Kathleen Malone is an attorney and a managing director at Duff & Phelps in the Compliance and Regulatory Consulting practice. Kathleen joined Duff & Phelps in January 2016 as a result of Duff & Phelps’ acquisition of CounselWorks.

Kathleen has worked with a number of private fund managers in registering them with the appropriate regulatory authority, establishing compliance programs, identifying and addressing risks and conflicts, conducting mock regulatory examinations and assisting with regulatory examinations and inquiries. In addition, Kathleen has assisted a number of broker-dealers with their regulatory needs from registration, to ongoing compliance support, FINRA examination support, as well as the testing of their compliance programs.

Prior to joining CounselWorks, Kathleen worked at the U.S. Securities and Exchange Commission in the Office of Compliance Inspections and Examinations.

During Kathleen's more than seven year tenure at the SEC, she worked in the New York and Boston Regional Offices, where she participated in numerous, registered investment company, registered investment adviser and broker-dealer examinations. Throughout her tenure at the SEC she participated in examinations of a wide variety of registered entities including hedge funds, mutual fund complexes, investment advisers and jointly registered investment advisers and broker-dealers.

Prior to joining the SEC, Kathleen was a senior compliance examiner at the Financial Industry Regulatory Authority. Ms. Malone earned her B.S. in Finance from Villanova University and her Juris Doctorate from Seton Hall University School of Law.

 

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