With more than 20 years experience providing services to investment managers, broker-dealers, mutual funds/private funds and bank wealth management divisions, Kevin has experience as in-house and outside legal compliance counsel at banks and investment organizations.

Before joining DCS, he served as chief compliance officer and chief legal officer for various investment advisers, broker-dealers, private fund advisers, municipal advisers, mutual funds and bank trust/wealth management divisions. He was also the compliance solutions managing director at a law firm.

Kevin created and implemented a program for the outsourcing of chief compliance officer services for investment advisers and municipal advisers, creating Advisers Act and various state required compliance policies and procedure manuals, all ancillary documents necessary for advisers and compliance calendar/monitoring and testing programs. He has spoken at various conferences, including NAPFA Symposiums in Boston, New York, Washington, D.C. and Philadelphia, on topics such as: index annuities; distribution of insurance products through banks; compliance issues for investment advisers; compliance update and frequent compliance mistakes made by investment advisers; and cybersecurity.

Bar Admissions

Ohio

U.S. District Court for the Southern District of Ohio

Education

• University of Cincinnati College of Law (J.D., 1991)
• Miami University (B.A., 1988)

• Cincinnati Bar Association

• OCIE Observations: Investment Adviser Compliance Programs

  By Kevin Woodard |November 2020

• OCIE RISK ALERT: Supervision, Compliance, and Multiple Branch Offices

  By Kevin Woodard |November 2020