FacultyFaculty/Author Profile

James Reese

U.S. Securities and Exchange Commission
Assistant Director, Office of Risk Analysis and Surveillance, Office of Compliance Inspections and Examinations
Washington, DC, USA


Jim Reese is the Assistant Director for the Office of Risk Analysis and Surveillance within the Office of Compliance Inspections and Examinations (OCIE).  In this role, Jim leads a centralized unit of 15 staff that are responsible for enhancing the National Examination Program’s ability to target those firms and practices that present the greatest risks to investors, markets and capital formation.  Additionally, Jim works on a variety of Commission-wide Data Analytic and Information Technology initiatives, partnering with other analytic teams from around the Commission.  Prior to his current position, Jim was a Senior Staff Accountant for the risk and surveillance function in the Office of Investment Adviser/Investment Company Examinations, where he designed risk metrics for registered entities and developed tools for monitoring and reporting on their activities.  Jim had previously been a branch chief and staff accountant in OCIE, joining the Commission in 1999.  During his 18 year career in the examination program, Jim has participated on more than 450 examinations and assisted on approximately 50 Rule Making initiatives.  Prior to joining the SEC, he was a financial analyst in Virginia and interned with Morgan Stanley and Prudential Securities.  Jim has a degree in finance from Virginia Wesleyan College, is a Certified Fraud Examiner (CFE), and is a frequent speaker for the Commission’s Technical Assistance Programs, providing training to Securities Regulators in Saudi Arabia, Trinidad & Tobago, India, Cape Verde, Turkey, Malta, Jersey and Qatar.
James Reese is associated with the following items:
On-Demand Web Programs  On-Demand Web Programs SEC Speaks in 2017, Friday, March 03, 2017, Washington, DC
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