Jim Reese

Jim Reese is Senior Vice President of Examinations for Member Supervision at FINRA. In this role, Mr. Reese leads the Exam Program’s strategic direction and execution, drives continuous improvement, and manages key stakeholder relationships. For the past three years, Jim led the Strategic Intelligence and Analytics team, driving the use of analytics and data across Member Supervision and bringing together intelligence teams and subject matter experts to further share risk and threat intelligence internally and with member firms. His expertise in identifying risk patterns from data has been crucial in developing the Financial Intelligence Fusion Center under the FINRA Forward Initiative, which will facilitate timely, actionable intelligence sharing with our member firms. Among other MS and FINRA wide initiatives, Jim’s efforts led to the creation of the Model Risk Oversight unit and he also helped co-lead FINRA’s Enterprise Goal of developing regulatory responses to Broker-Dealer/Investment Adviser (BD/IA) and retail investor trends. Prior to joining FINRA in May 2022, Jim was the Chief Risk and Strategy Officer for the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations. In that role, he led a multidisciplinary unit of staff responsible for enhancing the division’s ability to identify and target firms and practices that present the greatest risks to investors, markets and capital formation. During his 23-year tenure at the SEC, he served in a variety of roles analyzing risk to investors and the markets. Jim earned a B.A. in Business from Virginia Wesleyan University and is a Certified Fraud Examiner (CFE).