Jacob Sandoval, Cfa, Cpa, Abv, C AI A
About Jacob Sandoval, Cfa, Cpa, Abv, C AI A
Jacob Sandoval is the Branch Chief of the Division of Investment Management at the U.S. Securities and Exchange Commission, where he specializes in investment company accounting and regulatory compliance. He has extensive experience in reviewing filings and utilizing data analytics to enhance financial reporting in the investment sector.
Current Role at U.S. Securities and Exchange Commission
Jacob Sandoval serves as the Branch Chief in the Division of Investment Management, Disclosure Review and Accounting Office at the U.S. Securities and Exchange Commission (SEC). He has held this position since 2016, contributing to the oversight and regulation of investment companies. His role involves reviewing and advising on various filings, ensuring compliance with relevant regulations and accounting standards. Sandoval utilizes data analytics to identify trends and risk areas within financial reporting, enhancing the SEC's ability to monitor the investment management industry.
Previous Experience at U.S. Securities and Exchange Commission
Prior to his current position, Jacob Sandoval worked at the U.S. Securities and Exchange Commission from 2015 to 2016. During this year, he was involved in the Division of Investment Management, focusing on disclosure review and accounting matters. His experience during this period laid the groundwork for his current responsibilities and provided him with a comprehensive understanding of the regulatory landscape for investment companies.
Professional Background at PwC
Jacob Sandoval worked as a Manager at PwC from 2009 to 2015. In this role, he gained significant experience in auditing and consulting for registered funds. He was responsible for reviewing Certified Shareholder Reports of Registered Management Investment Companies filed on Form N-CSR and Business Development Companies filed on Form 10-K. This experience contributed to his expertise in financial reporting and compliance within the investment management sector.
Education and Expertise
Jacob Sandoval holds a Bachelor of Science in Accounting from Regis University and a Master of Science in Data Analytics from the University of Maryland Global Campus. His educational background provides him with a strong foundation in accounting principles and data analysis, which he applies in his current role. Sandoval is knowledgeable about Generally Accepted Accounting Principles for Investment Companies under ASC 946 and Regulation S-X, as well as SEC No Action Letters and related guidance.
Specialization in Investment Management
Jacob Sandoval specializes in various fund types, including liquid alternative funds, fund of hedge funds, and complex bond funds. His career has focused on reviewing and advising on filings such as Forms 10-12G, N-1A, N-2, N-14, N-CEN, and N-PORTs. Sandoval is also familiar with accountants' consents and expertization language used in these filings, making him a key resource in the regulatory framework governing investment companies.