Karen K. Wuertz
Karen K. Wuertz is a Chicago-based exchange and regulatory executive who is currently the senior vice president for strategic planning and communications at the National Futures Association (NFA), a role she assumed in 2000. Part of her role includes working with international regulators.
Wuertz joined NFA in 1983 as an auditor and rose to the position of compliance manager before leaving NFA in 1994 to serve as assistant to the chief financial officer at the Chicago Stock Exchange. In 1996, Wuertz returned to NFA as special projects manager and was subsequently promoted to vice president of strategic planning and communications.
Wuertz joined NFA as it was being created. She has held many positions throughout the years. In this current role, her responsibilities include the ongoing development of NFA’s strategic plan, international and legislative activities, and communications. She briefly left NFA to work for the Chicago Stock Exchange but returned to NFA later. She is currently vice-chairman of the Affiliate Members Consultative Committee of the International Organization of Securities Commissions (IOSCO). She also co-chaired a subcommittee to develop and publish a formal paper entitled “Model for Effective Self-Regulation” that was presented to IOSCO.
Wuertz graduated from the University of Illinois with a bachelor's of science degree in Accounting. She has a master's degree in Management from the Kellogg Graduate School of Management at Northwestern University. She also is a certified public accountant.
MarketsWiki Education, Chicago 2016
“We’re looking for the bad apples, trying to find them as quickly as we can, and putting them out of business.”
The futures markets are about two things — price discovery and risk transfer. But all businesses that attract capital also attract a small number of less-than-scrupulous participants, or “bad apples,” as Karen Wuertz, SVP of strategic planning and communications at the National Futures Association calls them in this MarketsWiki Education, Chicago 2016 presentation. Wuertz says the NFA, in its continuing mission to ensure market integrity and protect customers, is always on the lookout both for irregular market behavior and for fresh talent to help the self-regulatory organization achieve its goals.
Among her advice to the next generation is to keep one’s head up. Opportunity may be standing next to you in the elevator, but if your eyes are buried in the smartphone and your earbuds are blaring, opportunity may pass you by. She also says not to let the words “regulation and compliance” fool you, as the number of opportunities in the field is growing and varied.
How ’bout them apples?
JLN News Feed
VIX Hits Seven-Week High Even as Bets Jump on Post-Election Calm; Covid Fear Is Back and Driving Markets Again
[JPXConsolidated financial results for the fiscal year ended September 30, 2020 (Based on IFRS), unaudited]
[JPX[Explanatory Material] Overview of Earnings for Q2 FY2020]
[JPXNotice of Revision to Earnings Forecast and Dividend Forecast]
[JPXNotice of Dividend from Surplus]
We visit more than 100 websites daily for financial news (Would YOU do that?). Read the John Lothian Newsletter.
- NFA Leadership. NFA.
- Karen Wuertz. LinkedIn.
- Contact NFA. National Futures Association.
- Karen K. Wuertz. IOSCO.org.
- SPEECH OF KAREN K. WUERTZ SENIOR VICE PRESIDENT,STRATEGIC PLANNING AND COMMUNICATIONS, NATIONAL FUTURES ASSOCIATION. National Futures Association.