The Securities and Exchange Commission today released that Andrew J. Bowden may be named Deputy Director of the agencys Workplace of Compliance Inspections and also Examinations (OCIE). He succeeds Usual Champ who was named inside July to head the SECs Team of Investment Management.
Mr. Bowden joined the SEC with November 2011 as the Countrywide Associate Director for OCIEs Investment decision Adviser/Investment Company Examination Program. He will assume his new accountabilities immediately and continue within his former role until the successor is in place.
Came is an outstanding professional by using a valuable combination of technical expertise, industry perspective, and leadership and management skills. In his little while at the Commission, he has revealed excellent teamwork and collaboration across the SEC and with other regulators, said OCIE Director Carlo di Florio.
OCIE performs inspections and examinations of SEC-registered investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, as well as transfer agents. In the past two years, OCIE has adopted a risk-focused exam program, hired industry experts, geared technology to increase efficiency, and launched a training program focused on quality and consistency. These kind of initiatives have enabled OCIE for you to more effectively fulfill its pursuit to promote compliance with Anyone.S. securities laws, avert fraud, monitor risk, as well as inform SEC policy.
Seeing that Deputy Director, Mr. Bowden will work tightly with Mr. di Florio on OCIEs technique, governance structure, risk-based exam course of action, training programs, and technological know-how, and will continue to co-chair OCIEs People Committee, which focuses on training, teamwork, and other initiatives to maintain a new high-performance culture.
I am grateful for this possibility to work more broadly having colleagues in OCIE and to carry on the assessment and improvement initiatives instituted by Carlo and also the OCIE National Leadership Team over the last two years, said Mr. Bowden.
Previous to joining the SEC, Mister. Bowden worked in private legislation practice, chiefly on authorized,justin bieber supra, regulatory, and compliance concerns involving broker-dealer activities. He invested 17 years at Legg Builder, Inc. in a variety of legal, concurrence, and senior business roles related to Legg Masons broker-dealer and investment management businesses and served about the Board of Governors and Exec Committee of the Investment Advisers Association.
Mr. Bowden received his / her law degree,women supra, cum laude, on the University of Pennsylvania Regulation School and his bachelors diploma, summa cum laude, from Loyola University in Baltimore.
September 17th, 2012 - 05:27pm
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