OCC announced today that Richard Wallace has joined OCC as Senior Vice President and Chief Compliance Officer.
Mr. Wallace comes to OCC from Foley & Lardner LLP in Washington, DC where he was a partner. His practice concentrations there included representing securities broker-dealers, hedge funds, mutual funds, and investment advisers and their employees in SEC and FINRA investigations and disciplinary proceedings. Previously, Mr. Wallace served as Vice President and Chief Counsel in FINRA’s Market Regulation Department. Additionally, he has served as a Branch Chief and Attorney with the SEC’s Division of Enforcement. Mr. Wallace holds a degree in Political Science and a Juris Doctorate degree from University of California, Berkeley.
“It is a pleasure to welcome Richard to OCC,” said Wayne P. Luthringshausen, OCC Chairman and CEO. “Richard’s proficiency in securities law and regulation qualifies him as a fine fit to lead OCC’s compliance department in the new and continually evolving regulatory environment.”