Jennifer McCarthy

Chief Counsel, Division of Examinations
U.S. Securities and Exchange Commission

Jennifer McCarthy is the Chief Counsel of the SEC’s Division of Examination.  In this role, Jen advises the Division’s senior leadership on legal and policy issues and provides legal counsel for examination staff across the program.  Before joining the Office of Chief Counsel, Jennifer worked in the examination group responsible for overseeing broker-dealers’ compliance with the SEC and FINRA rules.  Jen has played a key role in several regulatory initiatives, including setting examination policy, developing an internal compliance function, working with international regulators, the Dodd Frank legislation, and follow-up rules and regulations.   Jennifer also served as a secondee to the UK Financial Services Authority.  Prior to joining the SEC, Jennifer was an Associate in the Corporate and Securities practice at DLA Piper. She received her BA from The College of William and Mary and a JD from the George Washington University School of Law.

Jennifer McCarthy will be speaking at:

Compliance and Examinations

2024/10/14 15:20 - 16:20

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