Speakers

Johanna Anders

Managing Director, Head of Global Marketing & Communications Compliance

  • Company:TIAA
  • Short Bio:Johanna Anders is a Managing Director and Head of Global Marketing and Communications Compliance as part of TIAA Enterprise Risk & Compliance with over 25 years of experience within the financial services industry spanning across asset management as well as banking and insurance (life and property & casualty).  Her cohesive one-team approach for global support as a shared service includes providing advice to new marketing and communications initiatives from a compliance perspective, including emerging areas of communication and technology efforts such as social media and mobile applications, and guidance regarding the applicability of rules, regulatory and jurisdictional requirements, internal review standards and disclosure guidelines as well as other risk-related issues through their support of the review of marketing materials. ​​​​​​​ During her tenure at the firm, Ms. Anders has led key strategic initiatives in addition to helping further build various core Compliance functions, including developing artificial intelligence and overseeing the firm-wide Records Management program, eDiscovery and production, Electronic Communications, Retention and Monitoring, Ethics and Privacy Offices, U.S. Distribution (including Canada), Broker/Dealer Compliance and other cross-functional support such as new product initiatives, sales and distribution, business continuity planning, and ongoing tracking and analysis of regulatory developments. Ms. Anders also chaired the Nuveen Disclosure Oversight Team (NDOT) which helped to ensure that the offering documents, promotional literature and other materials used in connection with Nuveen’s investment products and services contain appropriate disclosure reflecting the evolving policies, practices, market conditions and other factors affecting such products and services. Prior to joining Nuveen, Ms. Anders was a Managing Director at Charles Schwab and has held various senior compliance positions at Ameriprise Financial, USAA and Morgan Stanley/Van Kampen which included the development of strategy for in-house and field sales force Advertising and Marketing Review, Sales Practices, Regulatory Programs, and Compliance Training and co-heading the Marketing and Hedge Fund Practices at Berger Legal. Ms. Anders is a member of the National Society of Compliance Professionals (NSCP) and the Investment Company Institute’s (ICI) Advertising Compliance Advisory Committee. She also served on the Municipal Securities Rulemaking Board’s (MSRB) Professional Qualifications Advisory Committee, the FINRA Series 24/26 Examination Review Committee, and the CSCP Board of Governors, Curriculum Committee and Test Development Committee. Ms. Anders received the Certified Securities Compliance Professional (CSCP) designation, earned a B.A. in Communications from Marquette University and holds the Series 6, 7, 24, 26, 51 and 63 securities registrations. Ms. Anders is a frequent industry speaker on topics involving compliance best practices and innovative ways to utilize technology in this space.
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