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 senior vice president of compliance at National Futures Association[1] where she has worked since 1983. From 1994 until 1998, Thoele was the NFA's Arbitration Manager.

Background

Thoele started at NFA more than 30 years ago and has been the head of NFA's Compliance Department since 2005. She is responsible for overseeing the compliance department's audit, investigation, financial surveillance and risk management programs. She also works on enforcement cases, advises members on compliance issues, assists NFA member committees and helps develop and monitor compliance department goals.

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

On Sept. 7, 2010, Thoele spoke to JLN about criticism and how women experience it in the workplace.[2]

Education

Thoele attended Indiana University and received a B.S. degree in finance. Regina also received her designation as a Certified Regulatory and Compliance Professional through the NASD Institute at The Wharton School, as well as her designation as a Certified Fraud Examiner through the Association of Certified Fraud Examiners.

References

  1. NFA Leadership. NFA.
  2. Are Managers Holding Women Back by Holding Back on Criticism?. John Lothian News.