Barbara Lorenzen

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Barbara Lorenzen
Occupation Director for Examinations
Employer Securities Exchange Commission
Location Chicago, IL USA
Website www.sec.gov

On Jan. 5, 2009, the Securities and Exchange Commission (SEC) announced the appointment of Barbara Lorenzen as an associate regional director for examinations in its Chicago regional office.[1]

Lorenzen was previously the director of quality control and audit for Spectrum Global Fund Administration, an independent and privately owned fund administrator.[2] She joined Spectrum in September of 2007 from the Chicago Board of Trade.

Background

Lorenzen and her team will be coordinating all audit requests for information, the SAS70, and GAAP financial preparation for Spectrum’s clients.

Previously, Lorenzen was a 28 year veteran of the CBOT, where she was the vice president of audits and financial surveillance.[3]

As head of the CBOT’s audit department, Lorenzen managed a professional staff of 35 individuals. The group was responsible for the ongoing evaluation of financial surveillance techniques and establishing audit procedures to ensure state-of-the art programs for CBOT member firms.

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, NASD and NFA. After the CBOT merged with the CME, she became a managing director and chief compliance officer for a hedge fund administrator.

Lorenzen is a member of the board of directors of the Chicago division of the Futures Industry Association (FIA).[4]

Education

Lorenzen received her bachelor’s degree in Accounting from Western Illinois University in Macomb in 1979.[5]

References

  1. Press Release. SEC.
  2. Management Team:Chicago. Spectrum Global Financial Administration.
  3. Spectrum News. Spectrum Global Financial Administration.
  4. Division Directors. Futures Industry Association.
  5. Management Team:Chicago. Spectrum Global Financial Administration.