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SEC names chief risk and strategy officer of the OCIE

Scuttlebutt | May 18, 2018

The Securities and Exchange Commission has named James Reese as chief risk and strategy officer of the agency’s Office of Compliance Inspections and Examinations (OCIE). 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. 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.  

Reese joined the SEC in 1999 as an examiner in the investment adviser/investment...

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