Johanna Anders Email & Phone Number

United States

Chicago, Il, Us

New York, Ny, Us

Nuveen's Compliance Department provides world-class service, support, and advice to assist employees and the Firm in meeting their regulatory obligations, as well as their responsibilities to clients, and to preserve and enhance our reputation for integrity while promoting the Firm's growth and development.As part of Nuveen's Compliance Department, Core Compliance Services oversees the Firm-wide Records Management program, executes the eDiscovery and document production function, and manages the compliance programs for Electronic Communications Retention and Monitoring, Privacy Office and Marketing Review Compliance. Other cross-functional support includes new product initiatives (across open and closed end funds, unit investment trusts, collective investment trusts, private funds, institutional separate accounts, retail managed accounts, and UCITS), business continuity planning for the Compliance Department, and IT liaison for Compliance Department projects, as well as participation in designated committees and working groups such as the Regulatory Events Working Group that supports the ongoing tracking and analysis of regulatory developments that could impact the Firm.The Marketing Review Compliance team as part of Core Compliance Services provides advice and guidance to our business partners and collaborates with affiliates regarding the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues when reviewing, analyzing and approving marketing communications intended to create an interest in Nuveen's products, services, or in Nuveen in general. In addition to the review of traditional marketing communications, this team is responsible for providing compliance oversight for global and corporate marketing initiatives and emerging areas of communications/technology efforts such as social media, website content development and functionality capabilities, and mobile applications.

Westlake, Texas, Us

Minneapolis, Mn, Us

Heading strategy for in-house and field force Marketing Review, Regulatory Programs, and Compliance Training and Certifications.

Co-head of two new Practice Groups, Hedge Fund and Marketing Compliance Practices at an elite boutique law firm with an innovative approach to providing legal services.

San Antonio, Texas, Us

Responsible for heading the Marketing, Communications and E-Commerce Compliance efforts for the enterprise. Built, managed, and mentored eight-member team from the ground up focusing on the review and approval of communications for investments, banking, insurance (life and property and casualty) and member services. Ensured compliance to bank regulations, such as Reg. Z, Reg. DD, Reg. B, and Anti-Tying Rules, FDIC Regulation, Unfair or Deceptive Acts or Practices, RESPA, Fair Credit Reporting Act, OTS Regulation - Nondiscriminatory Advertising, FTC, privacy, trademark issues, SEC, FINRA, state laws, and MSRB; monitored compliance program; managed sales practice issues; and maintained record retention and quality control checks and balances/testing and monitoring.- Developed various self-assessment programs to test/audit procedures; spearheaded legal coordination of several redesign efforts of usaa.com; and interpreted regulations and developed written supervisory procedures (WSPs) for social media efforts.- Improved and streamlined workflow efficiency through creating and implementing automated processes and procedures for the review and approval of communications. Influenced senior management partners to help fund the project and illustrated strategic vision and cost benefits analysis. Saved overhead by reduced headcount of 32% with an increased workload of 27%.- Earned recognition by clients for turnaround times and successful collaboration and approval of high-risk, widely circulated projects, such as hurricane related materials and Annual Report to Members.

Us

Selected to join the organization in a newly created position to foster best practices and internal guidelines between business functions and legal department, creating standards to review marketing materials. Developed a compliance review team and a cross-functional group with individuals representing different areas of the Firm to effectively build an automated system to assign internal tracking codes to marketing materials as well as recordkeeping and electronic copies of regulatory filing letters. Cultivated partnerships with clients and legal community.Later lead the Sales Practices and Marketing Compliance Divisions as part of Investment Management and Global Wealth Management, merging marketing compliance support of two corporate brands and building a cohesive team through integration efforts after acquisition. Managed 20-person team and partnered with international support areas to begin implementation and expansion process of automated marketing tool for worldwide locations; tool tracked guidelines, hedge clause manuals, reviewer comments, and regulatory filing letters and had robust reporting capabilities that helped in the facilitation of supporting documents for regulatory examinations, arbitration issues, and litigation requests. Cultivated partnerships with clients and legal community to continue to foster culture of compliance.- Assessed heightened regulatory standards regarding portfolio attribution relative to performance and worked with portfolio management teams in the development of an attribution analysis procedure for monitoring funds.- Increased regulatory quality of marketing material and efficiency through designing various training programs and marketing review resource guides.- Reduced turnaround time of routing marketing materials to 24 hours, which was integral for time-to-market efforts.- Helped develop a centralized database for the review and approval of standard RFP (Request for Proposal) responses.

New York, Ny, Us

Established and enforced sales and advertising standards for firm. Reviewed marketing materials for all lines of business and distribution channels, including retail, institutional, and investment advisory. Served as liaison to Legal Department. Developed and maintained corporate compliance policies. Created/conducted firm-wide compliance training programs.- Enhanced facilitation and tracking of marketing materials through the review and approval process via designing a firm-wide database system.- Decreased timeframe required in facilitating the periodic updating of marketing materials by originating standards for production processes.- Created standards for presentation materials that enabled the institutional sales team to select compliance pre-approved sections enabling flexibility in the compilation of customized pitch and client update books, improving speed of delivery and reduction in errors.