Our Professionals

Joannajfields Fields

Founding Principal
New York, NY 10019 | (o) +1 646 559 4352 | (c) +1 646 226 5926

joanna.fields@aplombstrategies.com

Ms. Fields is the founder of Aplomb Strategies Inc., with over 15 years of experience in implementing equity and derivative regulatory, clearing and market structure change.  At Aplomb she leverages her regulatory and technology background to develop risk management practices for registered entities and vendor third party technology firms.  Her unique focus assists firms design holistic governance structures to help limit the impact of increased reputational, cybersecurity and regulatory risks.

Most recently, Ms. Fields was the Head of Equities and Derivatives Market Structure for Deutsche Bank Securities Inc. (DBSI). Ms. Fields was also the Compliance Registered Options Principal and Derivatives Compliance Advisor for both DBSI and Credit Suisse First Boston (CSFB). In addition, Ms. Fields worked in Market Regulation for both the International Securities Exchange (ISE) and Chicago Board Options Exchange (CBOE).  Ms. Fields began her career in economic litigation consulting with Lexecon Inc.

Currently, Ms. Fields industry affiliations include: Securities Traders Association, LaunchTalks’ Innovative Markets Power Circle (IMPC) for financial technology vendor platforms, and Women in Listed Derivatives. In past years, Ms. Fields served as the Chairman of the Options Trading Committee for the Securities Industry and Financial Markets Association (SIFMA). Ms. Fields has also held board positions with Securities Traders Association of New York, and the Option Clearing Corporation’s (OCC) Option Industry Council (OIC) as well as its separate Technology Board. Ms. Fields historically held committee positions with SIFMA, the Financial Industry Forum, the Futures Industry Association, the Securities Traders Association of Chicago, and the Inter-market Surveillance Group.

Ms. Fields received her BA degree in art history and chemistry from Barnard College, Columbia University, and her MS in Business and Technology from New York University.


KhalidKD Picutre Essafi

Senior Consultant
New York, NY 10019 | (o) +1 646 559 4352 | (c) +1 917 941 9493

khalid@aplombstrategies.com

Khalid Essafi served as Director of Market Surveillance at Nasdaq. In his role, he leads the group in designing, building and testing numerous surveillance patterns for six options exchanges in Nasdaq SMARTS Surveillance Solution. He collaborated with various groups to streamline the integration process of Nasdaq and the International Securities Exchange (“ISE”). He also led the group in providing a risk assessment of the regulatory program and harmonizing certain rules, policies, interpretation and Minor Rule Violation Plan across the six options exchanges.

Most recently, Mr. Essafi was Director of Market Surveillance at the ISE where he was the main regulatory technology liaison, helped build a strong regulatory program for both Options (Equity, ETF, Index and FX) and Equity using comprehensive policies and procedures and a thorough supervisory process, assessed the regulatory program for Futures products, designed an efficient proprietary surveillance system and guided a department of high energy and skilled personnel with a mission to ensure fair and equitable market place. During his 16 years at the ISE, he participated in several projects such as the Consolidated Audit Trail (“CAT”), SEC Regulation System Compliance and Integrity (“Reg SCI”), Limit Up Limit Down, NMS Linkage Plan and Large Option Position Report.

At the ISE, Mr. Essafi participated in numerous working groups at the Intermarket Surveillance Group, worked with the Financial Industry Regulatory Authority (“FINRA”), ISE Internal Audit, SEC staff, National Futures Association (“NFA”) and provided quarterly reports to the ISE Board of Directors – Corporate Governance Committee. He was also a major contributor to various ISE working groups and steering committees.

Mr. Essafi holds an M.B.A in Finance from St. John’s University, NY and a B.S in International Business from in International Business from Ecole Superieure de Gestion, Morocco. He finished the second year of the three-year Executive Development Program for Financial Services Professionals at the Wharton School of the University of Pennsylvania.


Aplomb Arts: Not for Profit

catherine-peilaCatherine Peila

Senior Consultant
Aplomb Strategies Arts
New York, NY 10019 | (o) +1 646 559 4352
kate.peila@aplombstrategies.com

Ms. Peila has over 21 years of experience working with the non-profit institutions and for-profit businesses locally and globally. Ms. Peila most recently served as executive and artistic director of Dance New Amsterdam, a 25,000 square foot dance studio, theater and gallery facility in Lower Manhattan, in charge of its financial and artistic management and growth. Ms. Peila has received accolades for her strategic development of innovative financial plans introducing successful mixed earned revenue/contributed income models alongside comprehensive marketing & PR strategies. Ms. Peila has worked within a creative community to support professional development through creative and entrepreneurial residencies, performance, educational and career path programming. As financial manager and fund-raiser she worked alongside staff, board and community teams to develop and implement award-winning performing arts programs and entrepreneurial practices for individuals and institutions.

Ms. Peila has published and contributed to the National and International Cultural Magazines and Academic papers including: Grantmakers In the Arts (2005), Ballet Dance (2005), Balkunkult (2008), ProScientiaPublica (2011), among numerous newsletters, local/national newspapers and dance magazines.

Ms. Peila is a Board member or Advisor for 3-Legged Dog, Battery Dance Company, Cultural Strategies Initiatives, Dance New Amsterdam, GOH Productions, Lower Manhattan Arts League (founder), Nai-Ni Chen Dance Company, Nora Chipaumire, OhioDance, and Silesian Dance Theater Foundation, among others.