Dan Harty
About Dan Harty
Dan Harty serves as the Associate Director and Chief Risk Officer for the Division of Corporation Finance at the U.S. Securities and Exchange Commission, where he assesses risks in financial markets. He has a background in agricultural economics and law, and has held various leadership roles in risk management across several financial institutions.
Current Role at U.S. Securities and Exchange Commission
Dan Harty serves as the Associate Director and Chief Risk Officer in the Division of Corporation Finance at the U.S. Securities and Exchange Commission (SEC). He has held this position since 2022, contributing to the oversight of risks associated with legal, regulatory, and market events that impact securities, derivatives, and digital asset markets. His role involves providing strategic direction and policy guidance for financial markets through comprehensive data analysis and model implementation.
Previous Experience at U.S. Department of the Treasury
Prior to his current role, Dan Harty worked at the U.S. Department of the Treasury as the Director of the Office of Capital Markets from 2019 to 2022. In this capacity, he was responsible for managing risks related to capital markets, focusing on the implications of regulatory changes and market dynamics. His experience in this role contributed to his understanding of the financial landscape and regulatory environment.
Career at PNC Financial Services
Dan Harty held multiple positions at PNC Financial Services, including Senior Vice President and Director of CIO & C&IB Compliance from 2011 to 2015, and later as Director and Chief Risk Officer for the Chief Investment Office and Treasury from 2015 to 2018. His tenure at PNC involved overseeing compliance and risk management strategies, which enhanced his expertise in financial risk assessment.
Educational Background in Agricultural Economics and Law
Dan Harty earned a Bachelor of Science degree in Agricultural Economics from the University of Illinois Urbana-Champaign in 1993. He later pursued legal studies at DePaul University College of Law, where he obtained his Juris Doctor degree in 2002. His educational background provides a strong foundation for his roles in risk management and regulatory compliance.
Experience in Market Surveillance at Chicago Board of Trade
Dan Harty began his career at the Chicago Board of Trade, where he worked as a Supervisor in the Office of Investigations and Audits, Market Surveillance from 1993 to 2001. This early experience in market surveillance equipped him with essential skills in monitoring and assessing market activities, contributing to his later roles in risk management and compliance.