Mark McKeever

Director, KPMG LLP

Mark is a director with more than 20 years of financial services experience including service as a senior securities compliance examiner with the SEC. His areas of concentration include a deep knowledge of the U.S. federal securities laws and regulations and their practical applications across various business models  within the public investment management, wealth management, and alternative investment industry sectors. Mark has successfully assisted clients with implementing end-to-end enterprise-wide compliance programs that result in sustainable models for performing ongoing risk assessments, regulatory requirements and controls road-mapping, and ongoing compliance monitoring and effectiveness testing.

Mark has strong knowledge of the Investment Advisors Act of 1940, Investment Company Act of 1940, OCC Reg. 9 and related OCC Handbooks and interpretive guidance, and U.S federal securities laws broadly. As a recognized leader in the practice, Mark runs engagements for major investment management firms in areas of operational due diligence, pricing and valuation governance, compliance program development, internal audit support, and fund operations and risk management. He has performed enterprise-wide regulatory risk assessment and compliance reviews of large SEC registered investment advisors which included performing gap analysis, making recommendations for control enhancements and efficiency gains, and lastly assisting with the successful implementation and integration of an enhanced control environment and risk assessment process. His prior experience also includes:

      • Led KPMG’s internal audit support services to an asset manager of a large corporate sponsored pension plan that manages over $60B in assets. This included all aspects of the audit life cycle: Risk Assessment, Scoping, Test Program development and execution, validation of findings, evaluation of auditee responses, audit report preparation and presentation. Scope of auditable areas included trade execution, investment guidelines, asset allocation, external manager due diligence, valuation governance, custody, securities lending, etc.
      • Assessed the design and effectiveness of wealth management platform’s regulatory compliance, risk oversight, surveillance and governance activities, including compliance with 12 CFR Part 9 and preparing for regulatory examinations;
      • As a senior securities compliance examiner with the SEC, he was responsible for leading exam teams in conducting routine, cause, and risk-targeted examinations of investment advisers, investment  companies, hedge fund advisers, transfer agents, and administrators.
      • As a vice president with a major third-party fund administrator, Mark managed the business relationships and fund services of several hedge fund clients as well as provided project management services for the implementation of new hedge fund products.