Published on Feb 3rd, 2016 | Posted in Articles

The Securities and Exchange Commission today announced that Jane Jarcho has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE). 

Ms. Jarcho has been the National Director of OCIE’s Investment Adviser/Investment Company examination program since 2013 and will continue in that role, overseeing approximately 600 lawyers, accountants, and examiners responsible for inspections of U.S. registered investment advisers and investment companies.  Under Ms. Jarcho’s leadership, investment adviser/investment company examinations increased more than 27 percent and targeted areas such as cybersecurity, never before examined investment advisers and investment companies, alternative mutual funds, fixed income funds, and retirement accounts.

“Jane’s commitment to investors, insight, and drive are unsurpassed,” said OCIE Director Marc Wyatt. “Her deep experience with the National Exam Program, industry knowledge, and proven managerial skills will be a tremendous asset in her new role.”

Ms. Jarcho said, “I am honored and excited to broaden my participation in OCIE’s risk-based approach to examinations and look forward to working with the entire exam staff.  I have worked alongside many of them and know they are dedicated to protecting investors by promoting compliance, informing policy, and detecting wrongdoing.”

Before being named National Director of the Investment Adviser/Investment Company examination program, Ms. Jarcho was an Associate Director of the program in the SEC’s Chicago regional office.  She began her SEC career in 1990 in the Division of Enforcement and held several positions, including Branch Chief, Senior Trial Counsel, and Assistant Regional Director, before joining OCIE in 2008.  Ms. Jarcho has a bachelor’s degree from Middlebury College and a law degree from the University of Wisconsin Law School.

OCIE conducts examinations of SEC-registered investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies and transfer agents.  It uses a risk-based approach to examinations to fulfill its mission to promote compliance with U.S. securities laws, prevent fraud, monitor risk, and inform SEC policy.