Joanna Fields

Principal
Aplomb Strategies



Ms. Fields is the founder of Aplomb Strategies Inc., with almost 20 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.