Regina G. Thoele

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Regina Thoele
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Occupation Senior Vice President, Compliance
Employer National Futures Association
Location Chicago
Website www.nfa.futures.org

Regina G. Thoele is the National Futures Association's senior vice president of compliance.[1] Thoele's current responsibilities include overseeing the compliance department's exam, investigation, financial surveillance and risk management programs; working on enforcement cases; advising Members on compliance issues; assisting NFA member committees; participating in industry conferences; and developing and monitoring compliance department goals.[2][3][4]

She also works with NFA’s General Counsel's office to develop rules and interpretive guidance, makes presentations to NFA’s Executive Committee and Board of Directors and to other outside organizations and develops strategic plans and initiatives for NFA’s Compliance department. From 1994 until 1998, Ms. Thoele was responsible for managing NFA's arbitration program as NFA's arbitration manager. Thoele has also served as an adjunct faculty member at the Illinois Institute of Technology, where she taught a compliance course.

Thoele is also a member of the Women In Listed Derivatives' Steering Committee.

Background[edit]

Thoele was one of four executives at the NFA whose bonuses were cut by the NFA board after the revelations of the Peregrine Financial Group came to light in 2012.[5]

Education[edit]

Thoele attended Indiana University and received a bachelor's degree in finance. She also holds a Certified Regulatory and Compliance Professional designation from the NASD Institute at the Wharton School of the University of Pennsylvania, as well as a Certified Fraud Examiner designation through the Association of Certified Fraud Examiners.

References[edit]

  1. NFA Leadership. NFA.
  2. Regina Thoele. National Society of Compliance Professionals.
  3. Executive Compensation at the National Futures Association. Padock Post.
  4. NFA Warns of Fake Emails. ACA Global.
  5. Bonuses Cut After Futures Regulator Review. Wall Street Journal.
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