Kevin is a Managing Director in Protiviti’s Internal Audit & Financial Advisory practice. Kevin brings 13 years of experience consulting in the financial services industry with an emphasis on internal audit, project management, enterprise risk management, sales practices / conduct risk, and anti-money laundering.
- Extensive experience managing co-sourcing internal audit engagements for various banks, broker-dealers, insurance agencies, and exchanges/clearing houses. Detailed audit work includes a diverse range of areas including: regulatory compliance, enterprise risk management, back office operations, financial reporting, anti-money laundering, and fraud.
- Led an independent review of sales practices risk for a top-5 US bank’s wealth management function. The project included an evaluation of controls related to all aspects of the sales practices risk lifecycle including account opening, client complaints, compensation, performance management, and overall sales culture & governance.
- Extensive experience leading or providing subject matter expertise for ERM related audits, benchmarking assessments, and design reviews for various FSI clients.
- Led an AML transformation for a large online broker-dealer, involving a complete build out of policies and procedures in response to a regulatory action.
- Led efforts to design and institute an ERM program for a leading US Stock Exchange. Efforts included assisting the organization in defining and ranking its key risks and providing guidance around setting risk appetite thresholds. Kevin oversaw the creation of a deliverable outlining steps needed for successful implementation.
- Led an outsourced AML investigation engagement for a top 10 US Bank. Kevin oversaw a large team of individuals that were responsible for executing over 3,000 AML investigations.
- Performed a comprehensive risk management benchmarking review for an international banking client focusing on enterprise, credit, regulatory, market, and operational risk.
- Led an AML production effort for a regional bank in which a team of specialists helped review several hundred AML related due diligence and investigations files in order to meet a regulatory deadline.
Areas of Expertise
Exchange / Clearinghouse
Professional Memberships and Certifications
CAMS (Certified Anti-Money Laundering Specialist)
CFSA (Certified Financial Services Auditor)
GARP (Global Association of Risk Professionals)