Andy Green
About Andy Green
Andy Green is a Senior Compliance Examiner at the U.S. Securities and Exchange Commission, where he prepares deficiency letters and supports enforcement efforts. He has extensive experience in compliance examination, having worked in various capacities at the SEC since 2003.
Work at U.S. Securities and Exchange Commission
Andy Green has extensive experience at the U.S. Securities and Exchange Commission (SEC), serving as a Senior Compliance Examiner since 2019 in the Greater Philadelphia Area. His responsibilities include preparing deficiency letters for senior officials of examined firms and providing ongoing support to the Division of Enforcement on referred cases. He analyzes source documents and participates in sworn testimony of witnesses. Previously, he worked as a Senior Compliance Examiner in the Private Funds Unit from 2016 to 2019 and as a Compliance Examiner in the Philadelphia Regional Office from 2003 to 2016. In these roles, he led teams of compliance examiners and acted as a liaison for national initiatives.
Education and Expertise
Andy Green holds a Bachelor of Arts degree in Biology from Rutgers College, Rutgers University, which he achieved in 2001. He also studied Business Administration at Drexel University's LeBow College of Business, where he earned a Master's degree in 2003. His educational background provides him with a strong foundation in both scientific and business principles, contributing to his expertise in compliance examination and enforcement within the financial sector.
Background
Andy Green began his career at the U.S. Securities and Exchange Commission in 2003, where he served as a Compliance Examiner for 13 years. His work involved conducting examinations and ensuring compliance with regulatory standards. In 2016, he transitioned to the role of Senior Compliance Examiner in the Private Funds Unit, where he continued to develop his skills in compliance oversight and enforcement activities. His career reflects a commitment to regulatory compliance and financial oversight.
Achievements
Throughout his tenure at the U.S. Securities and Exchange Commission, Andy Green has contributed to various compliance examinations and enforcement actions. He has drafted examination scopes, examination reports, and enforcement referral memos, demonstrating his ability to analyze complex financial documents and communicate findings effectively. His leadership of teams during compliance examinations highlights his capability in managing compliance efforts and coordinating with other examiners.