(New York, 19 January 2017)—K2 Intelligence, an industry-leading investigative, compliance, and cyber defense services firm, has named Nathan B. Ploener as a managing director in the firm’s Regulatory Compliance practice.
Nathan has more than 30 years of regulatory and legal experience assisting a broad range of financial institutions and energy trading operations on complex matters involving regulatory enforcement and compliance. A licensed attorney and former senior trial attorney for the U.S. Commodity Futures Trading Commission (CFTC), Nathan has led complex regulatory investigations of potential Commodity Exchange Act violations, market manipulation, fraud, trade practice violations and compliance failures. He began his career as a corporate and civil trial attorney, and most recently served as a managing director at a Big Four risk consulting practice.
“Nathan has sat on all sides of the table, leading investigations and enforcement actions and helping clients respond to investigations, litigation and compliance matters,” said Thomas Bock, executive managing director and head of K2 Intelligence’s Regulatory Compliance practice. “Nathan’s vast experience in high-stakes situations will be of great value to our clients—financial institutions, law firms, and other businesses—that are facing significant regulatory requirements and challenges.”
“K2 Intelligence has established a truly unique and leading regulatory compliance offering that brings together the best financial services compliance, investigative, and cybersecurity expertise to serve our clients,” said Robert Brenner, chief operating officer of K2 Intelligence. “We thrive on building teams of expert practitioners from a wide variety of disciplines, and Nathan is an important addition to help address and solve the myriad unique and mission-critical situations our clients encounter.”
K2 Intelligence’s regulatory, compliance, and Anti-Money Laundering (AML) professionals assist commercial and retail banks, investment banks, financial services firms, and virtual currency exchanges across the world with regulatory compliance—helping them to meet the challenge of complying with financial crime prevention rules, including those promulgated by the USA PATRIOT Act, the Bank Secrecy Act (BSA), and the Office of Foreign Assets Control (OFAC). Our areas of specialty include sanctions and anti-money laundering compliance—encompassing enhanced Know Your Customer (KYC) due diligence, periodic reviews, account remediation, historical transaction reviews, AML and sanctions risk assessment, independent testing and monitoring, model validation, and AML and sanctions technology evaluation—along with fraud and anti-bribery/anti-corruption compliance.