Investing In Integrity Scholars of Finance

In this episode of Investing In Integrity, Ross Overline speaks with Helene Glotzer, Head of Risk at Bridgewater Associates. Helene has spent nearly two decades at Bridgewater, one of the top hedge funds globally. In 2018, Helene was named among the 50 Leading Women in Hedge Funds by the Hedge Fund Journal.



Prior to her role at Bridgewater, Helene spent ten years as an attorney in the Enforcement Division of the US Securities and Exchange Commission. From 2004 to 2007, she co-headed the enforcement program for the SEC’s New York Regional Office, where she supervised investigations and litigation involving allegations of insider trading, market manipulation, and other types of fraud and misconduct.



Together, Ross and Helene discuss the unique culture at Bridgewater, which focuses on transparency, radical openness, and integrity. They explore what principles lead to high-performance teamwork and the key leadership values Helene has garnered over the years. She also emphasizes the importance of personal growth, transparency and candor.

In this episode of Investing In Integrity, Ross Overline speaks with Mike Mayo, Managing Director and head of U.S. large-cap bank research at Wells Fargo Securities. He has spent 30 years as a bank analyst and is the author of “Exile on Wall Street: One Analyst’s Fight to Save the Big Banks From Themselves.”



Mike's influence extends beyond traditional research roles, as he was one of the few analysts who foresaw the 2008 global financial crisis and subsequently testified on its causes to the Financial Crisis Inquiry Commission in 2010. His contributions to the field have earned him widespread recognition, including accolades such as the Daniel J. Forrestal III Leadership Award for Professional Ethics and Standards of Investment Practice from the CFA Institute.



Mike shares his background and journey into the finance industry, highlighting the challenges he has faced and the importance of staying true to his values. He emphasizes the importance of isolation, initiative, and impact in his work. Together, Ross and Mike discuss the isolation felt by finance professionals and students and how to overcome it, accountability in the financial industry, and leadership in finance. 

In this episode of Investing In Integrity, Ross Overline revisits our all-time favorite episode with Richard Davis, the former Chairman and CEO at US Bank. Richard sits on several boards including Wells Fargo, MasterCard, Dow Chemical Mayo Clinic, and the Advisory Board of Scholars of Finance. A giant figure in the banking industry, Richard is renowned for his financial know-how and excellent leadership.

Richard has now retired from the financial industry having left a lasting legacy, he steered US Bank through the financial crisis of 2008, winning the coveted award “Banker of the year”, selected by American Banker and was the chosen "2010 Executive of the Year" by the Twin Cities Business Journal.

In this episode, Richard shares his rise from bank teller to CEO of one of the biggest banks in America. He touches on leading the U.S. Bank through the Great Recession and his support of employees and customers through social unrest in the 2010s.

His insightful, pointed commentary on why “we shouldn’t set goals, but directions,” or why we should always be the person to “take the next hardest assignment, not promotion,” is relevant to students and professionals alike. Considered a co-founder, Richard was one of the first supporters of Scholars of Finance. 

In this episode of Investing In Integrity, Ross Overline speaks with Diana Pagliarini, the Executive Vice President and General Auditor at State Street Corporation. Diana has 32 years of experience in the banking industry and 14 years in board-visible roles. Her leadership and ability to execute strategic plans leads to improved processes, functions, and departments while influencing policy changes and risk practices at an enterprise level.

Diana’s role at State Street involves managing and developing the company-wide corporate audit plan, ensuring risk is appropriately governed. To maintain independence, a critical component of the General Auditor Role, she has a direct reporting line to the Board of Directors Examining and Audit Committee. 

State Street is a global leader across investment servicing, markets and financing, and investment management.

Risk and auditing is about managing risks, maintaining transparency, identifying vulnerabilities, and driving compliance. With risks, there are layers of security that only authorized people should have access to. The higher the risk the more security features and layers of security are built into the architecture of the vault access. Auditors have to look at everything from people to processes and technology to know the risk. If it is a risk for State Street, it’s something Diana and her team are auditing.

In her role, Diana also values the importance of character and integrity in leadership and emphasizes self-awareness and self-care, as well as owning your mistakes and showing up, especially during difficult times. Integrity and credibility are significant currencies in leadership. Demonstrating this during challenging times can lead to further opportunities. Also, being willing to ask “What do you need?” and “How can I help?” is a great way to show leadership and build a rapport with your seniors. 

In this episode of Investing In Integrity, Ross Overline speaks with Winter Mead, the founder and CEO of investment firm Coolwater Capital, focusing on emerging managers and technology investments. 

Winter has previously helped build and invest an evergreen fund at SAP, a publicly listed enterprise software company, where he co-founded the LP transparency movement called #OpenLP. Winter also worked as a private equity and venture capital investor at a large multi-family office in San Francisco. He is also the author of How To Raise A Venture Capital Fund.

Winter’s prowess goes beyond finance as he founded and operates the Coolwater Academy, which trains, builds, and scales emerging managers. Winter and Coolwater have positively impacted over 240 emerging managers over the last four years.

A common struggle for emerging managers in today's market is fundraising, but seeking out capital is just one of the many challenges they face. Winter and Coolwater prioritize a holistic approach when it comes to the Coolwater Academy. They help emerging managers with operations, transparency, and building strong foundations for long-term success. 

Coolwater supports the growth and commercialization of early next-generation technologies and innovation. They aim to be a legacy platform that supports the launch of emerging investors and helps them succeed in the industry. By doing so, they contribute to the development of technology, innovation, and the mitigation of early risks in the venture capital and growth investing ecosystem. Coolwater has helped launch over 200 funds, and in turn, they've invested into over 5,000 companies.

In this episode of Investing In Integrity, our CEO, Ross Overline has a conversation with Katie Lawler, the EVP and Global Chief Ethics Officer at US Bank. Having started her career as a labor and employment attorney, Katie has spent close to twenty-two years with US Bank, working in legal, human resources, and ethics roles.

Katie's role at US Bank involves balancing culture and compliance. She focuses on building systems, structures, and processes to ensure every employee acts with high integrity. Unlike a typical Chief Ethics and Compliance Officer, her role is distinct from regulatory compliance.

Financial services are fundamentally based on trust, requiring high levels of integrity. Recognizing the broader impact of financial services on various aspects of the economy highlights the importance of ethical practices in this industry.