SEC Names John Moses as Deputy Director of Office of Investor Education and Advocacy

Will Lead Efforts to Promote Agency’s Increased Focus on Financial Inclusion and Outreach to Underserved Communities

Washington D.C., Dec. 21, 2020 —

The Securities and Exchange Commission today named John Moses as Deputy Director of the SEC’s Office of Investor Education and Advocacy (OIEA).   

Mr. Moses joins Mary Head, who has been Deputy Director of OIEA since 2009.  In his new role, Mr. Moses will help lead OIEA’s outreach, education, and consultation efforts, including its efforts to enhance investors’ understanding of and access to financial services.  Working with divisions and offices across the SEC, including its 11 regional offices, Mr. Moses will advance OIEA and SEC financial inclusion initiatives to support Americans, particularly in underrepresented communities, as they access the capital markets and broader financial system.  

“I greatly appreciate John taking on this important new role to lead and accelerate the SEC’s work to promote financial inclusion,” said SEC Chairman Jay Clayton.  “Throughout his service at the SEC, including as Deputy Director of the Office of Minority and Women Inclusion and as the agency’s Managing Executive, John has elevated our efforts to promote diversity, inclusion, and opportunity and to advance the interests of investors and entrepreneurs.  John understands those efforts are mutually beneficial and often go hand-in-hand.  I know John will continue to add tremendous value to OIEA and the Commission.”

“I am pleased that John is joining our dedicated team to lead the SEC’s efforts to increase financial inclusion while working with our talented OIEA colleagues focused on investor education and outreach,“ said Lori Schock, OIEA Director.  “I have worked with John in his prior roles at the SEC and know he will bring innovation, energy, and a collaborative approach to this crucial work.  He will build on our expertise in helping the public invest wisely and avoid fraud.”

“I thank Chairman Clayton for his continued leadership in promoting diversity, inclusion and opportunity at the SEC and in our capital markets,” said Mr. Moses.  “It has been an honor to work with him on a number of initiatives in these areas, including during my time as Managing Executive.  He promotes what OMWI Director Pam Gibbs calls a ‘connected culture’ in his senior team and throughout the Commission and has emphasized throughout his tenure the importance of greater financial inclusion.  Having collaborated with Lori, Mary and their team in the past, I am honored to join OIEA to further its important mission supporting America’s investors as we work to support financial inclusion efforts across the SEC.”

Prior to this role, Mr. Moses served as Managing Executive in the Office of the Chairman, where he advised the Chairman on SEC administration, operations, and management and liaised with the SEC’s divisions and offices on these matters on the Chairman’s behalf.  Previously, Mr. Moses was Deputy Director in the Office of Minority and Women Inclusion (OMWI), where he assisted OMWI Director Pam Gibbs in leading initiatives focused on the SEC workforce and supplier diversity and inclusion, such as the SEC’s Diversity and Inclusion Strategic Plan and mentoring program.

A U.S. Navy veteran, Mr. Moses’ military service includes deployments as a surface warfare officer and security team leader during Operation Iraqi Freedom.  Mr. Moses earned his undergraduate and graduate degrees from Stanford University and his MBA from Harvard Business School. 

Peter Gimbrere, currently Senior Advisor in the Office of the Chairman, will serve in the role of Acting Managing Executive.

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