Richard Wallace

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Richard Wallace
Richard Wallace 2013 1 resized.jpg
Occupation Former Senior Vice President and Chief Compliance Officer
Employer OCC
LinkedIn Profile
Website http://www.theocc.com

Richard Wallace was senior vice president and chief compliance officer of OCC from December 2013 to December 2016.[1].[2][3]

Background

Wallace's responsibilities included leading OCC's compliance program, working with OCC's regulators, advising OCC's board of directors and management team on compliance requirements, and records management.

Prior to joining OCC, he was a partner at Foley & Lardner LLP in Washington, D.C., where his practice focused on representing and advising securities broker-dealers, securities exchanges, and investment advisers and their employees. Previously, he was Vice President and Chief Counsel in FINRA's Market Regulation Department. Additionally, Wallace has served as a Branch Chief and Attorney with the U.S. Securities and Exchange Commission's Division of Enforcement.

Education

Wallace earned his J.D. and A.B. in Political Science from the University of California, Berkeley.

References

  1. OCC Executives. OCC.
  2. OCC Announces New Chief Compliance Officer. Options Insider.
  3. OCC Names New CFO, Treasurer, and Chief Compliance Officer. OCC.