Johanna Anders

Johanna Anders is the Head of Regulatory Compliance at Harris Associates and currently serves on the Regulatory Advisory Board of Norm Ai. With over 25 years of compliance experience in financial services across asset management, banking, and insurance, Johanna has an extensive background as a dynamic and results-focused executive delivering record of achievement building and leading departments, designing and implementing review systems to help mitigate risk while strengthening internal controls, fostering global baseline standards to provide the broadest flexibility for go to market demands, and leveraging technology for automation and efficiency gains within core compliance programs to create a positive imprint on evolving business needs. Throughout her career, Johanna has specialized in providing compliance oversight for regulatory programs and advising on regulatory issues, training and communication, sales practices, and advertising and marketing initiatives, with a focus on emerging communication efforts such as social media and mobile applications as well as leveraging technology through development of artificial intelligence for automation across compliance programs (including receiving a CIO industry innovation award for cutting edge technology for AI in compliance). Before joining Harris, she served as Managing Director and Head of Global Marketing and Communications Compliance at TIAA/Nuveen within Enterprise Risk & Compliance. At TIAA/Nuveen, Johanna led several strategic initiatives and helped strengthen core compliance functions, including building and overseeing the firm’s Records Management program, and managing cross-functional areas like eDiscovery, Broker/Dealer Compliance, Ethics and Privacy, Regulatory Filings, and U.S. Distribution. She also chaired the Nuveen Disclosure Oversight Team (NDOT), ensuring that all investment-related materials adhered to evolving regulatory requirements and market conditions. Prior to TIAA/Nuveen, Johanna held senior compliance roles at Charles Schwab, Ameriprise Financial, USAA, and Morgan Stanley/Van Kampen. She also co-headed the Marketing and Hedge Fund Practices at Berger Legal. Johanna is an active member of the National Society of Compliance Professionals (NSCP) and the Investment Company Institute’s (ICI) Advertising Compliance Advisory Committee. She has served on various industry boards and committees, including the Municipal Securities Rulemaking Board’s (MSRB) Professional Qualifications Advisory Committee and FINRA’s Series 24/26 Examination Review Committee. Johanna holds the Certified Securities Compliance Professional (CSCP) designation, a B.A. in Communications from Marquette University, and Series 6, 7, 24, 26, 51, and 63 securities registrations. She is a frequent speaker at industry events, focusing on compliance best practices and innovative technology solutions.

10c. IA - Marketers and Marketing Agreements (Intermediate - OPEN)