Thomas Schaefer
About Thomas Schaefer
Thomas Schaefer is a Securities Compliance Examiner at the U.S. Securities and Exchange Commission, where he has worked since 2013. He holds a Bachelor of Business Administration from the University of Wisconsin-Milwaukee and studied at the Wharton School.
Work at U.S. Securities and Exchange Commission
Thomas Schaefer has served as a Securities Compliance Examiner at the U.S. Securities and Exchange Commission (SEC) since 2013. In this role, he is responsible for overseeing compliance with federal securities laws and regulations. His work involves examining financial firms and ensuring that they adhere to the rules set forth by the SEC. Based in Washington, D.C., Schaefer has accumulated over 11 years of experience in this position, contributing to the SEC's mission of protecting investors and maintaining fair, orderly, and efficient markets.
Education and Expertise
Thomas Schaefer studied at the Wharton School from 2006 to 2008, where he gained advanced knowledge in finance and business management. Prior to this, he earned a Bachelor of Business Administration from the University of Wisconsin - Milwaukee, completing his degree from 1996 to 2000. His educational background provides a strong foundation for his work in securities compliance, equipping him with the necessary skills to navigate complex financial regulations.
Previous Work Experience
Before joining the SEC, Thomas Schaefer held various positions in the financial sector. He worked as a Financial Advisor at American Express from 1999 to 2001, where he provided financial guidance to clients. Following this role, he served as Vice President and Compliance Officer at Vision Investment Services Co. SAOC from 2005 to 2007. In this capacity, he was responsible for ensuring compliance with regulatory standards, further enhancing his expertise in the field of financial compliance.