Latest News
- Disaster and Business Continuity
- Derivatives Operations +
-
Securities Operations
+
- IBOR
- Affirmation, Allocation & Confirmation
- Back Office
- Buy-Side
- Case Studies
- Clearing
- Corporate Actions
- Data Management
- FX Operations
- Hedge Fund Operations
- Industry News
- Private Equity
- Mergers & Acquisitions
- Middle-Office
- Operational Risk
- Ops Automation
- Outsourcing
- Private Markets
- Reconciliation & Exceptions
- Risk Management
- Sell-Side
- Settlement
- T+1 Settlement
- Diversity & Human Interest +
- FinTech Trends +
- Opinion +
- Performance Measurement +
- Regulation & Compliance +
- Industry News +
- FTF Media & Content Channels +
- FTF Bull Run Blog
Ken Goodall is Second Vice President with Guardian Life Insurance Company of America and Senior Vice President and Chief Compliance Officer, Park Avenue Securities. Mr. Goodall is responsible for managing and directing compliance with federal and state securities laws governing the distribution of securities products and investment advisory services offered through Guardian’s wealth management division.
Prior to joining Guardian, Mr. Goodall served in a variety of senior securities and regulatory compliance roles within matrix organizations, including Investment Advisory Chief Compliance Officer for AIG Life & Retirement; Principal and Director of Compliance and Risk Management for Bessemer Trust; Chief Compliance Officer for The Newport Group, a privately-held executive benefits consulting firm; and as Compliance Director for Morgan Stanley Investment Management.
Mr. Goodall attended the University of Florida and received his J.D. from Loyola University School of Law in New Orleans. He holds the Certified Regulatory Compliance Professional (CRCP) designation and Series 7, 24, and 63 licenses.
Need a Reprint?