Chief Risk and Strategy Officer, Office of Risk and Strategy, Division of Examinations, U.S. Securities and Exchange Commission

Hane L. Kim is the Chief Risk and Strategy Officer for the SEC’s Division of Examinations, leading the Division’s risk assessment, market surveillance, large firm monitoring, and quantitative analysis teams.  The Office of Risk and Strategy provides operational risk management and organizational strategy for the Division. 

Previously, Ms. Kim held multiple roles with the SEC’s Division of Enforcement.  Most recently, she was the Chief of the Enforcement Division’s Retail Strategy Task Force.  The task force leverages institutional knowledge, data analytics, and technology to develop proactive, targeted initiatives that identify misconduct impacting retail investors.  Ms. Kim played a lead role in conceiving, implementing, and overseeing several of the Division of Enforcement’s most high profile initiatives, and successfully advanced several important policy-related initiatives that benefited retail investors.  Ms. Kim received the Chair’s Award for Excellence in 2023 and 2022 and the Chair’s Award for Investor Protection in 2021. 

Before the SEC, Ms. Kim was in private practice focusing on securities litigation and transnational litigation.  Ms. Kim received her law degree, with honors, from the University of Chicago, and her undergraduate degree from Dartmouth College.