FUNDSLIBRARY - Key Persons
Job Titles:
- Independent Director
- Member of the Board of Directors
- Head of Platform for Google Cloud at Google
Mr. Zavery is the head of platform for Google Cloud at Google. He joined our Board of Directors in 2019, and is a member of the Audit Committee. Mr. Zavery spent 24 years at Oracle, where he held various leadership roles, most recently as executive vice president and general manager of cloud platform and middleware products.
Job Titles:
- Independent Director
- Member of the Board of Directors
Annette joined our Board in 2021, and serves as a member of the Audit Committee and Compensation Committee. She currently serves as a Senior Counsel of Davis Polk & Wardwell and previously headed the firm's Washington, D.C. office. Annette earlier served as SEC Commissioner from 2005 to 2008 and previously held several roles at the SEC, including Director, Division of Market Regulation (now the Division of Trading and Markets), Senior Counsel and Interim Director of the Division of Investment Management. She also previously held several senior positions at investment banks. Annette currently serves on several not-for-profit boards and the boards of Figure Acquisition Corp. I and Athena Technology Acquisition Corp., both public companies. She also serves as the Operating Lead of an international taskforce on scaling voluntary carbon markets.
Job Titles:
- Corporate Vice President, Investor Communication Solutions Operations
Bob is responsible for the operations of our Investor Communication Solutions business and Broadridge's global facilities. Until 2018, he was also responsible for global procurement. In 2016, Bob's responsibilities were expanded to include the role of Chief Operations Officer of the Broadridge Customer Communications business. He joined ADP's Brokerage Services Group in 1992 in the Investor Communication Services division as Director of Finance.
Job Titles:
- President, International Sales
Bob is responsible for sales internationally. Previously, he led our global bank, broker-dealer distribution channel, including global sales management, business development and strategic client initiatives. His experience spans capital markets, wealth management and investment management technology, operations and communications. Bob joined ADP in 1992 and has since served in various sales and marketing roles.
Job Titles:
- Independent Director
- Member of the Board of Directors
- Chief Executive Officer of Priceline.Com
Mr. Keller is the Chief Executive Officer of Priceline.com. He joined our Board of Directors in 2015, and serves as a member of the Audit Committee and the Compensation Committee. Mr. Keller also serves on the National Advisory Council for the Marriott School of Management at Brigham Young University.
Job Titles:
- Member of the Executive Leadership Team
- President
- President of Broadridge
Chris was appointed President of Broadridge in March 2020. Previously, he served as our Corporate Senior Vice President, Global Sales, Marketing and Client Solutions from 2014 to 2020. Chris leads Broadridge's top clients and partners, overseeing Broadridge International, and coordinating Broadridge's overall growth strategy. He joined Broadridge in 2014 after more than 25 years in banking, brokerage and financial information services. Most recently, he was Global Managing Director of Risk for the Financial & Risk division of Thomson Reuters. Over the previous 14 years, Chris held numerous roles at Thomson Reuters and its predecessor, Thomson Financial. Chris currently serves on the Board of the Financial Services Institute.
Job Titles:
- Global Chief Marketing Officer
- Broadridge As the Global CMO
Dipti joined Broadridge as the global CMO in January 2022. As a member of Broadridge's executive leadership team, she leads all aspects of global marketing, including brand, advertising, digital marketing, content strategy, lead generation and events. Dipti is an experienced marketing leader with a proven record of building industry-leading brands and driving business growth. She joins Broadridge from JPMorgan Chase, where she recently served as CMO for Wealth Management. Dipti also held several senior consumer and wholesale marketing roles at J.P. Morgan and OppenheimerFunds, Inc.
Job Titles:
- President, Corporate Issuer Solutions
Dorothy joined Broadridge in 2017 and is responsible for all solutions provided to our corporate issuer clients. She leads a team of international associates and is part of the Governance and Communications business. Prior to joining Broadridge, Dorothy held leadership positions in investor relations and human resources at The Walt Disney Company. Prior to Disney, Dorothy was CEO of The Keane Organization and Chief Operating Officer of The Richardson Company. She sits on the Board of Directors of Truly You Events and on the Board of The Uplift Center for Grieving Children.
