We’re using cookies, but you can turn them off in Privacy Settings. Otherwise, you are agreeing to our use of cookies. Learn more in our Privacy Policy.

Risk Committee

Risk Committee Charter

View Charter (PDF)

The purpose of the Risk Committee (the “Committee”) is to assist the Board of Governors (the “Board”) in the fulfilment of its functions with respect to CFA Institute’s risk management by evaluating and providing oversight of the monitoring of CFA Institute’s risks.

Contact the Risk Committee
trothschild

Tricia Rothschild CFA

Chair

Member of CFA Society Chicago

Ms. Rothschild is an advisor to The TIFIN Group and a board member of the Financial Fitness Group. In her former role as president of Apex, she was responsible for the strategic planning, development, and overall growth of the company. She also directly oversaw internal and client-facing functions including sales, marketing, and product management.

Before joining Apex, Ms. Rothschild was Chief Product Officer and Co-Head of Global Markets at Morningstar, where she led a multi-million-dollar global portfolio of businesses including software, data, research and index solutions that served asset managers, wealth managers, and individual investors. In her 26-year career at the firm, she developed a focused advisor and wealth management segment strategy, launched the firm’s equity research business, drove content strategy for the firm’s individual investor website, and served as a securities analyst and editor.

Ms. Rothschild graduated with a bachelor of science degree from Northwestern University and holds a master’s degree in Russian and East European economics from Indiana University. She also sits on a small portfolio of private-company boards in the fintech and wealth-tech space.

Before joining Apex, Tricia was chief product officer and co-head of global markets at Morningstar, where she led a multi-million-dollar global portfolio of businesses including software, data, research and index solutions that served asset managers, wealth managers, and individual investors. In her 26-year career at the firm, she developed a focused advisor and wealth management segment strategy, launched the firm’s equity research business, drove content strategy for the firm’s individual investor website, and served as a securities analyst and editor.

Tricia graduated with a bachelor of science degree from Northwestern University and holds a master’s degree in Russian and East European economics from Indiana University. She also sits on a small portfolio of private-company boards in the fintech and wealth-tech space.

Diane Nordin

Diane C. Nordin CFA

Director, Federal National Mortgage Association

Member of CFA Society Boston

Diane C. Nordin, CFA, is a director at Fannie Mae and Antares Capital and a former partner at Wellington Management Company. At Wellington, she held several roles—including director of fixed income, director of global relationships management, and director of fixed-income management—and served on numerous committees. Previously, Nordin worked at Fidelity Investments and Putnam Advisory Company. She is a trustee of Wheaton College and a board member of Massachusetts College of Art and Design Foundation and the Appalachian Mountain Club. Nordin is a member of the CFA Society Boston and a graduate of Wheaton College.

Marshal Bailey

Marshall Bailey CFA

Professional Non-Executive Director on the boards of London Stock Exchange Group (LSEG), LCH Group (Chairman), UK Financial Services Compensation Scheme (Chairman), CIBC World Markets PLC (Chairman), and Representative of the Saudi Public Investment Fund on the Board of National Commercial Bank

Member of CFA Society United Kingdom

Marshall has substantial experience of leading complex international committees and boards. His background spans a range of sectors, including banking and capital markets, insurance, and government regulation. He has a career in finance spanning over 30 years on three continents, and remains active at Group Board level. In June 2018 he was made an Officer of the Most Excellent Order of the British Empire (OBE) for his contribution to financial services, and to charity.

Marshall Bailey is Chairman of MUFG Securities EMEA and he is also Chair of the Financial Services Compensation Scheme, as appointed by the FCA and Bank of England. He is also the non-executive Chairman of CIBC World Markets Plc in London. Finally, he is a Representative of the Saudi Arabian Public Investment Fund on the board of the largest bank in the Kingdom, National Commercial Bank, Jeddah, where he Chairs the Group Risk Committee. In combination, this gives him substantial investment banking and regulatory leadership experience at an international level.

Recently he has stepped down as Chairman of LCH Group Holdings, the world’s largest derivatives central clearing house, and sits on the Board of its parent, the London Stock Exchange Group. On these boards he has Chaired or been a member of the Nominations Committee, Remuneration Committee. Additionally, he is a non-executive Director and Chair of the Risk Committee of Chubb European Group Insurance Ltd. He has been an Independent Director on the board of UK Financial Investments Ltd (UKFI), the government body overseeing the UK government's ownership of banking assets after the 2008 financial crisis.

Marshall holds a BA in Political Science from the University of Winnipeg, a Master of Arts in International Affairs and History from the Graduate Institute of International and Development Studies in Geneva, Switzerland and is a Chartered Financial Analyst. He has also completed the FT Non-Executive Directors' Diploma. In his spare time, Marshall sails and is a qualified Ocean Yachtmaster with the Royal Yachting Association. He also buys himself a new putter each year in his endless pursuit of lower golf scores.