John P. Noonan

About John P. Noonan

Navigating complex securities laws requires sharp legal insight, strategic thinking, and…

Experience

1. Attorney-adviser, Division of Examinations

   U.S. Securities And Exchange Commission

   May 2020 — Present · Chicago, IL, US

   I provide critical legal analysis and recommendations to safeguard the integrity of U.S. securities markets. I advised management on examinations of key market participants, including broker-dealers, investment advisers, national securities exchanges, clearing agencies, plan processors, and a registered securities association, to assess their compliance with the federal securities laws.Key Achievements and Responsibilities:• Spearheaded comprehensive compliance reviews, analyzing registrants’ policies, procedures, and internal controls; interviewing registrant personnel; and identifying regulatory deficiencies where registrants failed to achieve regulatory compliance.• Led the drafting of high-impact enforcement referrals that translated examination findings into actionable litigation matters, including a referral that directly resulted in a cease-and-desist order and a large civil penalty settlement — exemplifying my ability to bridge regulatory review and successful enforcement litigation.• Strengthened the legal precision of examination outcomes by collaborating with teammates to ensure that all identified deficiencies were legally sufficient and using strong legal research and writing skills to communicate findings, demonstrating sound judgment and precision in applying complex securities law principles.• Advised on cutting-edge regulatory issues, by applying critical thinking skills to emerging issues, including developing and examining an artificial intelligence (AI) compliance framework and examining cloud migration, T+1 implementation, blockchain implementation, and cybersecurity risks (such as ransomware and supply-chain attacks).• Developed and delivered trainings for SEC staff on significant topics

Education

• St Mary’s University, Twickenham

  Post Graduate Certificate, International Business Practice

• Georgetown Law

  Master of Laws - LLM, Securities and Financial Regulation

• Stetson University College of Law

  J.D., Concentration in Advocacy

  2010 — 2013

• Creighton University

  B.A., History and Economics

Skills

• Research
• Legal Writing
• Hearings
• Fraud Investigations
• Public Policy
• Insurance
• Policy Analysis
• Government
• Nonprofits
• Powerpoint
• Microsoft Excel
• Civil Litigation
• Editing
• Community Outreach
• Courts
• Trials
• Criminal Law
• Securities Regulation
• Securities
• Fraud
• Public Speaking
• Microsoft Office
• Legal Research