2017 FINRA Diversity Summit Agenda

Embracing Inclusion as a Catalyst for Individual and Organizational Success

March 29, 2017
8:00 a.m. - 4:30 p.m.
New York, NY


8:00 a.m. – 9:00 a.m.

Registration & Continental Breakfast

9:00 a.m. – 9:15 a.m.

Welcome Remarks
Robert Cook, President and CEO, FINRA

9:15 a.m. – 10:00 a.m.

Diversity and Inclusion – Where Are We Today?

A conversation on the progress of diversity and inclusion in the financial services industry, challenges in the workplace and strategies to overcome.


  • Robert Cook, President and CEO, FINRA
  • Christopher Lewis, General Counsel, Edward Jones

10:00 a.m. – 10:15 a.m.


10:15 a.m. – 11:15 a.m.

Who’s in Your Pipeline?

An interview with Stefanie Johnson, Assistant Professor, University of Colorado, Leeds School of Business, about recent research on the relationship between candidate pools and hiring decisions


  • Stefanie Johnson, Assistant Professor of Management, University of Colorado


  • Peter Gonzalez, Principal Examiner, FINRA


11:15 a.m. – 12:15 p.m.

Unconscious Bias

A discussion about how unconscious brain biases in the workplace can unknowingly shape the organization's culture and how these biases can be overcome with purposeful action


  • Rick Berry, Executive Vice President, FINRA Dispute Resolution
  • Leslie Hines, Executive Consultant, Ivy Planning Group, LLC
  • Johann Shudlick, Global Head of Diversity Recruiting, Goldman Sachs


  • Audria Lee, Director, Diversity and Worklife, FINRA


12:15 p.m. – 1:15 p.m.

Lunch and Networking Opportunity

1:15 p.m. – 2:30 p.m.

Brain Trust Session: Roundtables to Share Diversity and Inclusion Best Practices

During this interactive session, participants engage in discussions around a variety of topics to share best practices, challenges and solutions to creating opportunities through diversity. A representative from each discussion group will report highlights; FINRA facilitators will wrap-up the session—noting key take-a-ways for future consideration.


  • Rosie Allan, Director, Organizational Development, FINRA
  • Audria Lee, Director, Diversity and Worklife, FINRA

2:30 p.m. – 2:45 p.m.


2:45 p.m. – 3:45 p.m.

Ask the Experts

A group of diversity practitioners and business leaders come together for a lively discussion of topics from the day’s agenda and an opportunity to answer your questions.


  • Kathryn Burdett, VP, Head of Diversity & Inclusion, Americas Deutsche Bank
  • John Cannon III, Partner, Shearman & Sterling LLP
  • Seendy Fouron, Executive Director, Morgan Stanley


  • Tracy Johnson, Senior Vice President, Human Resources, FINRA

3:45 p.m. – 4:30 p.m.

Networking Opportunity