Lecturer Bios
Derek Ashworth
Derek Ashworth is Associate Director in FINRA’s Advertising Regulation Department. The department protects investors by ensuring broker-dealer members of FINRA use communications that are fair, balanced and not misleading. Mr. Ashworth’s primary responsibility is managing staff members dedicated to the routine review of member firm communications. Mr. Ashworth also participates in the Department’s outreach efforts including serving as a panelist in prior FINRA conferences and presenting during selected FINRA Compliance Boot Camps.
He has been with the Advertising Regulation Department for 17 years. Prior to joining FINRA, Mr. Ashworth was a program manager for a business and education partnership at Nova Southeastern University in Fort Lauderdale, FL. Previous to this role, he was a specialty banker and registered representative with First Union in West Palm Beach, FL.
Mr. Ashworth received his bachelor’s degree from Stetson University and completed his M.B.A. at Johns Hopkins University.
Kimberly Flanders
Kimberly Flanders is Principal Analyst in FINRA’s Advertising Regulation Department. She has served in this role since 2002 and joined the Department in 1996.
Prior to joining FINRA, Ms. Flanders was an investigator for the Resolution Trust Company in Washington, DC. Previous to this role, she was a staff member of the Permanent Subcommittee on Investigations, chaired by the former U.S. Senator from Georgia, Sam Nunn.
Ms. Flanders received her bachelor’s degree from the University of Georgia.
Bri Joiner, Esq.
Bri Joiner is Director of Regulatory Compliance at the Municipal Securities
Rulemaking Board (MSRB), in which she oversees a portfolio of programs under the
MSRB’s Market Regulation department, maintaining responsibility for strategic
planning and execution of long-term objectives. Ms. Joiner is directly responsible for
the MSRB’s professional qualifications program, examiner training program and
regulatory compliance program initiatives.
Prior to assuming her current role, Ms.
Joiner managed the MSRB’s regulatory education program leading the development
and delivery of content for regulated entities and market stakeholders in support of a
fair and efficient municipal securities market. Prior to joining the MSRB, Ms. Joiner spent 10 years at the
Financial Industry Regulatory Authority (FINRA). She served as Senior Regulatory Policy Analyst in FINRA’s
Office of General Counsel, where she worked on rulemaking initiatives and researched legal and compliance
matters.
She also held the position of Senior Manager in FINRA’s Member Education and Training
department, where she advised on initiatives having a market impact and served as a subject matter expert
on various topics. Ms. Joiner began her career at the U.S. Securities and Exchange Commission. Ms. Joiner
earned a bachelor’s degree, magna cum laude, from Spelman College and a juris doctor from the Walter F.
George School of Law, Mercer University. She is a member of Phi Beta Kappa Honor Society, Golden Key
International Honour Society and Phi Delta Phi Legal Fraternity.
Cynthia Friedlander
Cynthia Friedlander is the Director of Fixed Income Regulation within FINRA Member Regulation. Ms. Friedlander is responsible for directing FINRA’s policies and national programs related to fixed income securities, including related regulatory matters in FINRA District Offices. Specifically, she is responsible for the design, development and delivery of fixed income policy guidance to staff throughout FINRA, as well as to member firms, and is one of FINRA’s primary representatives in fixed income regulatory matters with the Municipal Securities Rulemaking Board (MSRB) and the Securities and Exchange Commission (SEC).
Ms. Friedlander represents FINRA at government agency, SRO, and industry and advisory meetings, and is a staff liaison to FINRA’s Fixed Income Committee. She holds a bachelor’s degree from the University of Virginia and a master of business administration from George Mason University.
Johanna Anders
Johanna Anders, CSCP®, is a Managing Director and Head of Global Marketing
and Communications Compliance as part of TIAA Enterprise Risk & Compliance
with over 25 years of experience within the financial services industry spanning
across asset management as well as banking and insurance (life and property &
casualty). Her cohesive one-team approach for global support as a shared service
includes providing advice to new marketing and communications initiatives from a
compliance perspective, including emerging areas of communication and
technology efforts such as social media and mobile applications, and guidance
regarding the applicability of rules, regulatory and jurisdictional requirements, internal review standards
and disclosure guidelines as well as other risk-related issues through their support of the review of
marketing materials.
During her tenure at the firm, Ms. Anders has led key strategic initiatives in addition to helping further
build various core Compliance functions, including developing artificial intelligence and overseeing the
firm-wide Records Management program, eDiscovery and production, Electronic Communications,
Retention and Monitoring, Ethics and Privacy Offices, U.S. Distribution (including Canada), Broker/Dealer
Compliance and other cross-functional support such as new product initiatives, sales and distribution,
business continuity planning, and ongoing tracking and analysis of regulatory developments. Ms. Anders
also chaired the Nuveen Disclosure Oversight Team (NDOT) which helped to ensure that the offering
documents, promotional literature and other materials used in connection with Nuveen’s investment
products and services contain appropriate disclosure reflecting the evolving policies, practices, market
conditions and other factors affecting such products and services.
Prior to joining Nuveen, Ms. Anders was a Managing Director at Charles Schwab and has held various
senior compliance positions at Ameriprise Financial, USAA and Morgan Stanley/Van Kampen which
included the development of strategy for in-house and field sales force Advertising and Marketing Review,
Sales Practices, Regulatory Programs, and Compliance Training and co-heading the Marketing and
Hedge Fund Practices at Berger Legal.
Ms. Anders is a member of the National Society of Compliance Professionals (NSCP) and the Investment
Company Institute’s (ICI) Advertising Compliance Advisory Committee. She 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 Committee
and Test Development Committee. Ms. Anders received the Certified Securities Compliance Professional
(CSCP) designation, earned a B.A. in Communications from Marquette University and holds the Series
6, 7, 24, 26, 51 and 63 securities registrations. Ms. Anders is a frequent industry speaker on topics
involving compliance best practices and innovative ways to utilize technology in this space.
