
VP, Wealth Management, Global Custody, Tax, Operations & Technology
Audrey has over 25 years’ experience in the financial services industry, including 20 years at Morgan Stanley as an Executive Director. Audrey’s background is in Wealth Management and Global Custody, holding leadership positions in Operations, Product Development, Technology, and Risk. She has led product launches, regulatory initiatives, process re-engineering, conversions, and key strategic transformations, such as the Smith Barney/ Morgan Stanley joint venture. She has been honored with several Operations Awards for Service and Excellence and an award of Excellence for Banking Initiatives.
Audrey has just completed three years within the Corporate Tax Division of Broadridge as a Vice President, leading Tax Client Services and Project Management, as well as Testing and Quality Assurance for key Tax implementations. Most recently Audrey was the Overall Business Engagement Lead for Onboarding a key franchise client to the ICS Tax Platform.
Vito Novielli
Senior Director, Delivery Practice
Vito is a highly experienced and committed leader with over 30 years of experience in Middle Office and Brokerage Operations. Throughout his career, he has managed and overseen Operational projects for multinational financial services clients, specifically focusing on improving the clearing and settlements processes. Vito is a crucial component in terms of development and planning, resourcing, staffing, and people management.
As an interface between Broadridge BPS system and Business Process Outsourcing products, Vito's responsibilities include configuring BPS processing environments for multi-asset class trade entry, clearance, and settlement and the validation of various static elements.
Vito's dedication to his clients and the industry, coupled with his extensive experience, has established him as an expert in his field. His technical expertise and attention to detail ensure that project outcomes meet the highest standards. He is a respected leader who inspires his team to deliver high-quality solutions that exceed client expectations, making him an asset to the Broadridge team.
Eileen O’Mara
Senior Director
Eileen is a seasoned technology solutions leader with more than 20 years of experience driving the development and delivery of complex technology solutions for major clients in the Financial Services industry. Her career began in Operations, where she acquired a comprehensive understanding of industry processes. She transitioned to implementing and converting finance books and record platforms, as well as advising clients as a subject matter expert on Broadridge Processing Solutions (BPS).
Eileen has developed extensive expertise in regulatory compliance areas such as Anti-Money Laundering (AML) and Escheatment. Over the course of her career, she has held several positions, including Director of Operations, Scrum Master, and Product Owner with major firms such as USAA and Hilltop Securities. With her vast experience, technical knowledge, and leadership capabilities, Eileen is a valuable resource for any organization seeking to leverage technology to improve their operations while staying compliant with regulatory requirements.
Galina Plekhov
Senior Director
Galina is an accomplished project manager and certified technical professional with over 7 years of experience in Broadridge's Professional Services organization. Galina's career began at Citibank, where she managed the Citibank Trading System. When the system was converted to Broadridge, she transitioned to her current role, which has allowed her to forge close connections with our product managers, developers, and technology professionals.
Throughout her tenure at Broadridge, Galina has managed large-scale technology implementations and conversions, transitioning clients onto our systems such as BPS and impact. She has a proven track record of delivering numerous successful conversion projects while instituting and following detailed project plans, project tracking processes, and status reporting mechanisms. Galina's expertise also includes defect root-cause analysis and project risk management, as well as defining and continuously improving engineering practices throughout deployment and maintenance.
Aside from her considerable experience in the industry, Galina is also a Certified Project Management Professional and Scrum Master, certified by Scrum Alliance. Her skillset and knowledge base continue to expand, which, coupled with her leadership experience and industry expertise, make her an invaluable member of the Broadridge team.
Mike Rafferty
VP, Capital Markets and Wealth Implementations and Conversions
Mike has over 30 years of Broadridge and industry experience. He started his career in Operations and transitioned to implementing and transforming finance books and records platforms, as well as advising clients as a subject matter expert on Broadridge processing and related industry solutions.
Over the course of his career, Mike has held leadership positions with several Tier 1 Broker Dealers, as well as senior roles within Broadridge Client Services, Client Conversions/Implementations, and Consulting Services.
