Kevin Zambrowicz
Deputy General Counsel & Managing Director @SIFMA
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WORK HISTORY
Deputy General Counsel & Managing Director @SIFMA
Washington, DC, US
Serve as legal counsel for a range of issues, including compliance and regulatory policy related issues. Function as SIFMA adviser to the SIFMA Board level Compliance & Legal Subcommittee. Function as legal lead on SIFMA’s crypto/digital asset Task Force. Lead SIFMA\'s broker-dealer chief compliance officer committee (CRPC), SIFMA\'s investment adviser chief compliance officer committee, SIFMA\'s GC CCO Roundtable, SIFMA\'s Regulatory Capital Committee, and various subject-matter specific task forces. Advocate industry-wide positions before regulatory agencies (SEC) and self-regulatory organizations (FINRA). Author and publish advocacy pieces and other work product. Direct and coordinate advocacy efforts on proposed regulations and legislation. Provide legal counsel to SIFMA on a range of matters, including corporate contracts. Work with senior legal officials and chief compliance officers of various member firms on a range of compliance, regulatory, and policy related issues. Advise various subject-matter task forces, including Member Firm Culture & Conduct Task Force, SRO Reform Task Force, Registration and Reporting Task Force, Supervision Task Force, CARDS Legal/Compliance Task Force, Regulator Use of Big Data Task Force, Bank Broker-Dealer Task Force, and FINRA Rule Review Task Force. Advise SIFMA Regional Firms General Counsel-Chief Compliance Officer Roundtable.
EDUCATION
The Catholic University of America
B.A, Philosophy
The Catholic University of America, Columbus School of Law
JD, Law
ABOUT KEVIN ZAMBROWICZ
Kevin is the SIFMA adviser to the SIFMA Board level Legal & Compliance Subcommittee. He also manages SIFMA\'s broker-dealer chief compliance officer committee (the CRPC), SIFMA’s GC CCO Roundtable, SIFMA\'s Regulatory Capital Committee, SIFMA’s Accounting Committee, and various subject-matter specific task forces. Managing these various committees, forums, roundtables, and task forces entails performing a broad range of functions, including oral and written advocacy on industry-wide positions and meeting with industry leaders and regulatory agency officials on compliance, regulatory, and policy related issues. Kevin is responsible for leading various subject-matter specific task forces, including the SIFMA Firm Culture Task Force, SIFMA Registration & Reporting Task Force, SIFMA Bank Broker-Dealer Task Force, and SIFMA Supervision Task Force. Kevin is the legal lead on SIFMA’s crypto/digital asset Task Force. Kevin is helping to develop advocacy addressing the SEC\'s current rulemaking agenda. See, e.g, Prior to joining SIFMA, Kevin was the Associate General Counsel for Regulatory Policy at the Securities and Exchange Commission. Before rejoining the SEC, Kevin was a partner in the Financial Services Practice of a large multi-national law firm.
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