Biography

Chuck Koretke is the Assistant Director of the Office of Risk Analysis and Surveillance within the Commission’s Office of Compliance Inspections and Examinations (OCIE).  In this role, Chuck leads a national unit of 18 staff who are responsible for enhancing the National Examination Program’s ability to identify and select firms and practices that present the greatest risks to investors, markets and capital formation.  Additionally, Chuck works on a variety of Commission-wide data analytic and information technology initiatives, partnering with other analytic teams from around the agency. 

Previously, Chuck was the Assistant Director of OCIE’s Office of Strategy and Operational Risk, responsible for building OCIE’s risk management program, overseeing the assessment of OCIE’s internal control processes and the unit that processes registration applications made by investment advisers, broker-dealers, municipal advisors, and other market participants.

Chuck joined the Commission in September 1996 as an accountant in the Investment Adviser/Investment Company examination program in the Chicago Regional Office where he worked for more than fifteen years, the last nine as a Branch Chief/Examination Manager.  From March 2012 to April 2013, he served as the Branch Chief responsible for the Compliance and Ethics team in OCIE’s headquarters-based Office of Chief Counsel.  He left the Commission for a period of time to serve as the Chief Compliance Officer of an investment advisory firm and as a regulatory compliance consultant, before rejoining the Commission in August 2014.

Chuck is a graduate of DePaul University in Chicago, where he received both a bachelor’s degree in accountancy and an M.B.A. in finance.  He is a registered CPA in the State of Illinois and is a recipient of the SEC’s Douglas Adams Award.

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Date
Program or Publication
Format
4/15/2019
On-Demand