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Overview

Ken has dedicated his career to serving clients as a compliance professional, attorney, C.P.A., and manager. He has deep experience in the compliance/risk and legal fields, with overall oversight of functions as a chief compliance officer and chief legal officer.

Immediately prior to joining Calfee in 2024, Ken was a Senior Principal Consultant for a large, international governance, risk, and compliance (GRC) consulting firm in the financial services industry, working with Registered Investment Advisers (domestic and foreign) and Registered Investment Companies, establishing compliance programs and providing counseling regarding regulatory requirements, including pertaining to alternative investment vehicles and ETFs. He also served as an outsourced chief compliance officer.

Ken’s earlier career also emphasized compliance functions: with chief compliance officer and general counsel roles in the investment management industry, including serving as a group compliance manager for a Tier 1 bank; as the Director of Finance for the Hamilton County (Cincinnati), Ohio Auditor’s office; and via experience at large, full-service law firms in Cincinnati and Anchorage, Alaska.

Prior to law school, Ken began his career with a Fortune 100 company’s international corporate financial audit department (a financial-management training program), and later initially entered the investment management industry as a mutual funds administrator.

Upon graduating from law school, Ken served as a Clerk to Chief Justice Allen T. Compton of the Alaska Supreme Court.

Education

J.D., Master of Arts in Public Policy; Duke University, 1994

  • Alaska Law Review, Editor-in-Chief
  • Moot Court Board

B.B.A. (with distinction) in (1) Accounting and (2) Management Information Systems Analysis & Design; University of Wisconsin-Madison, 1986

Certified Public Accountant (Ohio), 1991

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Clerkships

  • Alaska Supreme Court, Clerk to Chief Justice Allen T. Compton

Licensed In

  • Ohio
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