VP & CISO
Sheldon Cuffie is vice president and chief information security officer of Northwestern Mutual. Sheldon is an industry thought-leader of 20+ years focused on enabling business outcomes through technology. In his role, he leads a group of cyber-security, information risk, enterprise privacy, and disaster recovery professionals responsible for the protection of client information across Northwestern Mutual's insurance and investment portfolios. In January 2016, he was appointed as an executive officer of Northwestern Mutual.
Prior to joining Northwestern Mutual in 2006, Sheldon served in the Wisconsin Army National Guard for nine years and worked in IT infrastructure and enterprise architecture leadership roles for Kohl's, M&I Bank, Harley-Davidson Motorcycle Company, and Abbott Laboratories.
Sheldon graduated with honors from Concordia University Wisconsin with a bachelor's of arts in Management, and later graduated with honors with a master's of science degree in Organizational Leadership from Quinnipiac University (Hamden, CT) in 2013.
Senior Manager, Cyber Risk Framework
Dr. Jack Freund is a leading voice in Information Risk measurement and management with experience across many industry segments. Jack is currently Senior Manager, Cyber Risk & Controls at TIAA-CREF. Jack was awarded a Doctorate in Information Systems and holds the CISSP, CISA, CISM, and CRISC designations. Jack is the coauthor of Measuring and Managing Information Risk: A FAIR Approach. You can follow all Jack's work and writings at riskdr.com.
OPPENHEIMER & CO, INC
Chief Information Security Officer
Peter is currently the Chief Information Security Officer at Lazard where he is responsible for the global information security strategy and program at one of the world's preeminent financial advisory and asset management firms with operations in 43 cities across 27 countries. Prior to Lazard, Peter was with Citigroup's global information security team. His most recent role at Citi was the Head of Information Risk Governance, where he led the team that is responsible for developing and maintaining Information Security Policy globally. Prior to his 5 year tenure with Citi, Peter had 19 years of experience in information security and technology. This included 6 years as a Director with PricewaterhouseCoopers' Threat and Vulnerability Management advisory practice. He also spent over a decade managing his own consultancy that specialized in designing, building, and operating secure high availability data centers and networks around the world for military, intelligence, and commercial clients.
His certifications include:
Certified Information Systems Security Professional (CISSP)
Certified Ethical Hacker (CEH)
Certified Anti-Money Laundering Specialist (CAMS)
Certified Fraud Examiner (CFE)
Amazon Web Services - AWS Technical Professional
Cisco Certified Network Associate (CCNA)
Cisco Certified Design Associate (CCDA)
Certified Netware Administrator (CNA)
Chief Risk and Compliance Officer
Joshua Kotok is the Chief Risk and Compliance Officer at First Savings Mortgage Corporation. Joshua is an accomplished executive with demonstrated performance in leading operational and technology risk management and compliance initiatives. In addition, Joshua has identified and assessed operational and information technology risk from the regulatory and audit perspectives.
Prior to joining First Savings Mortgage Corporation, Joshua was the lead examiner for ongoing monitoring and targeted examinations of Freddie Mac's Operational Risk program for the Federal Housing Finance Agency (FHFA). Joshua also served as the Senior Manager of Operational and Technology Risk for the Making Home Affordable program where he led the development of the ORM framework and all supporting components. Joshua also has prior experience as a Big Four management consultant where he led several engagements for Financial Services clients specializing in operational, technology and compliance risk reviews, governance and supporting technology implementation (GRC).
Joshua holds a Bachelor of Science degree in Information Systems from Florida State University. Joshua is a Certified Fraud Examiner (CFE) as well as a Certified Information Systems Auditor (CISA). In addition, Joshua has held numerous industry association board positions including serving as the President and Education Director of the ISACA South Florida chapter and Vice President of the iCoast CIO council. Joshua is also a past presenter for the Global Association of Risk Professionals (GARP) and the Operational Risk North America conferences.
