Washington D.C., Oct. 29, 2019 — The Securities and Exchange Commission today announced that Natasha Vij Greiner has been named Associate Director in its Office of Compliance Inspections and Examination’s (OCIE) investment adviser and investment company examination program. Ms. Greiner will be responsible for leading the Washington, DC-based investment adviser and investment company examination office. This new position was created to oversee and direct the work of the approximately 40 lawyers, accountants, and examiners whose primary responsibility is to conduct examinations of offshore SEC registrants and support National Examination Program initiatives throughout the country.
Ms. Greiner has served in various roles at the SEC for the past 18 years, including recently as Acting Chief Counsel and Assistant Chief Counsel in the Division of Trading and Markets where she provided legal and policy advice to the Commission on rules affecting market participants and the operation of the securities markets. Prior to joining the Division of Trading and Markets, Ms. Greiner spent almost a decade in the SEC’s Division of Enforcement, including in its Asset Management Unit, where she investigated possible violations of the federal securities laws and litigated civil enforcement proceedings in federal district court and administrative proceedings. Ms. Greiner began her career at the SEC in OCIE where she conducted examinations of broker-dealers.
“Natasha is an experienced and thoughtful leader with a deep well of regulatory knowledge,” said OCIE Director Peter Driscoll. “Her extensive experience in securities regulation, including international cooperative efforts, and demonstrated ability to resolve complex issues will be extremely valuable to OCIE in fulfilling our mission.”
Ms. Greiner said, “I am truly honored and excited to return to OCIE to work with the dedicated and talented staff in the IA/IC examination program. I have developed a deep respect for the work of the Commission and look forward to continuing to advance its mission of protecting investors and enforcing the federal securities laws.”
Throughout her career at the SEC, Ms. Greiner has been consistently recognized for her outstanding achievements and efforts, resulting in numerous awards, including the Chairman’s Award for Serving the Interests of Main Street Investors in 2019, the Chairman’s Award for Excellence in 2018 and 2015, and the Chairman’s Capital Markets Award in 2001.
Ms. Greiner earned her J.D. from The Catholic University of America, Columbus School of Law. She graduated cum laude with a Bachelor of Science degree from James Madison University.
OCIE conducts the SEC’s National Examination Program through examinations and inspections of SEC-registered investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies and other self-regulatory organizations. 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.
