This week in new hires, DTCC brought in Bari Jane Wolfe to fill a newly created position and Steve Dorsey came to Advisor Software. Also, Thomas Roberts joined Groom Law Group as part of its fiduciary responsibility group.
DTCC Appoints Bari Jane Wolfe Head of Regulatory Relations
The Depository Trust and Clearing Corp. (DTCC) announced Tuesday that Bari Jane Wolfe has been appointed to the new position of managing director, head of regulatory relations. She will report to Michael C. Bodson, chief operating officer.
In this role, Wolfe will spearhead DTCC’s regulatory relations function, overseeing interactions and ongoing work with regulatory bodies in the U.S. and internationally. She and the regulatory relations team will work in conjunction with DTCC’s government relations group to maintain seamless communication with regulators and lawmakers. She will be responsible for fostering strong and collaborative relationships with regulatory supervisors; managing regulatory exams and supervisory requests for information and data; and overseeing regulatory matters that affect DTCC’s businesses.
Prior to DTCC, Wolfe served as managing director at Barclays Capital, where she managed the group responsible for handling litigation, disputes and significant regulatory matters. She also spent 23 years at Lehman Brothers, where she held a number of key positions in the legal and compliance groups, including most recently serving as managing director, regulation. She began her career as a litigation associate at Storch, Amini & Munves, P.C.
Advisor Software Appoints Thomson Reuters’ Steve Dorsey as VP of Sales
Advisor Software Inc. (ASI) announced Tuesday that it has appointed Steve Dorsey as vice president of sales. In his new role, Dorsey will spearhead efforts to expand ASI’s enterprise sales and the retail advisor and broker/dealer channels. He will also oversee the growth of their sales team to promote and expand the use of ASI’s products and solutions.
A 22-year veteran of the financial services industry, Dorsey previously served as West Coast strategic account manager for Thomson Reuters’ retail wealth management sales. Prior to that, he was vice president and national sales director at Emmett A. Larkin Company, where he managed the correspondent clearing and financial advisor sales division. Dorsey also spent 15 years as a financial advisor at several regional broker dealers.
Groom Law Group Welcomes Thomas Roberts to Firm
Groom Law Group, a Washington, D.C.-based law firm that focuses exclusively on employee benefits issues, announced Tuesday that Thomas Roberts will join the firm’s fiduciary responsibility group.
Prior to joining Groom Law Group, Roberts spent over a decade at ING Americas U.S. Financial Services as chief counsel of ING U.S. Legal. In that capacity, he supervised a team of attorneys providing legal support to ING’s retirement services. Roberts has an extensive background in retirement services and the insurance industry. His expertise focuses on ERISA fiduciary, tax, securities and state insurance laws affecting defined contribution plan product and service offerings. He also worked with ING’s trust and IRA businesses.
Groom’s fiduciary responsibility group has helped shape virtually every major legislative and regulatory initiative related to the Employee Retirement Income Security Act’s (ERISA) fiduciary responsibility provisions. Its attorneys provide state-of-the-art advice and advocacy for Fortune 500 plan sponsors and every type of service provider, including insurance companies, broker-dealers, banks, mutual fund companies and recordkeepers.