ANNE WICKLANDER
Regulatory Compliance
North Barrington,IL
Summary
Experienced Compliance Director with over 17 years of leadership at R.J. O'Brien and Iowa Grain Company. Excelled in orchestrating legal and compliance frameworks, enhanced broker relations, and controlled regulatory audits. Known for unparalleled organizational skills, adept relationship-building, and resourcefulness. Proven track record in managing sensitive situations and guiding teams to exceptional results.
Overview
18
18
years of professional experience
Work History
DIRECTOR OF COMPLIANCE
R.J. O'Brien & Associates, LLC
Chicago, Illinois
01.2000 - 10.2008
- Coordinated all legal activities, working with outside counsel in regard to legal strategy on matters of litigation and arbitration
- Oversaw compliance activities of over 250 introducing brokers including regulatory registration, agreements and contracts, promotional material, discretionary account review, and external regulatory audits
- Designed and implemented audit procedures for on-site annual reviews of brokers
- Oversaw staff and outside consultants that performed audits
- Served as primary contact to customers and brokers regarding regulatory and compliance matters, as well as customer service issues
- Reviewed and approved company contracts for end customers as well as brokers
- Oversaw audits by outside regulatory agencies including the Commodity Futures Trading Commission, Chicago Board of Trade, Chicago Mercantile Exchange and National Futures Association
COMPLIANCE DIRECTOR
Iowa Grain Company
01.1991 - 01.2000
- Reported to Executive Vice President, responsible for all compliance and regulatory activities
- Promoted to Compliance Director after serving one year in an assistant capacity.
Education
BACHELOR OF ARTS - MARKETING
ST. MARY'S UNIVERSITY
Winona, MNundefined
UNIVERSITY OF MINNESOTA
Minneapolis, MNundefined
West London Institute of Higher Education
Skills
Highly Organized
Relationship Builder
Experience with Microsoft Office
Attention to Detail
Able to prioritize projects
Works Independently as well as team player
Verbal Communication
Capable of managing sensitive situations
Timeline
DIRECTOR OF COMPLIANCE
R.J. O'Brien & Associates, LLC
01.2000 - 10.2008
COMPLIANCE DIRECTOR
Iowa Grain Company
01.1991 - 01.2000
BACHELOR OF ARTS - MARKETING
ST. MARY'S UNIVERSITY
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UNIVERSITY OF MINNESOTA
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West London Institute of Higher Education
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