FacultyFaculty/Author Profile
Ken C. Joseph

Ken C. Joseph

U.S. Securities and Exchange Commission
Associate Regional Director, Investment Management, New York Regional Office
New York, NY, USA


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) in July 2012, 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.  He is admitted to the Bar in the states of New York and Connecticut, as well as in the Southern District of New York and the Eastern District of New York.  Ken 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 was also awarded Certificates for completion of programs in the “Strategic Management of Regulatory and Enforcement Agencies” by Harvard University, John F. Kennedy School of Government, Executive Education, and in “Securities and Financial Regulation” by SEC University in conjunction with Georgetown University Law Center.

He worked previously as an Associate Dean at St. John’s University, as 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 in the National Examination Program, Ken leads a team of over 110 examiners, accountants, attorneys and support staff who are responsible for examining SEC-registered investment advisers and investment companies located in New York and New Jersey.  Ken has also participated in SEC-sponsored technical assistance missions to securities regulators in emerging markets in the Caribbean and Nigeria.

Ken C. Joseph is associated with the following items:
Web Segment  Web Segment Compliance Challenges for SEC-Regulated Private Funds - Private Fund Regulatory Developments and Compliance Challenges 2017, Thursday, January 12, 2017
MP3 Audio  MP3 Audio Compliance Challenges for SEC-Regulated Private Funds - Compliance Challenges for SEC-Regulated Private Funds, Thursday, January 12, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance Challenges for SEC-Regulated Private Funds - Compliance Challenges for SEC-Regulated Private Funds, Thursday, January 12, 2017
On-Demand Web Programs  On-Demand Web Programs Private Fund Regulatory Developments and Compliance Challenges 2017, Tuesday, January 24, 2017, New York, NY
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