SIFMA: Securities Industry Institute

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Program Experience

Highlights and Key Outcomes

In the Securities Industry Institute^®, you will:

Examine current thinking in the areas of leadership, ethics, strategy, technology, finance, management, marketing, regulations, and professional development
Familiarize yourself with the challenges facing the securities industry
Gain practical information, ideas, and answers directly applicable to your present and future responsibilities
Broaden your perspective and strengthen your management skills

Experience & Impact

In today’s global economy, the hardest challenge facing executives is creating a competitive advantage — and maintaining it. SII gives financial services leaders the opportunity to enhance their industry and investment knowledge while also building their professional skills as leaders. The program is designed to help you evaluate your current strategy and provide you with the tools to create and implement new strategies.

Wharton faculty — led by Professor Jeremy Siegel, a world-renowned expert on the economy and financial markets — apply their field-based research and the latest strategic insights to help you broaden your perspective on how to make your organization more competitive.

The core courses and electives are offered in Industry Knowledge, Innovation & Strategy, and Leadership & Professional Development, providing securities executives with the investment and professional development they need to add strategic value to their organizations, while building a world-class network of peers.

Session topics include:

Artificial Intelligence
Central Banking in a Global Context
Critical Thinking
Cyber Security
Disrupt by Design
Ethics: The Role of Firm Culture in Ethical Decision Making
Emerging Markets
Emerging Regulatory Issues
Fundamentals of Market Returns
Gamification
Individual Thinking Styles: How They Influence Others
Leading High-Performing Teams
Negotiation
Mock Securities Arbitration
Strategic Leadership

Due to our application review period, applications submitted after 12:00 p.m. ET on Friday for programs beginning the following Monday may not be processed in time to grant admission. Applicants will be contacted by a member of our Client Relations Team to discuss options for future programs and dates.

Who Should Attend

SII is designed for professionals in all areas of the financial services industry, including members of the exchanges and regulatory agencies.

Participants in this program are a diverse group of strategy leaders from varied industries, backgrounds, and geographies who share their biggest challenges with the class. Faculty tailor the program content to address these issues, so participants enjoy a learning experience that truly resonates with them and meets their learning needs.

Participants leave the program with an expanded peer network, plus specific tools and frameworks they can use to make a meaningful strategic impact within their companies or organizations.

Fluency in English, written and spoken, is required for participation in Wharton Executive Education programs unless otherwise indicated.

Plan Your Stay

SII participants are given the option to book their accommodations through SIFMA at the time of registration. SIFMA has negotiated room blocks at several hotels adjacent to the Wharton campus. Please note that hotel accommodations are not included in the tuition rate.

Faculty

Jeremy Siegel, PhDSee Faculty Bio

Academic Director

Russell E. Palmer Professor of Finance, The Wharton School

Research Interests: Demographics, financial markets, long-run asset returns, macroeconomics

Chris Maxwell, PhDSee Faculty Bio

Senior Fellow, Center for Leadership and Change Management, The Wharton School

Testimonials

Our belief is that this is the best single forum for leaders to immerse themselves in a high level learning environment about our industry.”

Kent Christian President, Wells Fargo Advisors Financial Network

I am a graduate of the Securities Industry Institute® from the mid-90’s. There are people that I met when I attended the Securities Industry Institute® who later became very instrumental in my involvement in other activities.”

Chet Helck Former President and Chief Operating Officer, Raymond James Financial

SII incorporates decision-making and leadership skills and give you the ability to distill information into actionable ideas.”

Erica Snyder President and CEO, Hunter Associates and Former SII Vice Chair

You bring this great stew of people together and watch them interact and engage and everyone learns in that kind of environment...You make incredible friendships over the years and not just networking and business relationships, but great friendships.”

Joseph Sullivan CEO of Wells Fargo Asset Management, Former President and CEO, Legg Mason and Former SII Chair

I was a graduate of the Securities Industry Institute®...and that three-year program changed my life. It gave me a sense of excitement and it broadened my horizons about what the industry was all about.”

John Taft Vice Chairman, Baird

I began the program in 2010 when I was Allied Securities’ chief strategy officer and continued the program after joining BrightScope. My role in both companies involves understanding the major trends shaping the industry, and working with the wealth management firms to see how these trends impact their business. SII has enabled me to improve our business model and innovate new products and services by helping me understand the macro trends and impact on the finance industry’s value chain.

The relationships I developed with like-minded leaders have broadened my network. One course I took twice was on executive influencing. You do things to influence others instinctively but a program like this allows you to put those concepts into a framework and a discipline. Influencing skills are important when you are driving innovation and change. I absolutely will apply what I learned at Wharton in my workplace.”

Sonia Ahuja Head, Business Development and Strategy, BrightScope, a privately held business intelligence firm in San Diego

Securities Industry Institute^®

Program Overview

Date, Location, & Fees