Director of Investment Surveillance
Ken has extensive experience in Compliance, Risk Management and Auditing. At ARS, Ken is responsible for all the financial and operational aspects of the firm. He provides support on Cyber Security and is the Editor of our firm’s Compliance Bulletins provided to our clients. Ken oversees the Registered Investment Advisors (RIA) Group and manages ADV updates and the Code of Conduct/Ethics reviews. Finally, Ken oversees the Surveillance Team and is responsible for implementing the surveillance programs for ARS clients.
Prior to joining ARS, Ken was Vice President, Portfolio Risk Manager in Brown Brothers Risk Management Group responsible for portfolio regulatory and client investment guideline compliance. He previously held the position as Director of Investment Surveillance Compliance at Lord, Abbett & Co. for ten years. At Lord Abbett, Ken was responsible for portfolio investment guideline and trading compliance for Lord Abbett’s family of funds, subadvised funds and institutional accounts.
Ken has also held various compliance and audit positions with New York Life Investment Management, Credit Suisse Asset Management, Chase Asset Management and Chase Manhattan Bank.
Ken received his BA in Business with a concentration in Finance from Stockton University.