FacultyFaculty/Author Profile
Donna C. Esau

Donna C. Esau

U.S. Securities and Exchange Commission
Senior Program Adviser, Office of Investment Adviser/Investment Company Examinations, Office of Compliance Inspections and Examinations
Atlanta, GA, USA

Donna C. Esau
Securities and Exchange Commission – Sr. Policy Adviser in the National Exam Program


Employed with the SEC for over 20 years. 

Started as an examiner and was promoted to a branch chief in the Atlanta Regional Office. In 2009, promoted to Assistant Regional Director and relocated to the Fort Worth Regional Office where responsibilities included overseeing both the investment adviser and broker-dealer programs in Fort Worth. In 2011, transferred to the Atlanta Regional Office to work in the examination program as an Assistant Regional Director. In November 2015, transferred to the national exam program office as a Sr. Policy Adviser to work on national examination projects.



Bachelor in Business

Masters in Accounting

CPA licensed in Georgia


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