The document discusses the Diversity Project North America, an initiative aimed at promoting diversity and inclusion within the asset management industry through collaboration among industry leaders. It outlines the mission, structure, and benefits of the project, highlighting the importance of educating and attracting a diverse talent pool. Key figures involved in the initiative include Connie Lindsey, Dan Houlihan, and Jim Fitzpatrick, who play significant roles in leadership and strategy implementation.

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ENGAGING AND EMPOWERING
A DIVERSE WORKFORCE
Connie Lindsey
Executive Vice President,
Head of Corporate Social
Responsibility and Global
Diversity & Inclusion,
Northern Trust
Dan Houlihan
Executive Vice President,
Head of Asset Servicing for
North American,
Northern Trust
Jim Fitzpatrick
President & CEO,
NICSA

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Changing the perception and
makeup of financial industry talent
starts with educating, promoting
and providing access to career
opportunities.

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Inspire
Create
Innovate

4. A defined strategy and
philosophy for recruiting a more
diverse and inclusive
workforce.

5. Diversity Project North America:
A NICSA Initiative
In collaboration with Diversity Project U.K. Branch

6. Diversity Project North America
Sponsored by NICSA
OUR MISSION
• To promote a diverse and inclusive asset management industry with the right
talent to deliver the best possible results for our clients, reflect the society we
serve, and ensure long-term business sustainability.
• To achieve diversity across all dimensions through collaborative leadership from
executive business leaders by pooling resources from industry participants around
challenges we all face.
• To span the entire range of the profession: asset managers, fund complexes, asset
servicers, broker dealers, asset owners and professional service firms that support
the industry.
• To share best practices, identify gaps in our industry and initiate action to help
solve or improve those inadequacies.
• To deepen the understanding and perception of what the asset management
industry entails and the varied roles within it, to encourage a broader range of new
candidates.

7. Diversity Project North America
24 FOUNDING MEMBERS

8. Diversity Project North America
Sponsored by NICSA
OUR PLAN
• Form a CEO Advisory Council which will responsible for providing strategic
leadership and will work directly with an Executive Steering Committee. The
Advisory Council will comprise CEOs or C-suite representatives from each of
the founding member firms.
• Form an Executive Steering Committee who will lead the implementation of
the strategy and key deliverables. The Steering Committee will be comprised
of executives from each of the founding member firms.
• Support the management of Committees to focus on different dimensions of
diversity and inclusion by developing programs and initiatives consistent with
the overall goals of the Diversity Project. Committees will comprise
employees from the member firms and additional volunteers or ambassadors
from all levels of the industry.

9. Diversity Project North America
Sponsored by NICSA
MEMBERSHIP BENEFITS
• Designation as Member Firm
• Small logo promotion on website and all marketing material
• Unlimited number of ambassadors / volunteers on Committees

10. Diversity Project North America
Sponsored by NICSA
CONTACT INFO
Jim Fitzpatrick
President, NICSA
jfitzpatrick@nicsa.org
NICSA: info@nicsa.org

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MODERATOR
Connie L. Lindsey is Executive Vice President and Head of Corporate Social Responsibility and Global
Diversity & Inclusion at Northern Trust, Chicago. She is responsible for the design and implementation of
the global Corporate Social Responsibility and Global Diversity and Inclusion strategy for Northern Trust
and the development of goals, policies, and programs appropriate to the brand and business unit
strategies. In addition, Ms. Lindsey provides oversight and leadership to the firm’s response to
environmental matters as well as social issues, within the marketplace, workplace, and the community.
Prior to becoming the Head of CSR, Ms. Lindsey led the client servicing teams in the Public Entities and
Institutions segment in the Corporate & Institutional Services business, serving public fund and not-for-
profit clients. Over the course of her Northern Trust career, she has held a number of leadership roles,
including Deputy Business Head in Operations and Technology, Group Head in Northern Trust’s Wealth
Management business, Director of Enterprise Relationship Management, and Manager in Treasury
Management Consulting and Product Management and holds the Certified Treasury Professional
designation.
Ms. Lindsey is the immediate Past National Board President of Girl Scouts of the USA. She joined the Girl
Scouts board in 2005 and was elected National Board President, the highest-ranking volunteer of this 2.7
million-member organization, in 2008 for a three-year term. She was re-elected to the role of National
Board President at the 2011 convention for another three-year term. In this role she provided guidance in
three vital areas—policy, fund-raising, and leadership. She was an integral part of the Girl Scout
transformation, committed to building and sustaining membership growth and ensuring girls receive a
premier leadership development experience.
Ms. Lindsey is a member of the Economic Club of Chicago, Executive Leadership Council, and Vision
2020’s Leadership Circle. She also serves on the Executives' Club of Chicago; Friends of Prentice Board
at Northwestern Memorial Hospital (Vice President, Philanthropy Co-Chair); Leadership Greater Chicago
(Board President, Fellow); McCormick Theological Seminary (Trustee); Metropolitan Club; Obama
Foundation Inclusion Council (Co-Chair); YMCA of Metropolitan Chicago..
Connie Lindsey
Executive Vice President, Head of
Corporate Social Responsibility
and Global Diversity & Inclusion,
Northern Trust

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PANELIST
Dan Houlihan is Executive Vice President and Head of Northern Trust Asset Servicing - Americas, a
leading provider of custody, banking, fund administration, investor servicing and outsourced solutions
across the front, middle and back office to both institutional asset owners and fund managers throughout
the region. The broad client range includes fund management firms, large corporations, insurance
companies, public funds and not-for-profit entities, including endowments, foundations and healthcare
companies.
Dan joined Northern Trust in 2008 as the Global Head of Product and Strategy for the Investment
Operations Outsourcing business. He then spent eight years as Head of Global Fund Services in North
America, responsible for servicing the region’s fund manager clients.
Prior to joining Northern Trust, Dan spent 19 years in numerous leadership positions for investment
management, technology, and services companies. Among these, he was President of Citisoft, Inc.
where he was responsible for executing their North American strategy.
Dan currently serves as Chairman of the Board for the National Investment Company Service Association
(NICSA) and as a Director on the Advisors Investment Trust..
Dan Houlihan
Executive Vice President, Head of
Asset Servicing for North
American,
Northern Trust

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PANELIST
In the role of President Jim works closely with the NICSA Board of Directors to set the strategic direction
of the association. Working with staff, the President executes the goals and objectives of the organization
and manages the overall day-to-day operation of the association’s business including relationship
management, member recruitment, content creation, conference management, as well as the
development of new products and services to serve NICSA’s members.
Jim brings over 30 years of experience to this position and is a former NICSA board member. Previously,
Jim was a Managing Director at Goldman Sachs Asset Management with responsibilities that included
senior leadership responsibilities in both global operations and global sales roles during his career. In
addition, he served as an officer of the Goldman Sachs Funds for fourteen years and served as an
Independent Trustee for the Hays Series Trust. Jim began his career with The Boston Company and later
First Data Investor Services Group, a subsidiary of First Data Corporation, where he held several senior
management positions during his tenure.
Jim Fitzpatrick
President & CEO
NICSA

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DISCLOSURES
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