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Joy G. Thompson

April 19, 2016

Joy G. Thompson serves as Associate Regional Director of the Securities and Exchange Commission’s Philadelphia Regional Office.

Ms. Thompson oversees the office’s examination program, which is responsible for examining broker-dealers, investment advisers, investment companies and transfer agents based in Pennsylvania, Maryland, Delaware, Virginia, West Virginia and the District of Columbia. 

She originally joined the Commission as a Staff Attorney for the Division of Enforcement in the Philadelphia Office. Since that time, she has served the Commission in the positions of Special Counsel; Enforcement Branch Chief; Assistant Director for Enforcement and her current position of Associate Regional Director. On three occasions, Ms. Thompson has served as the Acting Regional Director of the Philadelphia Office and, more recently, served as Acting Deputy Director of OCIE from June 2013 through October 2014.

Prior to joining the Commission, Ms. Thompson completed a clerkship with the late William F. Hall, Jr., U.S. Magistrate, United States District Court, Eastern District of Pennsylvania, and was an Attorney-Advisor in the Office of the General Counsel of the United States General Accounting Office in Washington, D.C. She received her law degree from the University of Pennsylvania Law School and her bachelor’s degree, cum laude, from Tufts University.

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