Our Professionals -

Joanna Fields

Founding Principal

Ms. Fields is the founder of Aplomb Strategies Inc., with almost 30 years of global regulatory and market structure experience spanning financial, telecommunications and utilities markets. At Aplomb she leverages her regulatory and technology background to develop enterprise risk management frameworks 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. Her technology background giver her a unique blend of technical and practical expertise to deploy emerging technology solutions.

Ms. Fields was previously 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.

Ms. Fields has expertise in a range of compliance requirements in equities and derivative market structure, including: AML, KYC, communication, insider dealing and market abuse surveillance parameter setting, coverage completeness, scenario development, and disposition requirements; Securities and Exchange Commission (SEC) 15c3-5 requirements and related annual CEO/CCO certifications; SEC Regulation Systems Compliance and Integrity requirements; SEC net capital protection, segregation, portfolio margining, liquidity risk management, and reporting requirements; SEC and Financial Industry Regulatory Authority regulatory reporting developments related to Electronic Blue Sheets, Order Audit Trail System, Trade Reporting and Compliance Engine, Large Option Position Reporting, Alternative Trading Systems, and Consolidated Audit Trail; Commodity Futures Trading Commission Dodd-Frank Act reporting; Canadian Market Analysis Platform Initiative reporting; Markets in Financial Instruments Directive II regulatory reporting; cybersecurity system access and regulatory breach identification and notification governance processes; Options Price Reporting Authority and Securities Information Processor market data feeds; books and records ingestion, maintenance, and preservation governance; market integrity reviews for Regulation SHO, order routing disclosure, fair and mid-market pricing requirements; and best execution and transaction cost analysis.

Ms. Fields also has deep expertise in DePIN and crypto strategy, bridging real world assets into the blockchain, designing decentralized token economies, and building sustainable infrastructure. She has also developed enterprise risk management governance, operational protocols, and surveillance programs for DATs.

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, the Option Clearing Corporation’s (OCC) Option Industry Council (OIC) as well as its separate Technology Board, and the Evanston Children’s Choir. Ms. Fields industry affiliations included: LaunchTalks’ Innovative Markets Power Circle (IMPC) for financial technology vendor platforms, and Women in Listed Derivatives. 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.