Job Titles:
- Corporate Vice President / President, Customer Communications
Doug is responsible for Broadridge's digital strategy and omni-channel communications business. Previously, he oversaw our U.S. proxy and prospectus services. At the time Broadridge became an independent company, Doug served as the Chief Strategy and Business Development Officer. Prior to joining Broadridge, he held roles at ADP and Lehman Brothers.
Job Titles:
- Chief Financial Officer
- Member of the Executive Leadership Team
Edmund joined Broadridge in November 2020 from American Express, where he most recently served as Senior Vice President and CFO of the Global Consumer Services Group. Prior to joining American Express in 2009, he held senior finance positions at Merrill Lynch and Citigroup Smith Barney. Edmund brings to Broadridge deep financial leadership experience that spans investments, M&A, product launches, contract negotiations, strategy and operations. He also serves as a board member of the President's Advisory Committee at Clemson University.
Job Titles:
- Chief Commercial Diversity Officer
Frieda works to enhance the company's record of diversity both inside and outside the organization. She serves as a business catalyst, executing a diversity strategy that enables Broadridge to win in the global marketplace. In addition, Frieda is Managing Director of Global Relationship Management, responsible for coordinating significant global relationships.
Job Titles:
- Senior Vice President, Corporate Strategy
Germán oversees our corporate strategy function, focusing on partnerships and other growth-related activities. Prior to joining Broadridge, he was President and a member of the Board of Directors for Cloud9 Technologies, LLC, a cloud-based voice trading communications and analytics company. Previously, Germán held key roles at JPMorgan Chase & Co. Strategic Investments, AIC Private Equity and McKinsey & Co. Inc.
Job Titles:
- Shareholder Rights Directive
John served as our President until September 2013 and as our Chief Operating Officer until September 2012. Prior to Broadridge becoming an independent public company in 2007, John served as Group President of the Brokerage Services Group, and as a member of the Executive Committee and Corporate Officer of ADP. In this role, he shared the responsibility of running the Brokerage Services Group with Rich Daly.
Job Titles:
- Chief Technology Officer, Investor Communication Solutions
John oversees all of the technology for our Investor Communication Solutions segment, including application development, project management, business analysis, quality assurance and process governance. He has held various positions in client services, technology operations and application development for ADP then Broadridge since 1992. John serves on the Stony Brook Computer Science Industrial Advisor Board and the CAST Software Client Advisory Board.
Job Titles:
- Vice President, Digital Center of Excellence
Kate leads our Digital Center of Excellence for product, governance and technology, a strategic entity that serves to promote cross-functional collaboration and align the organization's digital priorities. Prior to Broadridge, Kate was Vice President at Charles Schwab where she spent 24 years building unique digital experiences and innovating in financial services.
Job Titles:
- Chief Legal Officer
- Corporate Vice President
Keir is our Corporate Vice President and Chief Legal Officer. He joined Broadridge in July 2021. Keir oversees our legal, compliance, and physical security teams, and will help lead Broadridge's policy efforts. He joined Broadridge from Uber Technologies, Inc., where he most recently served as Deputy General Counsel and Deputy Corporate Secretary. Before Uber, Keir was a partner at Covington & Burling LLP. Prior to Covington, he was a lawyer in the Division of Corporate Finance of the Securities and Exchange Commission, including serving as Counsel to an SEC Commissioner.
Job Titles:
- Corporate Vice President, Deputy General Counsel, Chief Governance Officer and Chief Compliance Officer
Laura is responsible for our legal department's operations and helps set the department's strategy. In her role as Chief Governance Officer, Laura works closely with Broadridge's Board of Directors and represents the company's leadership on corporate governance issues. In 2017, the role of Chief Compliance Officer was added to her responsibilities. Prior Broadridge appointments include Associate General Counsel, Chief Privacy Officer and Assistant Corporate Secretary. Laura joined ADP in 1997.
Job Titles:
- Lead Independent Director
- Member of the Board of Directors
- Chairman and Chief Executive Officer of SARR Group
Mr. Brun is Chairman and Chief Executive Officer of SARR Group, LLC, and Vice Chairman and Senior Advisor of G100 Companies. He joined our Board of Directors in 2007 and serves as Lead Independent Director. Mr. Brun served as Chairman of the Broadridge Board from 2011 to 2019. He also serves on the Boards of CDK Global Inc., Merck & Co., Inc. and Corning, Inc.
