Professional Experience
Prior to joining Goodwin, Mr. Ji was Senior Counsel at the Division of Examinations of the U.S. Securities and Exchange Commission. There, he led SEC examinations of domestic and foreign registered investment advisers. As examinations team lead, he evaluated investment advisers, principally with regards to compliance with the Advisers Act, including registration statements and regulatory filings with the Commission, portfolio management processes and disclosures, custody, marketing and advertising materials, fees and expenses, and compliance policies and procedures. In cases where an examination escalated into an enforcement matter, Mr. Ji served as liaison between the Division of Examinations and the Division of Enforcement.
