ANNE-MARIE KINAHAN
Chicago,IL
Summary
Financial regulatory professional with more than 17 years of progressive federal experience conducting and overseeing complex financial investigations of employee benefit plans and registered investment advisers, broker-dealers, banks, trust companies, and asset custodians. Extensive experience analyzing investment products, securities transactions, valuation methodologies, compensation arrangements, fiduciary governance, and financial records to identify risk, detect regulatory violations, and support enforcement actions. Proven leader with a Bachelor of Science in Finance and Juris Doctor, experienced in directing investigations, strengthening regulatory programs, and collaborating with federal agencies, including the Securities and Exchange Commission (SEC) and the Internal Revenue Service (IRS).
Overview
23
23
years of professional experience
Work History
ASSOCIATE REGIONAL DIRECTOR
U.S. Department of Labor
02.2021 - Current
- Participate in management reviews of approximately 70 investigations each quarter, evaluating financial analyses, investigative quality, regulatory risk, and compliance with the Employee Retirement Income Security Act (ERISA).
- Guide Investigators, Benefits Advisors, and Managers on complex financial investigations and ESOPs, including fiduciary governance, prohibited transactions, and exemptions, enhancing compliance and decision-making.
- Manage the region’s Voluntary Fiduciary Correction Program, overseeing 100 applications annually.
- Lead regional case targeting initiatives utilizing financial and operational data to identify high-risk investigative opportunities.
- Coordinate investigations and enforcement initiatives with the SEC, IRS, Regional Solicitor of Labor, and other federal and state regulatory agencies.
- Plan and lead four full-day regional training conferences annually, overseeing curriculum development, coordinating internal and external subject-matter experts, and delivering technical training to strengthen regional expertise.
- Developed and delivered training to the SEC regarding ERISA fiduciary responsibilities and prohibited transaction requirements to strengthen interagency collaboration.
- Manage the region's annual operating budget, ensuring effective procurement, travel funding, financial reporting, and reconciliation to support operational needs.
- Supervise three investigators and one financial analyst, providing training, technical advice, mentoring, and workload management to ensure effective performance oversight.
ACTING DEPUTY REGIONAL DIRECTOR
U.S. Department of Labor
02.2026 - 05.2026
- Directed the region's leadership team, supervising five Managers, two Senior Technical Advisors, and one Financial Analyst, to ensure alignment with national and regional priorities.
- Counseled Regional Director on enforcement priorities, workforce management, operational strategy, and resource allocation to align regional efforts with national objectives.
- Directed significant investigations, resolved complex operational issues, and represented regional leadership in strategic meetings with National Office and external stakeholders.
- Executed oversight of regional enforcement, compliance assistance, financial management, and administrative operations to ensure effective regional functioning.
SENIOR EMPLOYEE BENEFITS INVESTIGATOR
U.S. Department of Labor
02.2015 - 02.2021
- Led a team investigation of a registered investment adviser and broker-dealer managing $1.2 billion in assets under management for 185 employee benefit plans, analyzing alternative investments, cross-trading transactions, valuation methodologies, pricing, best execution, conflicts of interest, and internal controls to determine compliance with ERISA fiduciary standards and prohibited transaction provisions.
- Led a complex investigation of a $380 million Employee Stock Ownership Plan (ESOP) transaction, conducting financial and valuation analyses that supported a litigation referral and resulted in a $12 million settlement for plan participants and beneficiaries.
- Investigated a financial institution managing $800 million in assets under management for 281 employee benefit plans, identifying prohibited and undisclosed compensation arrangements involving 12b-1 fees and related-party compensation, resulting in fee disgorgement and payment of lost opportunity costs.
- Executed 10–15 risk-based investigations annually involving employee benefit plans and financial institutions providing services to employee benefit plans, including registered investment advisers, broker-dealers, banks, trust companies, and asset custodians.
- Obtained and analyzed documents from securities-related financial institutions, including financial statements, annual reports, books and records, Form ADV filings, valuation reports, appraisals, Investment Policy Statements, investment committee minutes, compliance manuals, fund prospectuses, fee benchmarking analyses, due diligence reports, contracts, and other financial evidence to evaluate fiduciary conduct and determine compliance with ERISA.
- Evaluated investment selection and monitoring, investment performance, internal control processes, management fees, recordkeeping fees, wrap fees, 12b-1 fees, sub-transfer agency revenue-sharing, trade allocation, custody of assets, sales practices, trading errors, liquidity, affiliated transactions, and conflicts of interest to identify potential fiduciary breaches and prohibited transactions.
- Interpreted and applied statutes related to ERISA enforcement, including provisions of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and the Internal Revenue Code.
- Interviewed plan fiduciaries, investment advisors, broker-dealers, attorneys, corporate officers, trustees, and service providers regarding complex financial transactions and fiduciary practices.
- Prepared comprehensive work papers and reports that analyzed relevant facts, presented findings clearly, and cited violations to support regulatory actions.
- Negotiated corrective actions and voluntary compliance with fiduciaries and legal counsel to resolve complex regulatory matters.
- Coordinated the regional ESOP Project, Plan Investment Conflicts Project, and Excessive Fiduciary Compensation Regional Initiative.
BUDGET INTERN
City of Gainesville-Office of Management and Budge
01.2004 - 01.2006
- Contributed to development of City's operating budget and Capital Improvement Plan, ensuring alignment with fiscal priorities.
- Conducted financial analyses to inform executive budget decisions, enhancing decision-making process.
- Office of Management & Budget
Education
Bachelor of Science - Finance
University of Florida
Gainesville, FLBachelor of Arts - Political Science
University of Florida
Gainesville, FLJuris Doctor -
University of Florida Levin College of Law
Gainesville, FLLicenses And Awards
- Illinois Bar
- U.S. Department of Labor Distinguished Career Service Award, 2024
- Secretary of Labor's Exceptional Achievement Award, 2021
- U.S. Department of Labor EBSA Peer-to-Peer Recognition Award, 2021
Timeline
ACTING DEPUTY REGIONAL DIRECTOR
U.S. Department of Labor
02.2026 - 05.2026
ASSOCIATE REGIONAL DIRECTOR
U.S. Department of Labor
02.2021 - Current
SENIOR EMPLOYEE BENEFITS INVESTIGATOR
U.S. Department of Labor
02.2015 - 02.2021
BUDGET INTERN
City of Gainesville-Office of Management and Budge
01.2004 - 01.2006
Bachelor of Science - Finance
University of Florida
Bachelor of Arts - Political Science
University of Florida
Juris Doctor -
University of Florida Levin College of Law