Job Titles:
- President, Bank Broker - Dealer
Martin is responsible for regulatory communication solutions provided to bank broker-dealer clients globally, including proxy communications. Martin started his career at The Boston Consulting Group. Prior to joining Broadridge, Martin held strategic leadership positions at the New York Stock Exchange, representing them on the Board of Directors of two joint ventures, NYSE Blue and ATS Brazil. He has 20 years of experience as a Fintech entrepreneur in North America, Europe and Asia, including co-founding Cameron Systems, a trading software company. He has led several AI/Machine Learning initiatives and is AWS Certified - Machine Learning Specialty.
Job Titles:
- Chief Operating Officer, Global Technology and Operations
Matt is responsible for driving operational excellence and delivering revenue growth across Global Technology and Operations. Prior to this, Matt, who joined the Company in 2007, served as Broadridge's Interim Chief Financial Officer, the chief financial officer of GTO and has held a variety of roles in finance and business unit leadership, including leading our fixed income securities processing business. Prior to joining Broadridge, he held senior finance roles at Gartmore Global Investments, First USA, and CoreStates Bank.
Job Titles:
- Independent Director
- Member of the Board of Directors
Ms. Markus is the former President and Chief Operating Officer of the Bank of the West. She joined our Board of Directors in 2013, and serves as a member of the Audit Committee and the Compensation Committee. Ms. Markus is a member of the Board of Stifel Financial Corp. She also serves on the Board of Catholic Charities CYO of San Francisco and on Year Up Bay Area's Talent and Opportunity Board. Ms. Markus is a trustee for the College of Mount Saint Vincent.
Job Titles:
- Independent Director
- Member of the Board of Directors
Mr. Flowers most recently served as Corporate Vice President of Internal Audit and Enterprise Risk Management for Microsoft. He joined our Board of Directors in 2021, and serves as a member of the Audit Committee. Prior to Microsoft, Mr. Flowers was the Chief Financial Officer at Novatel Wireless as well as several other public and private companies. He is currently a member of the Board of Trustees of Seattle University where he serves as Chairman of the Audit Committee.
Job Titles:
- President, Wealth Management
Mike is President of Wealth Management at Broadridge, with leadership responsibility for the Broadridge Wealth Platform; the next-generation industry-level open platform that uniquely address Wealth Management firms' need to transform their technology and business models. Prior to joining Broadridge, he was Senior Vice President of Operations at Charles Schwab.
Job Titles:
- President, Broadridge Canada
Michael is responsible for all aspects of our business in Canada. He previously served as President of Broadridge Canadian Securities Processing Solutions and led the Broadridge acquisition of RPM Technologies. Earlier, Michael was also actively involved in many client implementations across Canada and managed the Client Services division. He first joined ADP's Brokerage Services Group in 1981 shortly after the opening of the Canadian business.
Job Titles:
- Corporate Vice President, Chief Transformation Officer, ICS
Michael was appointed Chief Transformation Officer for Investor Communication Solutions in January 2022. He leads major transformational projects by driving revenue-generating initiatives that meet the business needs of our clients and align with Broadridge's leading capabilities. Prior to assuming this role, Michael led our Mutual Fund and Retirement Solutions business, providing data-driven solutions that help asset managers and retirement providers grow revenue, reduce expense and mitigate risk. From 2004 to 2015, he held several finance and executive roles, including Chief Financial Officer of ICS and Operating Officer of Mutual Fund and Retirement Solutions. Michael joined ADP's Brokerage Services Group in 2004.
Michael is our Chief Client Officer. He has over twenty years' experience at Broadridge focused on the Governance and Regulatory, Wealth Management and Asset Management groups. Michael currently manages the relationship and service experience for over 5,000 clients and is launching a new Client Success initiative globally across Broadridge. Previously, he served as managing partner of Northeast Consulting Services for McGladrey & Pullen, LLP and as a systems architecture and application specialist at Shearson Lehman Brothers in New York. Michael has served on the Board and Finance Committee for the YMCA of Long Island and as a senior advisor for the Dominican Village, one of the first assisted care facilities in New York.
