The Securities and Exchange Commission (SEC) announced that Maurya C. Keating has been named an Associate Regional Director for the Investment Adviser and Investment Company examination program in the agency’s New York Regional Office. She will join the agency later this month.
Ms. Keating most recently served as a Lead Director/Vice President & Associate General Counsel of AXA Equitable Life Insurance Co., where she spent the past 13 years. She also served as Investment Advisor Chief Compliance Officer for the firm’s retail platform. During her tenure at AXA, Ms. Keating focused on securities, investment advisory, and insurance legal matters, had overall responsibility for the firm’s compliance program, and managed its on-site SEC and FINRA examinations. Prior to joining AXA, Ms. Keating served as Associate General Counsel at New York Life Insurance Co., where she specialized in compliance, legal, and regulatory matters.
Maurya brings enormous talent, many years of industry experience, and a widely diversified array of accomplishments to the SEC,” said Marc P. Berger, Director of the SEC’s New York Regional Office. “I am excited to have the opportunity to work with her as she applies her substantial skills to help lead New York’s talented and dedicated examination team.
I am delighted to welcome Maurya to the team,” added Pete Driscoll, Director of the Office of Compliance Inspections and Examinations. “The New York region is responsible for more than 2,800 registered investment advisers with more than $18 trillion in assets under management and over 200 investment company complexes. Maurya’s significant industry experience and leadership skills will be an invaluable addition to the National Examination Program.
Ms. Keating commented:
I am honored and excited to join the SEC and the New York Regional Office, and to work with the talented and dedicated staff. Having worked in the industry for many years, I have developed a deep respect for the work of the Commission and staff and look forward to contributing to advancing its mission.
Ms. Keating earned her Bachelor of Arts and Master of Arts degrees from The Catholic University of America and her Juris Doctorate degree from St. John’s University School of Law.