Chief Operating & Technology Officer
STAR MOUNTAIN CAPITAL
John W. Polis is an entrepreneurial information management and business operations leader with a 20+ year track record of creating and enhancing technology enabled businesses and building platforms that allow for significant scale.
Prior to joining Star Mountain Mr. Polis was a Founding Member, COO and CTO for Visionary Access, Inc., an Investor and Business Development platform, where he oversaw sales and integrated marketing, finance and accounting, client servicing, human resources, and information technology platform development.
Prior to joining Visionary, Mr. Polis was COO and CTO for Guidepoint Global, a primary research firm and expert network serving the world's leading Institutional Investors, Private Equity Firms, Consulting Organizations, and Corporations. Brought on in 2011 with a direct turnaround mandate, Mr. Polis changed the operating culture leading positive change in process and people management along with directing significant improvements to their information technology platform guiding the company back to profitability and significant double digit growth.
Before Guidepoint, Mr. Polis served as COO and CTO for Coleman Research Group (CRG), also a primary research firm and expert network where he was recruited immediately after company secured financing. Without delay Mr. Polis led the product management and development effort on their custom built, Web based CRM, Recruiting, and Payment Processing platform - Knowledge BrokerTM - while also being responsible for overseeing all operational areas of the company including research, relationship management, compliance, human resources, and data management. CRG also had a broker dealer arm, Coleman Brokerage Group, for which Mr. Polis served as compliance officer for. During his tenure Coleman Research scaled from 5 to 140 employees worldwide and in 2009 was voted one of Crain's New York "Best Places to Work in New York City".
Earlier in Mr. Polis' career he served as a Co-founder and Executive Vice President Operations and CTO for Dotcom Distribution and Chief Information Officer for the GT Media family of companies.
Mr. Polis holds a BA in Economics from New York University, an MBA in Management from Wagner College and is FINRA Series 63, 7 and 24 licensed. He is also an adjunct at NYU where he teaches graduate level courses in Integrated Marketing Database Modeling and Management. Prior to NYU Mr. Polis was an adjunct at Touro College Graduate School of Technology where taught courses in Database Design and Modeling for Business.
Head of Operational Risk
Ivan is a seasoned Risk Manager, with diverse Business and Geographical experiences.
Ivan is currently VP at Guardian Life of America, where he leads the firms Operational Risk function. He is a member of the Corporate Risk Committee and is also responsible for Third Party Risk and Business Resiliency. More recently he was Chief Operational Risk Officer at Santander Bank US Holdings, where he had responsibility for the Operational Risk, Third Party Risk, Business Continuity and Information Management Programs. His primary focus at Santander was developing a Risk program in preparation for the Regulatory CCAR exam.
Prior to his role at Santander he was at GE Capital for close to four years as Managing Director-Head of Enterprise and Operational Risk for GE Capital Americas. In this role he had responsibility for Operational Risk, Governance, Risk & Control Assessments and Records Management. His primary objective was to develop a program that would make meaningful impact towards a cultural shift in Operational Risk Management.
Before GE he was at Citigroup for close to 21 years in multiple roles. His last role at Citi was as Global Head of Operational Risk for the Consumer and Commercial bank and was directly accountable for defining the framework and strategy for Operational Risk and in preparing the Bank for Basel AMA Compliance.
During the period of 2003-2010, Ivan held several roles in Europe and the Middle East, first as Audit Director for the Consumer Bank (based in Belgium), then as Country Risk Officer for Spain (based in Spain) and also Regional Credit Officer for Spain and Portugal. As a Senior Credit Officer he successfully managed the prelude and 1st phase of the economic crisis in Spain and Portugal.
Prior to his time in Europe, Ivan was with Banco Santander in Sao Paolo Brazil, where he was Business Manager for the Mid-Small Market segment. Other roles include Citi Bank CRO in Brazil, Venezuela and Colombia.