Jeremiah Williams, Senior Counsel in SEC’s Asset Management Unit, Joins Ropes & Gray in Washington, D.C.

In The News
May 9, 2016

Global law firm Ropes & Gray today announced the arrival of Jeremiah Williams as counsel in the firm’s Washington, D.C. securities and futures enforcement practice.

Mr. Williams joins Ropes & Gray from the Securities and Exchange Commission, where he served as senior counsel in the Asset Management Unit, a group that investigates potential misconduct involving registered investment companies and private funds, with a particular focus on violations of the Investment Advisers Act and Investment Company Act.

Clients across the financial services industry will benefit from Mr. Williams’ understanding of enforcement priorities. He has a keen awareness of the Commission’s activity, having led many complex investigations involving investment advisers and funds. Mr. Williams managed cases involving a wide range of legal issues, including risk disclosures, valuation policies, principal trading rules, and anti-corruption obligations. He also played a key role in an investigation of retrocessions and share class practices, resulting in a landmark $267 million settlement.

Prior to joining the SEC, Mr. Williams spent five years in private practice in Washington, D.C., and also six years in the financial sector, first as a vice president for Bank of America’s Financial Engineering Group, and then as a vice president for equity derivative sales at Goldman Sachs & Co. Mr. Williams holds the Chartered Financial Analyst (CFA) designation. His private sector experience will prove invaluable to clients who are facing regulatory scrutiny.

Mr. Williams holds a J.D., cum laude, from Harvard Law School, where he served as an editor for two law journals. He received his M.B.A. with a concentration in financial engineering from the Massachusetts Institute of Technology Sloan School of Management, and his B.A. in economics from Yale University. Mr. Williams also served as a law clerk to Hon. Ellen S. Huvelle in the U.S. District Court for the District of Columbia. 

“The attorneys in Ropes & Gray’s securities enforcement practice have demonstrated an outstanding ability to handle complex and cutting-edge enforcement matters,” said Mr. Williams. “Given the SEC’s increased focus on the asset management industry, it’s an important time for investment advisers and financial services firms to receive experienced and confident counsel.”