About The Author

Joan Dowd

About Joan Dowd

Joan joined Boston Financial in 1981 and has held management positions in the Financial Control and Compliance divisions. In her position as Chief Compliance Officer (CCO), Joan is accountable for overseeing Boston Financial’s compliance with policies, procedures, and practices, including compliance with laws and regulations that are directed to the transfer agency. She is also responsible for providing support to Boston Financial’s mutual fund clients and their CCOs. Joan represents Boston Financial in periodic Regulatory Compliance Advisory Group sessions and is also active in the industry, serving as a long-standing member of the Investment Company Institute (ICI) Transfer Agent Advisory Committee, ICI Compliance Advisory Committee and the NICSA Compliance Committee. She is a frequent speaker at industry events. Joan received a master’s degree in business administration from Babson College and a bachelor’s degree from Curry College.

Category: CCO Forum, Compliance

Leading the Way to Compliance

This year Boston Financial has been celebrating its 40th anniversary, not only because we are a long standing joint venture between two great organizations, but because we’ve evolved to become…

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