SEC Names Leiman-Carbia Head of Broker-Dealer Examinations Unit
The U.S. Securities and Exchange Commission named Julius Leiman-Carbia as an associate director to lead the agency’s national broker-dealer examination program, according to a statement on its website.
Leiman-Carbia will oversee a staff of about 300 lawyers, accountants and examiners responsible for the inspections of U.S.-based broker-dealers in the unit, part of the SEC’s Office of Compliance Inspections and Examinations, according to the statement. He succeeds Mary Ann Gadziala, who retired in September, the SEC said.
“Julius is a great addition to the leadership team of the National Exam Program and brings a wealth of technical expertise and broker-dealer industry experience to this role,” OCIE DirectorCarlo di Florio said in the statement.
Leiman-Carbia, who previously worked at the SEC from 1989 to 1994 as a counsel in what was then the Division of Market Regulation, has served for the past two years as vice president for integrated supply and trading compliance for North America for BP Plc (BP/), according to the statement. He has also held legal and compliance leadership positions at Citigroup Inc. (C), JPMorgan Chase & Co. (JPM) and Goldman Sachs Group Inc. (GS), the SEC said.
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