Design Thinking Workshop Friday, October 6 11:00 a.m. 12:00 p.m.
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1 Design Thinking Workshop Friday, October 6 11:00 a.m. 12:00 p.m. Christine Wheatley, Design Strategist at Fidelity Labs, leads this dynamic session on using design thinking principles to create more effective disclosures in communications with the public. Moderator: Christine Wheatley Principal Design Strategist Fidelity Investments LLC Panelists: Alexander Gavis Senior Vice President and Deputy General Counsel, FMR Legal Department Fidelity Investments LLC Thomas Pappas Vice President FINRA Advertising Regulation I. Introduction II. III. IV. Overview of Design Thinking A. What is Human Centered Design B. What is Empathy Research C. What is Rapid Prototyping and Testing Design Thinking Exercises A. Developing User Empathy and Seeking Opportunities B. Designing a Prototype C. Testing for Actionable Feedback Debrief A. Applying Design Thinking to Your Work B. New Areas to Explore C. Resources 2017 Financial Industry Regulatory Authority, Inc. All rights reserved. 1
2 Design Thinking Workshop Panelist Bios: Moderator: Christine Wheatley is a principal design strategist at Fidelity Labs where she has applied humancentered design to everything from financial wellness to digital currency. In her role, Ms. Wheatley helps her colleagues bring a customer lens to their work and translate people s needs into design solutions. Prior to joining Fidelity Labs, Ms. Wheatley was focused on solving problems in the non-profit sector at both The Clinton Foundation and UNICEF. Ms. Wheatley is a graduate of the MBA program at the Rotman School of Management where she served as Director of the Rotman Design Challenge. Panelists: Alexander C. Gavis is Senior Vice President & Deputy General Counsel in the Corporate Legal Department of FMR LLC, the parent company of Fidelity Investments, one of the largest brokerage and mutual fund companies in the United States and the leading provider of workplace retirement savings plans. He manages a team of attorneys and professionals responsible for providing legal services to the firm's retail brokerage, stock plan and workplace retirement businesses. He also oversees and manages legal services for Fidelity's businesses involved in electronic and mobile commerce, start-up innovation, and social media. Mr. Gavis provides legal advice on all of Fidelity s national advertising and marketing initiatives. Prior to joining Fidelity in 1997, Mr. Gavis served as Assistant Counsel at the Investment Company Institute and as Senior Counsel in the Office of General Counsel at the U.S. Securities and Exchange Commission, both in Washington, DC. He also served as a judicial law clerk for The Honorable William T. Allen, Chancellor of the Court of Chancery for the State of Delaware. He has worked in investment banking in New York at Salomon Brothers Inc, handling mergers and acquisitions. Mr. Gavis received his J.D., cum laude, from the University of Pennsylvania Law School, where he served as Editor-in-Chief of the University of Pennsylvania Law Review, and his bachelor s degree, with High Honors and Phi Beta Kappa, from Swarthmore College. As an adjunct professor at Suffolk University Law School, he teaches the class Designing Thinking for Lawyers and Business Professionals and has taught at the Stanford University Design and Law Schools and at Harvard Law School. Mr. Gavis currently serves as chair of FINRA s Public Communications Committee and past member of the Social Media Task Force (chair) and E-Brokerage (chair) and Membership Committees. Thomas A. Pappas is Vice President of the FINRA Advertising Regulation Department, which regulates the advertisements, sales literature and correspondence used by FINRA member firms. His responsibilities include rule development, management of the filing and surveillance programs and related enforcement activities. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. He was previously registered with Davenport & Company LLC. He received a bachelor s degree from The University of Richmond and an MBA from Virginia Commonwealth University Financial Industry Regulatory Authority, Inc. All rights reserved. 2
3 2017 Advertising Regulation Conference October 5 6, 2017 Washington, DC Design Thinking Workshop
4 Panelists Moderator Christine Wheatley, Principal Design Strategist, Fidelity Investments LLC Panelists Alexander Gavis, Senior Vice President and Deputy General Counsel, FMR Legal Department, Fidelity Investments LLC Thomas Pappas, Vice President, FINRA Advertising Regulation FINRA Advertising Regulation Conference 2017 FINRA. All rights reserved. 1
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6 89% OF COMPANIES BELIEVE CUSTOMER EXPERIENCE WILL BE THEIR PRIMARY BASIS OF COMPETITION IN (in 2011 that number was 36%)
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8 IF WE LOOK DEEPLY INTO MOST PROBLEMS, WE WILL FIND PEOPLE. BUT IF WE LOOK DEEPLY INTO PEOPLE, WE WILL FIND OUR SOLUTIONS. DAN ROAM
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