Job Titles:
- Corporate Vice President, President, Mutual Fund and Retirement Solutions
Mike was appointed President, Mutual Fund and Retirement Solutions, in January 2022. He is responsible for the strategic direction and overall financial results of our mutual funds and retirement business. Mike previously served as Chief Transformation Officer, ICS, and as Senior Vice President, Corporate Strategy. Prior to joining Broadridge in 2017, he was Senior Executive Vice President of Worldwide Services for Microstrategy. He also served as Director of Investments for the Troubled Asset Relief Program at the U.S. Department of Treasury and held positions at Merrill Lynch and McKinsey & Company.
Naadia assumed the position of Chief Diversity Officer effective November 2020. Partnering with business units and Human Resources, she is dedicated to the design and implementation of a holistic strategy for diversity, equity and inclusion (DEI). Naadia also serves as an advisor on key global initiatives including the Executive Diversity Council, Associate Networks, recruitment and compliance. Most recently, she served as the Head of the Broadridge Mutual Fund Regulatory Communications Business. Naadia brings 25 years of Broadridge experience to her role.
Job Titles:
- Broadridge As Head of Corporate Planning and Analytics
- Head of Corporate Planning and Analytics
Nadin joined Broadridge as Head of Corporate Planning and Analytics in August 2022. As leader of goal setting, his role is to set expectations for management, providing robust financial information - including results, forecasting and budgeting, competitive analysis, predictive modeling and performance against key metrics-to drive the decision-making process. Before joining Broadridge, Nadin served an 18-year tenure with American Express, where he held various CFO positions, most recently serving as General Manager for the Delta Amex co-brand portfolio.
Job Titles:
- Member of the Board of Directors
- Independent Director, Audit Committee Chair
- Retired President of Cummins Distribution Business
Ms. Carter is the retired President of Cummins Distribution Business, a division of Cummins Inc. She joined our Board of Directors in 2017, and serves as Chair of the Audit Committee and a member of the Governance and Nominating Committee. Ms. Carter also serves on the Boards of Enbridge Inc., CSX Corp. and Hewlett Packard Enterprise Company.
Job Titles:
- Chief Human Resources Officer
Rich was appointed our Chief Human Resources Officer in February 2021 after serving as Interim CHRO since September 2020. Since joining Broadridge in 2013, he has led improvement and transformation initiatives across our Human Resources department. Rich previously served as the lead HR business partner for our Global Technology and Operations business and our corporate functions. Prior to joining Broadridge, he spent 22 years at Goldman Sachs as a Managing Director in their Human Capital Management Division.
Job Titles:
- Member of the Board of Directors
- Executive Chairman, Management
Mr. Daly served as Chief Executive Officer of Broadridge from 2007 to 2019 and became Executive Chairman in 2019. He has been a member of our Board of Directors since 2007. Previously, Mr. Daly was Co-President of ADP Brokerage Services having founded and sold what is now the Investor Communications Segment of Broadridge to ADP. He is also a member of the Advisory Board of the National Association of Corporate Directors (NACD) and the Board of Directors of the SIFMA Foundation.
Job Titles:
- Member of the Board of Directors
- Independent Director, Governance and Nominating Committee Chair
- Retired Executive of Accenture
Mr. Duelks is a retired executive of Accenture. He is an advisor to the senior executives of Tree Zero. Mr. Duelks joined our Board of Directors in 2009, and serves as a member of the Audit Committee and the Governance and Nominating Committee. He is also a member of the Board of Trustees of Gettysburg College.
Job Titles:
- Corporate Senior Vice President, Investor Communication Solutions / President, Investor Communication Solutions
Bob is responsible for all aspects of our Investor Communication Solutions business segment, including our bank broker-dealer, corporate issuer, mutual fund and retirement, and customer communications solutions businesses. Bob has held various leadership roles across Investor Communication Solutions since Broadridge became an independent company in 2007. Prior to that, he joined ADP's Brokerage Services Group in 1992.
