FacultyFaculty/Author Profile

Kathleen Kelly

US Securities and Exchange Commission
Special Counsel, Cross Border Supervisory Cooperation
Washington, DC, USA

Kathleen Kelly is Senior Special Counsel for Supervisory Cooperation in the United States Securities and Exchange Commission’s (SEC) Office of International Affairs(OIA). In this capacity, she facilitates cooperation and information-sharing between SEC examination staff and foreign securities regulators in connection with the day-to-day oversight of globally active entities. Ms. Kelly also advises SEC staff during examinations of foreign-domiciled SEC registrants, assists in international enforcement matters and provides technical assistance to securities regulators in foreign jurisdictions. Ms. Kelly previously served as OIA’s Branch Chief for Regulatory Policy, where she worked on policy initiatives related to international securities regulation, with a focus on OTC derivatives. Ms. Kelly also served as Senior Counsel in the SEC’s Office of Compliance, Inspections and Examinations, where she conducted audits of the regulatory programs of national stock exchanges and the Financial Industry Regulatory Authority.

Prior to joining the Commission, Kathleen was an Associate at Friedman, Wittenstein and Hochman, a litigation law firm in New York City. Kathleen also served as the National Office Director at the Irish American Unity Conference, a non-profit organization that supported the peaceful resolution of the conflict in Northern Ireland.

Kathleen graduated from the American University, Washington College of Law and School of International Service with a Juris Doctor and a Masters in International Affairs. She completed her undergraduate studies at Binghamton University and the London School of Economics.

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