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Head of Investment Adviser/Investment Company Exams to Leave SEC

September 18, 2017

Ken Joseph, Head of the Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office, is planning to leave the Agency after 21 years of service.


Since 2012, Mr. Joseph has led a team of over 130 accountants, examiners, attorneys, and support staff – within the Office of Compliance Inspections and Examinations (OCIE) – who are responsible for examining investment companies and investment advisers in New York and New Jersey. 


Prior to joining OCIE in 2012, Mr. Joseph spent 16 years as a Staff Attorney, Branch Chief, and Assistant Director in the SEC’s Division of Enforcement in Washington, D.C., and New York. When Enforcement was reorganized in 2010, he joined the newly formed Asset Management Unit. Mr. Joseph joined the SEC as a law clerk in 1996 after graduating from the University of North Carolina at Chapel Hill School of Law. 


In addition to his law degree, Mr. Joseph also holds a BS degree, an MBA in Marketing Management, and a post-MBA Advanced Professional Certificate in International Finance from St. John’s in 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.