Directory

Peter Kennedy

J.S. Held’s Inaugural Global Risk Report Examines Potential Business Risks & Opportunities in 2024

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Peter Kennedy has experience as a Senior Financial Services Executive with over thirty years of broad advisory expertise in legal, regulatory compliance, supervisory program design, administration, and operations. He has ERISA and Fiduciary expertise with leadership positions in broker-dealers/asset managers as Chief Operating Officer, Chief Administrative Officer, and Legal Counsel spanning multiple disciplines including legal counseling, program development and oversight, risk management, and compliance. He possesses a proven ability to organize, execute, and manage across an enterprise to successfully execute on product and service development; building and managing first line of defense activities responsible for substantive suitability reviews and all supervisory procedures; advising broker-dealers, as well as institutional and retail asset managers; due diligence and corporate integration work; and Chief Compliance Officer responsibilities.

Peter Kennedy serves as an Advisor where he provides expertise in matters of Broker-Dealer Litigation, Compliance, Regulatory and Internal Investigations, Insurance and Annuities, Employment, and HR issues.

Peter Kennedy has been retained as a Special Advisor by J.S. Held for project-based engagements.

Key Expertise

  • Broker-Dealer Litigation & Consulting
  • Broker-Dealer Compliance
  • Regulatory & Internal Investigations
  • Insurance & Annuities
  • Employment & HR Issues
  • Fiduciary Duty – DOL & Investment Adviser

Professional Affiliations/Memberships/Licenses

  • Series 7 and 24