Adam established and leads the SEC’s Event and Emerging Risks Examinations Team (EERT) in the Division of Examinations. EERT is an office established to proactively engage with financial firms about emerging threats and current market events and quickly mobilize to provide expertise and resources when critical matters arise. EERT helps to ensure, through examinations and other firm engagement and monitoring activities that firms are better prepared to address exigent threats, incidents, and emerging risks.
EERT will also provide expertise and support in response to significant market events that could have a systemic impact or that place investor assets at risk. EERT also focuses on published exam priorities, which includes examinations of new and emerging technologies, including the use of Alternative Data and AI. Previously Adam served as Senior Advisor to the Director of the Division where he focused on risk, strategy and innovation.
Earlier, Adam served as the Commission’s first-ever Managing Executive and Chief Operating Officer of the Division of Enforcement, where he was instrumental in the Division’s most significant restructuring in the Division’s history. Adam has also held several key executive roles in the private sector, including Chief of Staff and Chief Operating Officer of Legal and Compliance at Marsh & McLennan Companies and Vice President of the Business Intelligence Group at Goldman Sachs. Adam has an MBA from NYU Stern School of Business and his undergraduate degree from the University at Buffalo.