Jean Reilly
Managing Director, Wealth Management and Digital Transformation
Jean’s 20 years of experience in Wealth Management and Financial Services Consulting have led to the creation of innovative, highly adoptable products for broker dealers, financial advisors and investors.
Jean designs and develops a wide range of technology solutions for Broadridge Consulting clients. In addition to financial advisor platforms, investor portals, digital advice and digital processing products, Jean also creates proprietary AI and RPA bank products.
Recognized by the industry as a speaker, panelist and author of Regtech Consulting articles, Jean has helped spearhead the broker-dealer evolution toward Reg BI Readiness.
David R Smith
Managing Director, Banking & Capital Markets Practice Lead
A client-oriented professional with more than 20 years’ experience, David leads the Banking & Capital Markets Practice for Broadridge Consulting Services. He specializes in large scale operational and technology transformations across the entire trade lifecycle for his clients.
With deep trading knowledge within capital markets, David delivers transformative front to back trade solutions that enables clients to modernize their technology and simplify processes across asset classes and geographies. David is the leading subject matter expert in support of Broadridge senior leadership as they engage on topical developments including the shift to shortening the settlement cycle.
Gaurang Sardana
Managing Director,
Canadian Practice Lead
Gaurang brings 27 years of financial services industry experience and leads Broadridge Consulting Services in Canada. Over the course of his career, he has helped clients embrace disruptive innovation and reimagine their organizations for today’s digital world.
His client service has spanned various regulatory readiness engagements, business growth strategic initiatives, operating model enhancements as well as data and technology modernization.
He is a skilled leader of large teams on major projects, bringing unique perspectives by leaning on his industry experience in financial services and his practical experience as a trusted advisor.
Gaurang has helped his clients make definite, enduring and material performance improvements in their businesses.
Venkat Sarilla
Senior Director, Fixed Income, New Client Conversions and Onboarding
Venkat Sarilla is an accomplished fixed income business and technology professional with over 20 years of experience in the finance domain. He has a strong background in business analysis, project management, test management, and quality assurance, with expertise in supporting fixed income front office, back office, and operations desks.
Venkat has worked in various functional areas across equities and fixed income, including investment banking, wealth management, trading systems, risk management, and financial instruments. He has extensive knowledge of fixed income processing and a proven ability to manage new client conversions. His specialties include Broadridge impact, FinancePro®, MBS Expert, GLOSS, and BPS.
Venkat's professional summary highlights his extensive experience, expertise in fixed income processing, strong technical skills, and successful project and team management abilities. His deep knowledge of the finance domain, coupled with his leadership credentials, make him an asset in supporting fixed income front office, back office, and operations desks and delivering solutions for fixed income products.
In terms of technology, Venkat is proficient in AS/400, RPG, RPG ILE, XML, HTML, Core Java, web services, Java swings, JavaScript, and SQL. Venkat is also familiar with tools like COGNOS, Volante, Visio 2000, MS Office, JIRA, QTP, and MQC.
Uday Singh
Managing Director, Global Head of Broadridge Consulting Services
Standing at the intersection of business, data and technology, Uday applies his Financial Services Consulting expertise toward the strategic execution of operational programs designed for the digital transformation of global institutions.
He leads his Broadridge Consulting team in addressing the challenges of the banking, asset servicing, and wealth management industries.
Sought out by the financial media and industry peers for his insights and opinions, Uday drives positive outcomes through data-derived strategies. His pioneering work in data collection measurements led to both reduced cycle time and improved decisioning.
Rick Stinchfield
VP, Broadridge Consulting, Securities Finance & Collateral Management
Rick has over 35 years of experience in brokerage and bank securities processing operations and technology; capital markets, securities finance, and collateral management; and the full conversions life cycle. Besides planning and managing nearly 200 brokerage/bank conversions, self-clearing and merger/acquisition projects, Rick has had leading roles in large scale industry initiatives such as the conversion of DTCC settlement from Clearing House Funds to Fed Funds, Agency Lending Disclosure of Principal, Automated Recall Management, and the implementation of Equity Finance Central Clearing/CCP models. Professional specialties include planning and executing large scale, multi-platform brokerage mergers and systems conversions; systems and business process Integration; data processing transformation; utility and vendor Integration; and industry and regulatory change initiatives associated with settlement, clearance, risk, and capital markets reporting.
