Managing Director, Financial Services Compliance and Regulation
Ken Joseph is a Managing Director and Head of the Financial Services Compliance and Regulation Practice for the Americas at Kroll, based in the New York office. From 2018-2020, he served as Global Leader of Kroll’s Disputes Consulting Practice. He is also a fellow of the Kroll Institute, providing thought leadership on a variety of financial services and regulatory matters, as well as head of the firm’s cryptocurrency task force.
Joseph focuses on serving clients who need informed and proven strategies to successfully navigate a broad spectrum of threats arising from investigations, compliance examinations, litigation, and crisis scenarios. He has provided expert testimony and reports on various regulatory compliance and enforcement matters, counseled on multiple high-profile investigations, advised SEC-registered entities on ESG policies and practices, conducted due diligence in the context of M&A transactions, and guided innovators on various digital currency structures and proposed offerings.
He has a unique combination of front-line expertise and experience in U.S. securities law, regulatory compliance, and corporate governance, and has served with distinction for a total of over 21 years in the U.S. Securities and Exchange Commission.
Areas of expertise
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