Joanna Fields

Joanna Fields has more than two decades of regulatory and market structure experience spanning equity securities, listed options, OTC derivatives, fixed income futures, repurchase agreements, commodities, and cleared and bespoke swap products in both the U.S. and non-U.S. jurisdictions. Her work across all asset classes globally and a technology background give her a unique blend of technical and practical enterprise risk management expertise.

Ms. Fields was previously the Head of Equities Market Structure and Strategic Investments for the Americas and Global Derivative Market Structure for Deutsche Bank Securities Inc. (DBSI) and was the Compliance Registered Options Principal and Derivatives Compliance Advisor for both DBSI and Credit Suisse First Boston. In addition, she worked in Market Regulation for both the International Securities Exchange and the Chicago Board Options.

Ms. Fields has managed regulatory technology development projects for multiple registered entities and financial technology providers to develop holistic enterprise risk management technology and governance solutions.

She has expertise in a range of compliance requirements and equities and derivative market structure, including:

  • Anti Money Laundering/Know Your Customer and surveillance monitoring capability requirements

  • Securities and Exchange Commission (SEC) 15c3-5 requirements and related annual CEO/CCO certifications

  • SEC Regulation Systems Compliance and Integrity (Reg SCI) requirements

  • SEC net capital and protection rule

  • SEC and Financial Industry Regulatory Authority (FINRA) regulatory reporting developments related to Electronic Blue Sheets, Order Audit Trail (OATS), Trade Reporting and Compliance Engine (TRACE), Large Option Position Reporting (LOPR), and Consolidated Audit Trail (CAT)

  • Commodity Futures Trading Commission (CFTC) Dodd-Frank reporting

  • Canadian Market Analysis Platform Initiative reporting

  • Markets in Financial Instruments Directive II (MiFID II) regulatory reporting

  • Cybersecurity system access and regulatory breach identification and notification processes

  • Options Price Reporting Authority (OPRA) and Securities Information Processor (SIP) market data feeds

  • Best Execution and Transaction Cost Analysis

She also applies her strong background in equities and derivative market structure to advise private funds on strategic investments.

Ms. Fields is currently a Board member of the Securities Traders Association of New York. Recent industry affiliations include: Chairman of the Securities Industry and Financial Markets Listed Options Committee (she remains a contributing member of the committee); member of the Securities Traders Association and Options Clearing Corporations Option Industry and Technology Councils; and member of the NYSE, NASDAQ and MIAX market structure industry advisory groups.

Ms. Fields received her B.A. from Barnard, Columbia University, and her M.S. in Business and Technology from New York University.

➤ Articles By Joanna Fields