Jaime Klima

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Jaime Klima
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Occupation Chief Regulatory Officer
Employer NYSE Group
Location Washington, D.C.
LinkedIn Profile

Attorney Jaime Klima is the chief regulatory officer of NYSE Group, responsible for its independent regulatory unit, NYSE Regulation. She was named to the position in December 2020 and will assume the role in January 2021.

At NYSE Group she will lead a team of more than 100 attorneys and professionals who are charged with monitoring and enforcing issuers’ compliance with listing standards, members’ compliance with relevant exchange rules and federal securities laws, and exchanges’ compliance with self-regulatory organization obligations. [1]

Background

Previously, Klima was chief of staff and chief operating officer of the Commodity Futures Trading Commission, named to the position in July 2019. In that role she served as Former Chairman Heath Tarbert’s lead advisor on legal, policy, and administrative matters. She also managed the daily operations of the CFTC, overseeing a staff of about 1,000 in four offices across the country. In addition, she was the chairman’s deputy representative to the Financial Stability Oversight Council. [2][3]

Before joining the CFTC, Klima served as chief counsel to Securities and Exchange Commission Chairman Jay Clayton. She was named to that post in May 2017, after serving as the SEC co-chief of staff under then acting chairman Michael Piwowar.[4]

Prior to that, she served as counsel to SEC Commissioners Piwowar and Commissioner Troy A. Paredes.

Before joining the SEC, she worked at Wilmer Cutler Pickering Hale and Dorr LLP, specializing in broker-dealer compliance and regulation. She also clerked for the Judge Richard Lowell Nygaard of the U.S. Court of Appeals for the Third Circuit.

Education

Klima earned her juris doctor, cum laude, from Duke University School of Law, a master of public policy, also from Duke, and an undergraduate degree in systems engineering, with distinction, from the University of Virginia.

References

  1. Intercontinental Exchange Appoints Jaime L. Klima as Chief Regulatory Officer of NYSE Group. theICE.com.
  2. Jaime Klima to Serve as Chief of Staff and Chief Operating Officer of the CFTC. CFTC.
  3. New CFTC chairman makes key office appointments. Hedgeweek.
  4. SEC Names Jaime Klima Chief Counsel. SEC.
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