FacultyFaculty/Author Profile

Everardo de Armas

U.S. Securities and Exchange Commission
Branch Chief, Office of Compliance Inspections and Examinations
Washington, DC, USA

Mr. de Armas is a Branch Chief in the Office of Large Firm Monitoring (LFM), within OCIE’s Office of Risk and Strategy. The LFM consists of a team of examiners, accountants and financial analysts dedicated to continuous regulatory scrutiny of a designated group of the largest global financial services firms. 

LFM staff meet regularly with each designated firms’ risk and control functions and occasionally contact firms on specific areas of interest to the National Exam Program (NEP) or in response to events (cyber-attacks or Brexit, for example). The risks, issues, and practices identified by LFM staff may be used by the NEP to select and scope examinations and by the rule-making divisions to help inform policy. LFM is also responsible for facilitating annual meetings between senior regulators at the SEC and FINRA and designated firms’ top management and board directors. Finally, the LFM group coordinates with other regulators and self-regulatory organizations to share information or organize industry outreach.

Prior to this position, he was a Securities Compliance Examiner with OCIE’s Office of Broker-Dealers in Washington, DC where he specialized in complex trading examinations.

Before joining the SEC in 2005, he was a bond analyst in Bank of America’s Latin America Corporate Finance Group and later worked in Bank of America’s Global Structured Finance Group, specializing in the telecommunications industry in Latin America. He started his career as an examiner with FINRA in New York. 

Mr. de Armas received an M.A. in Applied Economics from The Johns Hopkins University and earned a B.A in Mathematics and Economics from Drew University.
Everardo de Armas is associated with the following items:
On-Demand Web Programs  On-Demand Web Programs The SEC Speaks in 2018, Saturday, March 03, 2018, Washington, DC

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.