Johanna Anders

Managing Director

  • Company:Nuveen Compliance
  • Short Bio:Johanna M. Anders, CSCP® is a Managing Director heading Marketing and Distribution (Americas) Compliance at Nuveen. She has over 20 years of experience within the financial services industry with an emphasis in Marketing Compliance and Sales Practices. She is currently responsible for leading the Marketing Review team and the Electronic Communications Monitoring programs, in addition the Broker-Dealer Compliance team has joined her group to build on the synergies between Marketing and Distribution and the key role these programs play in supporting Nuveen’s product development efforts. Her team also provides Compliance support to new product initiatives as well as other cross-functional compliance support for global and corporate marketing and emerging areas of communications and technology efforts, such as Social Media and mobile applications. Ms. Anders also chairs the Nuveen Disclosure Oversight Team (NDOT) which helps to ensure that marketing or promotional material, advertising, sales literature or other communications used in connection with Nuveen’s products and strategies contain appropriate disclosure reflecting the evolving policies, practices, market conditions and other factors affecting such products and strategies. Previously at Nuveen, Ms. Anders had various Compliance shared services under her leadership such as the Ethics and Privacy Offices, firm-wide Records Management Program and eDiscovery, and Compliance Training.
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