Job Titles:
- President, Broadridge International
Samir is responsible for our Post-Trade Technology, Global Proxy and Asset Management Data and Technology businesses outside of North America, with a special focus on Europe and Asia. He joined Broadridge in 2019 from BNY Mellon, where he was most recently Global CEO of the Asset Servicing Division and a member of the senior leadership team. Prior to joining BNY Mellon, Samir was with JPMorgan Chase and Bankers Trust in New York. He serves on the Board of the International Securities Services Association.
Sheenam was appointed Managing Director, India, in April 2022. In her role, she is instrumental in executing a key component of the Broadridge strategy. Sheenam is responsible for product management and engineering, operations and innovation for our India-based centers across our Investor Communication Solutions and Global Technology and Operations businesses. She joined Broadridge in September 2021 as Chief Operating Officer for India. Prior to that, Sheenam was an executive with Dell and an APJ CIO leader. She has also held global strategy, engineering and business leadership roles at Infosys, SAP and Oracle. She is an ICF-certified executive coach.
Job Titles:
- Corporate Vice President, President of Global Technology and Operations
Tom assumed responsibility for all aspects of the Global Technology and Operations business segment in 2018 covering capital markets, wealth, and asset management solutions. Tom has held various leadership roles across Broadridge most recently serving as President of Broadridge International where he was responsible for the growth and distribution across our businesses in Europe and Asia.
Job Titles:
- Independent Director
- Member of the Board of Directors
- Chairman of the Board of Trustees of the Pioneer Mutual Fund Group
Mr. Perna is the Chairman of the Board of Trustees of the Pioneer Mutual Fund Group. He joined our Board of Directors in 2009 and serves as a member of the Audit Committee and the Governance and Nominating Committee. Mr. Perna is also a member of multiple banking and securities industry associations.
Job Titles:
- Member of the Board of Directors
- Member of the Executive Leadership Team
- Chief Executive Officer of Broadridge
- Chief Executive Officer, Management
Tim is the Chief Executive Officer of Broadridge, having been appointed to this role in January 2019. He was elected to the Broadridge Board of Directors in 2019. Tim served as President of Broadridge from 2017 to 2020 and as Chief Operating Officer from 2012 to 2019. He joined Broadridge in 2010 as Chief Corporate Development Officer and was responsible for the company's growth initiatives. Prior to joining Broadridge, Tim was President of the Retail Tax business at H&R Block. Earlier, he spent 13 years at McKinsey and Company. Tim also serves on the Board of C.H. Robinson Worldwide, Inc. Mr. Gokey is a member of the board of directors of the Partnership for New York City.
Tyler leads our enterprise technology and development organizations. He serves as the senior-most technology officer for Broadridge, which includes overseeing Broadridge's global technology teams including: enterprise-wide software engineering, product delivery, architecture, infrastructure, cybersecurity, and technology operations. Tyler joined Broadridge in 2012 as the CTO for our Global Technology and Operations business, and also as its Chief Administrative Officer. Prior to joining Broadridge, he worked at OppenheimerFunds, was the CTO for the global tax business of H&R Block and in private equity.
Job Titles:
- Corporate Vice President, Capital Markets / President, Capital Markets
Vijay is responsible for our trading, post-trade processing, and data and analytics businesses. He was appointed President of the Capital Markets division in September 2020. Previously, Vijay led the Global Fixed Income and Analytics division within our Global Technology and Operations business. From 2013, when he joined Broadridge, to 2016, Vijay was responsible for our strategy, acquisitions, partnerships and other growth-related activities. Prior to joining Broadridge, he worked in private equity at IFA, strategy consulting at the Boston Consulting Group and he co-founded and sold a software company.
Job Titles:
- Senior Vice President, Global Head of Corporate Development
Vince oversees all our inorganic investment activities, including acquisitions, strategic minority investments, divestitures, joint ventures, investments in private equity and venture capital, and enterprise-level capital partnerships. He joined Broadridge (then ADP) in 2003 and has since led over three dozen successful M&A transactions, helping to accelerate the execution of Broadridge's strategies and propel Broadridge's growth. Prior to Broadridge, Vince spent a decade in investment banking, primarily with Bear Stearns.