FacultyFaculty/Author Profile

Barbara S. Lorenzen

U.S. Securities and Exchange Commission
Associate Director, Office of Clearing and Settlement, Compliance Inspections and Examinations
Chicago, IL, USA

Barbara S. Lorenzen, National Associate Director, for Clearance, Settlement and Transfer Agents, U.S. Securities & Exchange Commission.  Ms. Lorenzen joined the Commission on January 5, 2009 as the Chicago Regional Associate Director for Broker/Dealer Examinations.  In that role she was responsible for the Commission’s compliance examinations of registered broker-dealers and transfer agents located in the nine-state region covered by the Chicago Office.   In January 2014, Ms. Lorenzen agreed to serve as the National Associate Director for the Clearance, Settlement and Transfer Agent program; she has been leading the program since June 2013.  Ms. Lorenzen has extensive experience in auditing for regulatory compliance in the areas of customer protection and capital standards.  She worked for 28 years with the Chicago Board of Trade (CBOT) and held positions of increasing responsibility, including Vice President responsible for the Financial Surveillance and Audit Departments.  Ms. Lorenzen has served multiple terms as chairperson of the Joint Audit Committee, an industry-wide committee made up of members of all domestic commodity exchanges; and as Vice Chairperson of the Intermarket Financial Surveillance Group, comprised of the regulatory arms for all domestic securities and commodities exchanges and the SEC, CFTC, FINRA and NFA.  She also served as a Board Member of the Futures Industry Association, where she was the Chairperson of the Finance Regulatory Risk Committee.  After the CBOT merged with the CME, she became a Managing Director and Chief Compliance Officer for a hedge fund administrator.  Ms. Lorenzen joined the CBOT in June 1979, immediately after obtaining a bachelor’s degree in Accounting from Western Illinois University.

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