Aggregated News From Investment Management Regulators

Peter Uhlmann, Managing Executive in the Office of the Chairman, to Assume New Role at the Agency


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The Securities and Exchange Commission today announced that Peter Uhlmann, Managing Executive in the Office of Chairman Jay Clayton, will assume a new role in the agency’s Office of Compliance Inspections and Examinations (OCIE).

For the past three years, Mr. Uhlmann has served as a lead adviser to the Chairman on matters related to agency administration, operations, and management and served as the Office of the Chairman’s primary liaison to all SEC divisions and offices on these matters. During his tenure, he led agency-wide initiatives to promote effective and responsive internal operations, including creating new risk and data management offices, improving the agency’s cybersecurity posture, and adopting a new Collective Bargaining Agreement.

Later this month, Mr. Uhlmann will join OCIE’s Office of Chief Counsel as Assistant Director for Compliance, where he will oversee internal compliance, ethics, and operational risk management efforts for the SEC’s National Exam Program and its more than 1,000 employees.

“From the beginning of my tenure, Pete, with his deep knowledge of the Commission’s operations, mission and its people, has been an invaluable resource,” said Chairman Jay Clayton. “His advice and counsel over the last three years have been critical to implementing numerous initiatives to improve the functioning of the Commission. I am thankful to him for contributing his expertise and good judgment to the agency as Managing Executive, and I am pleased that he will continue to serve America’s investors and markets in his new role.”

“I am grateful to have had the opportunity to assist Chairman Clayton and other agency operational leaders over the last three years,” said Mr. Uhlmann. “I am excited to be joining Pete Driscoll and the OCIE team, and I look forward to contributing to the office’s critical work to protect investors and ensure market integrity.”

Mr. Uhlmann is the agency’s longest-serving operational executive.  Among other roles in his 15-year career at the SEC, he has served as Chief of Staff to former Chairman Christopher Cox and Managing Executive of the SEC’s Division of Corporation Finance.

Mr. Uhlmann earned his B.A. from Yale University.

Regulator Information

Abbreviation: SEC
Jurisdiction: United States

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