Kenton Pettit Email & Phone Number

Cincinnati, Ohio, United States

Provide legal, compliance consulting and outsourced chief compliance officer services to Registered Investment Advisers.

Cincinnati, Ohio, United States

(Merged with Foreside Financial Group, May 2022.) Established compliance programs for and counseled Registered Investment Advisers and Registered Investment Companies, including ETFs, on regulatory requirements. Clients ranging from national insurance companies to smaller, startup entities. Served as outsourced chief compliance officer.

Cincinnati, Oh

Managed compliance program of Registered Investment Adviser and bank subsidiary advising a multi-billion dollar Registered Investment Company complex (ETFs, equity funds, fixed income funds, money market funds and variable annuities). Served as Group Compliance Manager for business unit’s obligations regarding banking regulations (e.g., Dodd-Frank, Reg W, Volcker Rule), performing various risk and compliance functions. Managed outside legal counsel.• Designed, implemented and managed expedited, revised compliance system in conjunction with division of business units.• Performed risk assessments, for business unit and also in conjunction with larger Bank/parent entity.• Managed regulatory filings and compliance reviews.• Educated workforce regarding compliance requirements and systems.• Oversight and monitoring regarding governance matters.• Provided multi-disciplinary expertise—including compliance, legal and IT—and led data-quality testing initiatives as part of Bank-wide project teams.

Cincinnati, Oh

Provided legal, compliance and business consulting services to clients in multiple industries. • Contract negotiation, drafting and review.• Financial services compliance and legal work relating to registered fund formation and registration.• Designed and implemented risk management/safety plan.• Developed governance structure and risk management/safety plan for non-profit organizations.

Cincinnati, Oh

Managed general legal affairs and Compliance Department and program of Registered Investment Adviser advising on $35 billion in assets, discretionary and non-discretionary services, and multiple domestic and offshore alternative investment vehicles. Managed outside legal counsel.• Directed and coordinated legal functions, including, among other things, matters related to regulatory filings; contract negotiation, drafting and review; employment law; intellectual property; securities law; taxation and dispute resolution.• Designed, implemented and managed regulatory compliance system, including development of policies and procedures.• Established and managed regulatory compliance audit function.• Managed legal aspects of successful, timely launches, and later registrations, of domestic and offshore alternative investment vehicles.

Cincinnati, Oh

Managed 25 employee department performing key financial functions for one of Cincinnati area’s largest employers (6,000 employees, $2 billion annual budget). Areas of responsibility included: accounting and financial reporting; payroll; accounts payable; and budget and settlement (function that reviews and approves budgets, establishes tax rates, and performs tax distributions for County’s 107 tax districts). Served as liaison to county prosecutor regarding legal and compliance issues. Sat on County’s Board of Revision (administrative body that reviews valuation of taxpayers’ properties).• Designed, implemented and maintained systems (including policies and procedures) to ensure compliance with statutory schemes.• Managed implementation of new financial reporting model to adhere to regulatory modifications.• Instituted review/revision of County’s accounts payable system, reducing time to pay invoices by 70%.• Reduced Department’s staffing by 10% through redesign of systems and cross-training.

Cincinnati, Oh

Primary initial responsibility for developing case factual and legal theories and performed other litigation roles as part of team pursuing tort and §1983 claims arising from a major labor dispute, resulting in multi-million dollar judgment for employer/client.

Anchorage, Ak

Conducted general commercial practice, including trial work and appeals, with emphasis on labor and employment matters. Briefed and orally argued multiple cases successfully before Alaska Supreme Court.

Anchorage, Ak

Cincinnati, Oh

Cincinnati, Oh

Minneapolis, Mn

(1) Juris Doctor And (2) Master Of Arts In Public Policy Studies

Activities and Societies: Alaska Law Review, Editor-in-Chief; Moot Court Board; Hunton & Williams Scholarship

Bachelor Of Business Administration (With Highest Distinction), (1) Accounting And (2) Management Information Systems Analysis And Design

Activities and Societies: The Outstanding Graduating Business Student Award; Dean of Students Senior Award, one of five recipients campus.

Certificate, Government Financial Management

Education record