BROWSE BY TOPIC
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
NEWSLETTERS & ALERTS
SEC Executive Staff: Advisors to Chairman Clayton
- - by Howard Haykin
On Wednesday, the SEC released a full roster of the executive staff of Chairman Jay Clayton, including several individuals who have recently joined the office. Chairman Clayton's executive staff is responsible for advising the Chairman on all matters before the Commission, working closely with agency staff, and helping the Chairman perform all day-to-day operations needed to fulfill the SEC's mission.
Executive Staff, as of June 2019:
Lucas Moskowitz - Outgoing Chief of Staff.
Leaving SEC in August and will return to private practice. As Chief of Staff, he has served as Chairman Clayton's lead advisor and worked together with Commission staff on a broad range of matters including rulemaking and policy, enforcement, strategy, personnel, management, operations, communications, legislative affairs, and coordination with state and federal regulatory agencies. [For BIO, click on press release.]
Sean Memon - Incoming Chief of Staff.
Most recently, as Deputy Chief of Staff, he served as a senior advisor to Chairman Clayton on legal, policy and management matters affecting all aspects of the agency’s mission, including rulemaking, enforcement, examinations and internal agency operations. [For BIO, click on press release.]
Bryan Wood - Incoming Deputy Chief of Staff.
Most recently served as the Director of the Office of Legislative and Intergovernmental Affairs (OLIA) since June 2017. [For BIO, click on press release.]
Kristene Blake - Director of Administration.
Most recently, she served as Executive Secretary to the President and Chairman of the Export-Import Bank of the United States, advising the Chairman on policy and program issues and served as a key member of the Executive Staff. With over a decade of Capitol Hill experience, Mrs. Blake has worked directly for 3 senior members of Congressional Leadership. She received her BA from Villanova.
Alan Cohen - Senior Policy Advisor to the Chairman.
Most recently, served as advisor to the Chairman on emerging risks and regulatory developments, including the impact of Brexit, new European Union regulations (e.g. MiFID II), and issues related to domestic and international clearing and settlement of securities and derivatives transactions. Most recently, Mr. Cohen was an advisor to the executive office at Goldman Sachs after joining the firm in 2004 as the Global Head of Compliance and a member of the management committee. [For BIO, click on press release.]
Eric Diamond - Senior Advisor to the Chairman.
The lead advisor to the Chairman on matters involving the Division of Investment Management and the Division of Economic and Risk Analysis, and assists on enforcement matters. He joined Chairman Clayton’s office in July 2018 and, among other things, served in a leading role in completing the Commission’s recently adopted rules and interpretations governing the standards of conduct for financial professionals. Before joining the SEC, Mr. Diamond practiced law at Sullivan & Cromwell, where he advised financial institutions, asset managers, and investors on a wide range of transactional and regulatory matters. He earned his J.D. from NYU Law and an undergraduate degree from Yale.
Jeffrey Dinwoodie - Chief Counsel; Senior Policy Advisor for Market and Activities-Based Risk.
An advisor to the Chairman on markets and regulatory affairs, including a wide range of legal, regulatory, examination and enforcement matters. Additionally, as Senior Policy Advisor for Market and Activities-Based Risk, he manages and coordinates the agency’s efforts to identify, monitor and respond to market risks - including activities-based risks - affecting the U.S. capital markets. He serves as the Chairman’s Deputy Representative to the Financial Stability Oversight Council (FSOC) and as a primary liaison on these matters to other federal agencies. Prior to joining the SEC in June 2017, Mr. Dinwoodie was an associate at Davis Polk & Wardwell. He earned his J.D., from American University and undergraduate degree from George Mason.
Sebastian Gomez Abero - Senior Advisor to the Chairman.
The lead advisor to the Chairman on matters involving the Division of Corporation Finance and Office of the Chief Accountant, and assists on enforcement matters. He joined the SEC in 2007 and served in several roles in the Division of Corporation Finance, including Chief of the Office of Small Business Policy and Deputy Chief Counsel. Before joining the SEC, he practiced law at Hogan Lovells. Mr. Gomez earned his J.D. from Northwestern Law and undergraduate degree from Bridgewater College.
Kelly Halferty - Special Assistant.
A Special Assistant, supporting the Chairman and his staff. He joined the SEC in 2013, previously serving as a Program Support Specialist in the Division of Corporation Finance and Office of Human Resources. Prior to joining the SEC, Mr. Halferty served 22 years in the U.S. Air Force. He earned his B.B.A. from Strayer University and is a Graduate student at the University of the Potomac.
Kimberly Hamm - Chief Counsel; Senior Policy Advisor.
An advisor to the Chairman on a variety of policy matters and serves as the Chief Counsel for rulemaking, including coordinating the rulemaking agenda of the Commission. Prior to joining the SEC, Ms. Hamm served as Associate General Counsel to the U.S. House of Reps where she provided legal advice on a non-partisan basis to House leadership, Members, committees, officers, and staff, including representation in litigation involving congressional oversight, separation of powers, and other constitutional issues of institutional importance. Earlier in her career, Ms. Hamm practiced law at Simpson Thacher & Bartlett. She earned her J.D. from NYU Law and undergraduate degree from the University of Florida.
Kristina Littman - Senior Advisor to the Chairman.
Most recently, served as lead advisor to the Chairman on matters involving the Division of Enforcement, and assists on other regulatory and policy matters, she joined the SEC in 2010. [For BIO, click on press release.]
Kay Smith - Senior Advisor to the Chairman.
A lead advisor to the Chairman on matters involving the Division of Trading and Markets, who assists on enforcement and examination matters. Ms. Smith previously served as a managing director at Patomak Global Partners, where she advised financial services firms, including B/D’s, exchanges, banks, and asset managers, and public companies on regulatory policy, corporate governance, and compliance matters. Ms. Smith earned her J.D. from Georgetown Law and B.A. from Virginia Polytechnic Institute and State University.
Natalie Strom - Communications Director.
Advises the Chairman on all matters related to communications and media relations. She came to the SEC from the White House where she served as Assistant Press Secretary for the President’s economic agenda and the National Economic Council. Prior to the White House, Ms. Strom held positions at the 2017 Presidential Inaugural Committee and the RNC. She earned her undergraduate degree from the USC.
Peter Uhlmann - Managing Executive.
Most recently served as advisor to Chairman Clayton in matters relating to agency administration, operations, and management, and will serve as the Chairman's primary liaison to divisions and offices on these matters. [For BIO, click on press release.]
Kevin Zerrusen - Senior Advisor to the Chairman for Cybersecurity Policy.
Coordinates efforts across the agency to address cybersecurity policy, engages with external stakeholders, and helps enhance the SEC’s mechanisms for assessing cyber-related risks. A 30-year veteran of the CIA, he previously worked as Managing Director at Goldman Sachs, where he led initiatives to strengthen technology risk governance, incident management, and insider threat programs. Mr. Zerrusen earned his MBA from Syracuse University and bachelor’s degree from the University of Dayton.