Senior Vice President, Member Supervision
Jim Reese is Senior Vice President of Data and Analytics for Member Supervision at FINRA. Mr. Reese leads a team of data analysts, risk specialists and data scientists responsible for developing and executing innovative advanced analytics, risk and predictive models, graph and other visualizations to enable, inform and drive the efficiency and effectiveness of Member Supervision and its Regulatory Operations and Technology partners.
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 multi-disciplinary 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).