Susan . Wold
Janus Capital Management LLC
Susan Wold is Vice President of Compliance at Janus, a position she has held since joining the firm in August 2015. She is responsible for the firm's corporate and transfer agency compliance. Her corporate compliance responsibilities include public company compliance (conflicts of interest, proxy voting, protecting confidential information, anti-corruption, fair disclosure regulation) investment adviser compliance (fiduciary obligations, conflicts of interest, and the compliance program rules for funds and advisers) Her transfer agency responsibilities include monitoring of intermediary trading; money laundering prevention; monitoring of fraud issues; and handling of customer complaints and abandoned property. She also chairs the Janus Ethics Committee and serves on various committees including the Anti-Money Laundering and Proxy Voting committees. Ms. Wold joined Janus after serving in numerous positions including vice president, deputy general counsel and chief compliance officer for National Planning Holdings, Inc. (NPH). She previously served as vice president and group counsel for American Express and as the regulatory attorney with Northwestern National Life Insurance. She began her career in private practice as a securities litigation lawyer with a Minnesota law firm. Ms. Wold is a graduate of Colorado College and earned her juris doctorate at the University of Minnesota.
(05/17)