Thomas Strachan
Senior Consultant, EMEA
With over 25 years of experience in Financial Services working for major global banks, Tom has extensive knowledge in Equities, Fixed income, Repo and Securities Lending, Derivatives and Derivatives-based funding, along with front-to-back processes.
Tom has a proven track record of delivering programs and projects in areas such as Repo, Securities Lending, Collateral, Prime Brokerage (including Synthetics), e-Trading, Derivatives, Data modelling and Migration, Post Trade Services, Market and Credit Risk, Finance & Product Control, Regulatory, Operations and Legal/Compliance for multi-entity institutions (including cloud-based solutions).
Prior to moving into the technical space, Tom worked in back-office roles, including Data, Settlements and Trade Support to trade Derivatives and then Securities Lending and Structuring.
Matt Swain
Managing Director, Communications Insights & Experience
Hundreds of companies worldwide have relied on Matt’s research-grounded expertise over the last 15 years for the success of their omnichannel communications initiatives.
Matt and his colleagues at
Broadridge Consulting Services have a proven track record for improving client experiences through strategic, more holistic communications approaches. From evaluating a company’s ecosystem to recommending best practices, Matt offers a unique degree of insight to those clients who are looking to optimize their communications strategy, as well as measure their program’s strategic effectiveness.
Matt also hosts the popular
Reimagining Communications podcast, where he interviews industry peers on emerging communications trends and best practices.
Mike Tropeano
VP, Wealth, Bank Trust and Retirement
For more than 25 years, financial firms have turned to Mike for his expertise in business transformation and model expansion. He provides extensive insights into emerging technologies and trends such as digitizing operations; hyper-personalization of customer communications; Environmental, Social and Corporate Governance (ESG) and enablement of Artificial Intelligence (AI) and Machine Learning (ML).
With a background in investment performance measurement, securities processing and operational best practices, Mike’s skill set is an especially good fit for both buy-side and sell-side firms that need to accelerate their pace of innovation.
David Turmaine
Managing Director, Practice Lead, EMEA
David leads our post trade and digital asset EMEA consultancy services at Broadridge and has a wealth of experience within global markets & securities services. He has specific experience in business strategy definition, market infrastructure change as well as defining new front to back business models and future target operating models.
He has participated in key strategic initiatives including market infrastructure and industry driven reforms such as T2S, CSDR EMIR and MiFID I & II, and has also supported large scale transformation projects relating to operational infrastructure re-design and delivery of new business functions and products.
Rich Weaver
VP, Broadridge Consulting
Rich is a seasoned consultant with over 30 years of experience in securities processing operations and technology. His expertise spans capital markets, securities finance, and global custody, with a particular focus on clearance and settlement processes.
Having witnessed and contributed to the evolution of securities processing over three decades, Rich brings a wealth of knowledge to his consulting engagements. Having worked with major financial institutions and technology providers, Rich has led numerous transformative projects that have streamlined operations, reduced risk, and increased efficiency in securities processing. His experience spans both buy-side and sell-side operations, giving him a holistic view of the industry's challenges and opportunities. Rich's technical acumen, combined with his business insights, allows him to bridge the gap between operational needs and technological solutions, making him an invaluable asset to clients navigating the complex world of securities processing.
Will Young
Senior Consultant, EMEA
With more than 15 years of experience in Investment and Commercial Banking, as well as consultancy services, Will has an excellent proven track record in both implementing derivative and non-derivative reforms and remediating previous reporting solutions to both the satisfaction of clients and regulators.
Will brings a mixture of skills, including program and project leadership both in Prince II and in Agile where he has created and led large Agile programs to success. He also brings a wealth of regulatory reporting knowledge with tangible outputs through technical and business analysis.
One of his great strengths is to produce consistent delivery for clients from discovery through implementing the solution, ensuring a smooth transition within the clients’ infrastructure and teams.
