Risk Management and Compliance Consultants
Johanna Anders is seasoned compliance professional with eighteen years of experience in the financial services industry with an emphasis in securities marketing compliance. Her extensive experience includes building departments, designing and implementing automated systems and internal controls, training, and developing policies and procedures to execute results.
Ms. Anders previously served as Vice President, Marketing, Communications & E-Commerce Compliance at USAA heading up a new division to manage the firm's enterprise marketing compliance needs. At USAA, her team focused on advertising, sales literature, and marketing materials for investments, banking, insurance, and member services product lines ensuring compliance to bank regulations, FTC, privacy, trademark issues, SEC, FINRA, state laws, and MSRB. She also spearheaded the legal review of several dot-com redesign projects and cutting-edge social media efforts.
Prior to USAA, Ms. Anders was also Vice President at Morgan Stanley where she was responsible for all facets of compliance review for sales and marketing materials for all distribution channels, including supervision of a review staff, oversight and establishment of firm policies and procedures, and interaction with regulators and internal/external auditors. Formerly, Ms. Anders was Vice President at Van Kampen Funds heading their marketing compliance efforts and has also held various senior compliance roles at other financial services firms where she gained additional experience in marketing compliance and sales practices, process improvement, business development, risk mitigation, and international business. She has also developed in-house marketing compliance software tracking systems at several firms.
Ms. Anders is a member of the National Society of Compliance Professionals (NSCP) and the Municipal Securities Rulemaking Board's (MSRB) Professional Qualifications Advisory Committee. Ms. Anders has received the Certified Securities Compliance Professional Designation (CSCP) and served on the Board of Governors of the program, which is sponsored by NSCP, in addition to the Curriculum and Test Development Committees. Ms. Anders earned a B.A. in Communications from Marquette University.
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