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James Reese

James Reese

Vice President, FINRA

Jim Reese is Vice President of Data Analytics for Member Supervision at FINRA.  Jim joined FINRA in May 2022, having spent over 23 years in the U.S. Securities and Exchange Commission’s Division of Examinations.   For the past 5 years, Jim was the Division’s Chief Risk and Strategy Officer.  In that role, he led a multi-disciplinary unit of staff that were 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.  At FINRA, Jim is part of Member Supervision’s Analytics, Innovation and Solutions program and leads data analytic teams focused on leveraging advanced analytics and data science to deliver risk-based intelligence and models to Member Supervision and other key Regulatory Operations groups.  Jim holds a BA degree in Business from Virginia Wesleyan University and is a Certified Fraud Examiner (CFE).