Ken C. Joseph, Esq. is the Associate Director in charge of the U.S. Securities and Exchange Commission’s Investment Adviser/Investment Company Examination Program in the New York Regional Office. Ken joined the Office of Compliance Inspections and Examinations (OCIE) earlier this month after almost sixteen years with the SEC’s Division of Enforcement, serving most recently as an Assistant Director in the Asset Management Unit.
Ken joined Commission in 1996 after graduating from the University of North Carolina at Chapel Hill School of Law. Ken also holds a Bachelor of Science degree, a MBA in Marketing Management, and a post-MBA Advanced Professional Certificate in International Finance from St. John’s University, New York. He worked previously as an Associate Dean at St. John’s, a project manager in the financial services industry, and as a unit leader in the municipal bond department of a Wall Street firm.
During his tenure with the Division of Enforcement, Ken was responsible for investigations or enforcement actions involving financial fraud, auction rate securities, subprime securities, credit default swaps, reinsurance transactions, hedge funds, private equity funds, ponzi schemes, special purpose entities, auditors, investment advisers, investment companies, self-regulatory organizations, transfer agents, and broker-dealers, among others.
In his current role, Ken leads a staff of approximately 100 examiners, accountants, attorneys and support staff involved in the examination of investment companies and investment advisers in New York and New Jersey.