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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
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NEWSLETTERS & ALERTS
SEC's OCIE Has New Chief Risk and Strategy Officer
The SEC announced that James Reese has been named the Chief Risk and Strategy Officer of the agency’s Office of Compliance Inspections and Examinations (OCIE). Mr. Reese has served as Acting Chief since February 2017.
The Chief Risk and Strategy Officer leads the Office of Risk and Strategy (ORS), which was established in 2016 to consolidate OCIE’s risk assessment, market surveillance, large firm monitoring and quantitative analysis teams, and provide operational risk management and organizational strategy for the National Exam Program (NEP).
ORS is responsible for supporting the NEP’s risk-based and data driven processes through the identification of risks and emerging issues in the financial markets, exam targeting and selection efforts, resource allocation, and investment in quantitative-based examination initiatives.
Mr. Reese joined the SEC in 1999 as an examiner in the Investment Adviser/Investment Company program area. He later served as a branch chief, senior staff accountant, and Assistant Director in OCIE’s Office of Risk Analysis and Surveillance. Mr. Reese has:
- participated in more than 500 examinations; and,
- assisted on numerous rulemaking efforts, including Investment Company and Investment Adviser Reporting; Use of Derivatives by Funds; Dodd-Frank Act Amendments to the Investment Advisers Act; and Private Fund Systemic Risk Reporting.
Mr. Reese graduated from Virginia Wesleyan University, where he received a Bachelor of Arts in Accounting and Finance. He holds the Certified Fraud Examiner (CFE) designation and is a frequent speaker for the SEC’s Technical Assistance Programs with the Office of International Affairs.