MutualFundWire.com: Better Study! The SEC Has a New Exam Head

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Wednesday, August 21, 2013

Better Study! The SEC Has a New Exam Head

There are some tests you don't want procrastinate studying for.

The Securities and Exchange Commission has named Jane Jarcho as the national associate director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE).

She will oversee a staff of approximately 450 lawyers, accountants, and examiners responsible for inspections of U.S.-registered investment advisers and investment companies.

She had been the Acting National Associate Director of the Investment Adviser/Investment Company (IA/IC) exam program since March. She joined the SEC in 1990 and previously served as the Associate Director of the IA/IC examination program in the SEC’s Chicago regional office.

“Jane brings a wealth of experience that will help us to continue to strengthen our risk-based approach to the examination of investment advisers and investment companies,” stated OCIE director Andrew Bowden.

Jarcho began her SEC career in the Division of Enforcement and held several positions including branch chief, senior trial counsel, and assistant regional director before joining OCIE in 2008.

The OCIE conducts the SEC’s national examination program for investment advisers and investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents, and credit rating agencies.

Here is the press release:

Company Press Release
JANE JARCHO NAMED HEAD OF SEC’S INVESTMENT ADVISER/INVESTMENT COMPANY EXAMINATION PROGRAM

Washington, D.C., Aug. 20, 2013 —The Securities and Exchange Commission today announced that Jane E. Jarcho has been named as the National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE). She will oversee a staff of approximately 450 lawyers, accountants, and examiners responsible for inspections of U.S.-registered investment advisers and investment companies.

Ms. Jarcho has been the Acting National Associate Director of the Investment Adviser/Investment Company (IA/IC) exam program since March. She joined the SEC in 1990 and previously served as the Associate Director of the IA/IC examination program in the SEC’s Chicago regional office.

“Jane brings a wealth of experience that will help us to continue to strengthen our risk-based approach to the examination of investment advisers and investment companies,” said OCIE Director Andrew Bowden.

Ms. Jarcho said, “I am honored and excited for the opportunity to work with the IA/IC examination staff in Washington, D.C. and throughout the country. I have worked alongside the IA/IC staff for several years and know they are a dedicated group of professionals who are committed to protecting investors by promoting compliance, informing policy, and detecting wrongdoing.”

Ms. Jarcho began her SEC career in the Division of Enforcement and held several positions including Branch Chief, Senior Trial Counsel, and Assistant Regional Director before joining OCIE in 2008. She has a B.A. from Middlebury College and a law degree from the University of Wisconsin Law School.

OCIE conducts the SEC’s national examination program for investment advisers and investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents, and credit rating agencies to fulfill its mission of promoting compliance, preventing fraud, monitoring risk, and informing SEC policy.