Johanna Anders

Johanna Anders is a strategic risk and regulatory compliance executive with three decades of global leadership across asset management, banking, and insurance. She is widely recognized for her ability to modernize compliance programs, guide ethical innovation, and align regulatory oversight with business growth. As a Managing Director and former Chief Marketing Compliance Officer and Head of Core Compliance at TIAA/Nuveen and most recently Head of Regulatory Compliance at Harris Associates, Johanna has overseen complex, cross-border compliance functions – including broker-dealer governance, communications and marketing compliance, artificial intelligence integration, distribution oversight, privacy, records management, and sales practices. She brings deep experience navigating evolving regulatory frameworks while enabling commercial success. A respected change agent who is both solutions- and partner-oriented, Johanna has led award-winning initiatives that fuse AI and technology into compliance review and operations. She is also a patented inventor, underscoring her commitment to pioneering innovation in the compliance and regulatory space. Her collaborative, one-team approach supports innovation across marketing, social media, mobile, and emerging channels – always with a focus on trust, integrity, and clarity. She has chaired enterprise-wide oversight groups, supported new product launches, and led enterprise ethics and privacy offices. Johanna is a member of the National Society of Compliance Professionals (NSCP) and the Investment Company Institute’s (ICI) Advertising Compliance Advisory and Financial Innovation Advisory Committee (FAIC). She has 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 and Test Development Committees. She holds the Certified Securities Compliance Professional (CSCP) designation, multiple FINRA securities registrations (Series 6, 7, 24, 26, 51, and 63), and a B.A. in Communications from Marquette University. She is a frequent speaker on marketing governance, AI regulation, and the future of compliance.

5d. PF - Marketing and Sales of Private Fund Interests (Intermediate)