The Securities and Exchange Commission today announced that William Royer has been named the new head of the examination program in the Atlanta Regional Office.
In his role as Associate Director of the examination program in the Atlanta office, Mr. Royer will oversee a staff of approximately 40 examiners, accountants, and attorneys responsible for examining broker-dealers, investment advisers, investment companies, transfer agents, and other SEC registrants. Mr. Royer has served as the Acting Associate Director of the Atlanta office’s exam program since June.
“Bill brings a great mix of experience in both the private and public sectors, particularly with regard to compliance and our exam process,” said Marc Wyatt, Acting Director of the Office of Compliance Inspections and Examinations. “This experience and his leadership make him well-suited for our mission to prevent fraud, promote compliance, monitor risk, and inform policy.”
Atlanta Regional Office Director Walter Jospin added, “Bill has a deep and sophisticated understanding of the capital markets. I am pleased that he will be adding his considerable talents and energy to our excellent exam program in Atlanta.”
Mr. Royer said: “I am excited and honored to be provided with this opportunity and responsibility. I have enjoyed working with the exam team in Atlanta as its Acting Associate Director over the past few months, and have witnessed directly the important work that is being done and the talented people that are doing it. I am hopeful that my experience will prove to be an asset to the program.”
Mr. Royer joined the SEC in August 2013 as an Assistant Director in the Office of Compliance Inspections and Examinations’ Office of Chief Counsel. He began his financial services career as a securities lawyer with Ropes & Gray LLP in Boston and spent more than a decade as a member and General Counsel of Grantham, Mayo, Van Otterloo & Co. LLP. He later was General Counsel at Baring Asset Management and Arrowstreet Capital L.P., and President of Foreside Compliance Services.
Mr. Royer graduated magna cum laude from the University of New Hampshire in 1987 and summa cum laude with a law degree from Boston University in 1992.