FacultyFaculty/Author Profile

James T. Giles

U.S. Securities and Exchange Commission
Assistant Director, Office of Large Firm Monitoring, Office of Compliance Inspections and Examinations
Washington, DC, USA


James T. Giles, CFA, CPA
Assistant Director
Office of Compliance Inspections and Examinations
US Securities and Exchange Commission

 

Jim serves as the Assistant Director for the Office of Large Firm Monitoring, within the Office of Risk and Strategy of the Office of Compliance Inspections and Examinations (“OCIE”), at the U.S. Securities and Exchange Commission.  The analysis provided by the large firm monitoring program assists OCIE’s National Examination Program in its risk-based approach to the examination selection and scoping process.

Previously, Jim was the Assistant Director for the Broker-Dealer Risk Office—Office of Prudential Supervision and Risk Analysis, within the Division of Trading and Markets, where he managed the Division’s Alternative Net Capital (“ANC”) monitoring program, which conducts supervision of broker/dealers that calculate net capital under the alternative method in Appendix E of Rule 15c3-1, and the 17(h)-Risk Assessment Program, which monitors broker/dealers subject to the recordkeeping and reporting requirements of 17 (h) of the Exchange Act.  He has collectively served for over twelve years at the Commission focusing on financial, risk and compliance practices at large broker/dealers and other large financial institutions.

Prior to coming to the Commission in 2004, Jim served as Director- Tax Accounting and Analysis at the Federal Home Loan Mortgage Corporation focusing largely on complex debt and financial derivative instruments.  He started his career in public accounting at Coopers and Lybrand, L.L.P.

Jim received his bachelor’s degree in accounting from the University of Florida in 1994 and his master’s degree in accounting from the University of Florida in 1995.  He is a licensed CPA and a Chartered Financial Analyst (CFA) charter holder.

James T. Giles 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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