Edora is an 18-year compliance executive and thought leader with a specialty in helping financial services firms to manage internal controls and regulatory compliance matters. During her career with Fidelity Investments, she led a team to create new risk assessments and testing program resulting in an active program that supports risk assessment testing across multiple internal operational programs.
She has conducted risks and controls assessment engagements that ensured quality and accuracy of services provided by compliance to business partners and managed risks that could adversely affect the firm’s reputation. She has performed risk and control assessments on topics that are part of the SEC’s Rule 38a-1 of the Investment Company Act, Fidelity Personal Trust Company, Fidelity Management Trust Company, and Fidelity Shared Services. These internal assessments captured operations, banking, procurement as she helped the firm to mitigate potential material financial losses on topics such as Hardship Distributions, Proxy Solicitation, and Retirement Plan Annuity.
In her most recent role as Compliance Director, she led project initiatives supporting regulatory, operational, and reputational risk across the firm for industry topics such as Anti-Money Laundering (AML) and General Data Protection Regulation (GDPR). Related to the General Data Protection Regulation (GDPR), she developed and managed project plan to support the Chief Privacy Officer with the implementation of the European Union’s regulation across multiple countries. In addition, she managed an end to end User Acceptance Testing Strategy for eCommunications technology application in support of the firm’s regulatory obligation to monitor specific employee’s electronic communication.
Edora is passionate about serving people and communities. She has served as the professional development lead for an Employee Resource Group as well as mentoring associates to offer guidance in reaching personal and professional goals. Edora is the founder of Cups, Jars, and Vessels, a non-profit organization focused on financial literacy. Through the organization, Edora and her team helps individuals increase knowledge with planning and budgeting finances.
Edora received her undergraduate in Leadership Development from the University of Wisconsin, Oshkosh and Master of Business Administration from Texas Woman’s University.
Roy Feliciano has nearly a decade working in the financial services industry. He has worked for some of the largest companies in the industry, including Charles Schwab and Fidelity Investments. Along with his tenure in finance, he has been a facilitator of financial literacy courses since 2015. He received his undergraduate degree from Drexel University in Philadelphia, and his MBA from TCU in Fort Worth. As a first generation born American, Roy came from modest beginnings from a loving family. Having put himself through school through hard work, internships, and loans, he knows first hand how financial expediency can be both a tough hole to dig yourself out of and an opportunity to thrive in an ever evolving world. He has a passion to help those in similar circumstances see the light at the end of the tunnel. As importantly, he enjoys speaking to folks early in their career about setting themselves up to mitigate financial hardships. Whenever possible, he and his fiancé enjoy trying new interesting cuisine. If you have any suggestions, be sure to pass them along!
Stephen Maxwell is a financial professional with over 25 years of experience working at high-profile companies in the Dallas area. Steve grew up in Grand Prairie and moved to California shortly after high school. He graduated from California State University, Long Beach and promptly moved back to Texas to work at the public accounting firm PriceWaterhouseCoopers (PWC) in Dallas. He held accounting leadership roles at Greyhound Lines and La Madeleine French Bakery. He spent 19 years managing several accounting and internal control functions for the large pharmaceutical distributor McKesson Corporation.
Steve lives in Lucas (central Collin County) with his wife and two teenagers. He enjoys basketball, yardwork and road-trip vacations.