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.