Kathleen M. Hamm

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+1 202 384 1022 direct
Washington, DC

Previous Experience

  • Counselor to the Deputy Secretary, U.S. Treasury Department
  • Board Director, National Stock Exchange, Inc.; member of the executive committee and chair of the regulatory oversight committee
  • Adviser, American Stock Exchange
  • Senior Vice President, Regulation and Compliance, Nasdaq Liffe Markets, LLC 
  • Assistant Director, SEC, Division of Enforcement 
  • Of Counsel, Wilson Sonsini Goodrich & Rosati, P.C.

Thought Leadership

  • Guest Lecturer, Columbia University School of Professional Studies
  • Panelist, “Impact of Cyber-crime on Global Financial Stability,” 4th Annual IMF Information Security Awareness Conference: Our Increasingly Digital Life (Oct. 19, 2016) 
  • Panelist, “Cities in the Crosshairs: The Case for Investing in Resilience,” Lloyd’s and American Security Project (Oct. 13, 2016) 
  • Speaker, “Update on Treasury’s Cybersecurity Initiatives,” American Bar Association Annual Meeting (Aug. 7, 2016)
  • Panelist, 3rd Annual Financial Services Cyber Security Summit (July 13, 2016)
  • Panelist, “Cybersecurity in the Age of Heightened Scrutiny of Cyber Risk Management,” 2016 Lawyers Council Spring Meeting, Financial Services Roundtable (May 5, 2016)
  • Moderator, Cybersecurity Representations and Warranties Roundtable, Treasury Department and American Bar Association (April 8, 2016) 
  • Keynote Speaker, “Driving Cybersecurity Forward through Representations and Warranties,” American Bar Association Midyear Meeting (Feb. 7, 2016)
  • Opening Remarks, “The Symbiotic Relationship between Cyber Risk Insurance and Cybersecurity: ‘A Rising Tide Lifts All Boats,’” Wiley Rein LLP Policy Roundtable, Building Assurance in Cyber Insurance: Stakeholder Roles and Responsibilities (Jan. 20, 2016)
  • Adjunct Professor, Georgetown University Law Center, teaching “Corporate Controls, Compliance, and Governance” (2008 to 2015)
  • Frequent speaker, panelist, and author on complex corporate governance, regulatory, compliance, risk management, and enforcement issues; topics include securities and corporate regulation, financial fraud, accounting and disclosure issues, auditor independence, credit rating agencies, broker-dealers, investment advisers, and market regulation and oversight

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Kathleen M. Hamm

Global Leader of Securities and Fintech Services and Senior Strategic Adviser to the CEO on Cyber Solutions

Kathleen draws on nearly 30 years of experience in business, regulation, and risk management to bring integrity, sound judgment, and creativity to solving the most pressing issues in the marketplace today. Given her deep understanding of the global financial and regulatory landscape, she excels at helping clients navigate complex matters of all types.

Experience

Kathleen rejoined Promontory in 2017 from the U.S. Treasury Department, where she served as counselor to the deputy secretary and advised on risk management and regulatory issues in the financial services sector. Kathleen also spearheaded Treasury’s development of a domestic and international cybersecurity strategy and related policy initiatives for banks and other financial firms, and delivered remarks around the globe to advise businesses on how best to compete and defend themselves in a world increasingly interconnected and under intensifying regulatory and public scrutiny.

Before she joined Treasury, Kathleen led Promontory’s securities practice for a decade, providing strategic advice and practical solutions to guide clients through complex regulatory and enforcement perils during the financial crisis and its aftermath. She also served as the independent compliance consultant in settled enforcement actions and conducted independent internal investigations.

Among her other positions, Kathleen was a director, member of the executive committee, and chair of the regulatory oversight committee for a national securities exchange, having earlier served as the chief regulatory and compliance officer at another exchange. She also spent almost a decade in the U.S. Securities and Exchange Commission’s division of enforcement, where as an assistant director she oversaw three branches that investigated hundreds of enforcement matters.



Education

  • LL.M., securities regulation, with distinction, Georgetown University Law Center.
  • J.D., with honors, Duke University School of Law
  • B.S., summa cum laude, School of Management, University at Buffalo, SUNY


Affiliations, Awards, and Civic Engagements

  • Recipient, the Treasury Medal, U.S. Treasury Department (Jan. 20, 2017) (in recognition of her service to the nation in transforming Treasury’s nascent cybersecurity efforts into a standard-bearer across the globe) 
  • Member, cybersecurity advisory panel, Center for Audit Quality
  • Member and chair of the nominating committee, board of visitors, Duke University School of Law
  • Member, Bars of the District of Columbia, California, and Arizona
  • Recipient, Thomas Bradbury Chetwood, S.J. Prize, Georgetown University Law Center, for graduating first in class


Representative Engagements

  • Conducted comprehensive reviews of governance, compliance, and supervisory controls for broker-dealers, investment advisers, exchanges, credit-rating agencies, and public companies; also provided recommendations to strengthen control environments.
  • Conducted independent, fact-finding investigations for boards of directors and executive management in connection with investigations by the SEC, Justice Department, and other government law-enforcement agencies.
  • Reviewed a self-regulatory organization’s strategic planning processes and recommended enhancements to align with best practices while also increasing effectiveness and efficiency.

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