Christian L. Broadbent

About Christian L. Broadbent

I have 25 years of experience in financial regulation and expertise in asset management from legal, compliance, and operational perspectives. During my tenure at the U.S. Securities and Exchange Commission (SEC), I have held positions of increasing responsibility. I served on the SEC\'s executive staff, including as Senior Advisor to the Chair and Senior Counsel to the Commissioner. In these roles, my portfolio included multiple regulatory areas. As the first Chief Counsel of the Office of Credit Ratings, and in my current role as Senior Special Counsel in the Division of Investment Management\'s Office of Analytics, I have provided legal and compliance services to operationalize the offices’ functions. I have also held positions involving specific SEC initiatives. For example, as the Alternate Designated Federal Officer, I worked closely with the Director of the Division of Investment Management and with private industry experts on the Asset Management Advisory Committee.

Experience

1. Senior Special Counsel, Division of Investment Management

   U.S. Securities And Exchange Commission

   Aug 2017 — Present · Washington, DC, US

   Analytics Office

Education

• Barrett, The Honors College

  B.S. (summa cum laude), Economics; International Business

  1992 — 1996

• Duke University School of Law

  J.D. (cum laude); LL.M. (international and comparative law)

  1996 — 1999

• The University of Hong Kong

  International Law and Legal Studies

  1997 — 1997