FacultyFaculty/Author Profile

Julius Leiman-Carbia

U.S. Securities and Exchange Commission
Associate Director, Office of Broker-Dealer Examinations
Washington, DC, USA

Julius Leiman-Carbia is the Associate Director leading the National Broker-Dealer Examination Program in the SEC’s Office of Compliance Inspections and Examinations. In this role, Mr. Leiman-Carbia oversees a staff of approximately 300 lawyers, accountants and examiners responsible for the inspections of U.S.-based broker-dealers. Mr. Leiman-Carbia previously worked at the SEC from 1989 to 1994 as a counsel in the SEC’s then-Division of Market Regulation, specifically in its Office of Capital Markets. Among his experiences outside the SEC, he served as Managing Director of the Capital Markets and Banking Compliance Department at Citigroup Global Markets from 2005 to 2009, and held legal and compliance leadership positions at JP Morgan (2004 to 2005) and Goldman Sachs (1995 to 2004). For the past Four years, Mr. Leiman-Carbia served as Vice President, Integrated Supply and Trading Compliance for North America for BP Energy Company.

Mr. Leiman-Carbia received his bachelor’s degree from the School of Foreign Service at Georgetown University in 1983, and his law degree from the University of Pennsylvania Law School in 1986.

  • 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.