Anne (Pleviak) Dorian in

Anne (Pleviak) Dorian

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General Counsel and Chief Compliance Officer at Mariner Wealth Advisors
📍 Kansas City Metropolitan Area, United States

Anne Dorian is the General Counsel and Chief Compliance Officer at Mariner Wealth Advisors, where she leads the legal and compliance departments. She provides legal guidance on acquisitions, recruitment, and regulatory matters. Anne earned both a Juris Doctor and a Master of Business Administration from Washington University in St. Louis.

Anne is actively involved in her community, serving on the board of directors for the Kansas City-based non-profit, Reconciliation Services. She is a past recipient of Ingrams "40 Under Forty" award and enjoys spending her personal time with her husband and their two sons.

She was honored as one of KC Business Magazines "Rising Stars" in 2016.

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Experience
17 Years
Current Role
General Counsel and Chief Compliance Officer
Job Level
Leadership
Location
Kansas City Metropolitan Area, United States
Personality Overview

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Communication Style
Decision Approach
Work Preference

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Priorities

Topics Anne cares about

Wealth Management Law
As General Counsel for a large wealth advisory firm, she navigates complex legal issues including M&A, recruitment, and client-facing matters.
Regulatory Compliance
Her role as Chief Compliance Officer places her at the forefront of managing regulatory risk and ensuring adherence to industry standards for the firm.
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Career

Work history

7-2022
General Counsel and Chief Compliance Officer
Mariner Wealth Advisors
1-2016 - 3-2023
Senior Vice President, Regulatory Compliance
Mariner Holdings
8-2012 - 1-2016
Senior Regulatory Counsel
Mariner Holdings
8-2011 - 8-2012
Senior Compliance Associate
Mariner Holdings
10-2009 - 9-2011
Licensed Compliance Administrator
Legacy Financial Strategies, LLC
In the press

Media appearances

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Education
2007 - 2009
MBA
Washington University in St. Louis - Olin Business School
2005 - 2009
JD
Washington University in St. Louis School of Law
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

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