Jim Reese

Jim Reese is Senior Vice President of Examinations for Member Supervision at FINRA. In this role, Mr. Reese oversees the Exam Program’s strategic direction and execution, drives continuous improvement, and manages key stakeholder relationships. 

Mr. Reese previously led Member Supervision’s Strategic Intelligence and Analytics team. This group—comprised of data analysts, risk and intelligence specialists and data scientists—is responsible for providing proactive and strategic intelligence throughout Member Supervision and to the industry in support of investor protection and market integrity.  StratIntel also supports FINRA’s regulatory programs and member firms in identifying, assessing, and responding to emerging risks and threats

Prior to joining FINRA in May 2022, Mr. Reese 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.

Mr. Reese earned a B.A. in Business from Virginia Wesleyan University and is a Certified Fraud Examiner (CFE).