Kenji Kawa is an experienced attorney and compliance leader with a strong background in financial services regulation and enforcement. He brings deep expertise in navigating complex regulatory frameworks and advising financial institutions on compliance, risk management, and regulatory strategy. Known for his balanced judgment and collaborative approach, Kenji partners effectively with business leaders and regulators to manage risk while supporting operational and strategic objectives.
Prior to joining My RIA Lawyer, Kenji served as a Vice President in the Regulatory Practice Group at Goldman Sachs, where he managed large-scale, firmwide regulatory examinations and targeted inquiries across multiple business lines. He advised on matters involving the SEC, FINRA, CFTC, and NFA, conducted detailed reviews of trading activity and communications, responded to regulatory requests, and developed remediation plans in coordination with senior leadership. He also led cross-functional working groups to strengthen internal controls and enhance compliance programs.
Kenji also served as Counsel at NatWest Markets, where he supported U.S. broker-dealer compliance and regulatory initiatives, advising business and control functions on supervisory obligations, regulatory reporting, and compliance program enhancements, and helping implement improvements to written supervisory procedures and internal controls.
Kenji previously worked with the U.S. Securities and Exchange Commission, where he conducted complex investigations into potential violations of federal securities laws. His work included drafting subpoenas, analyzing financial records and SEC filings, conducting witness interviews, and supporting litigation in federal and administrative proceedings.
Earlier in his career, Kenji practiced law in both civil and criminal matters, representing clients in negotiations, hearings, trials, and appeals. He also advised on transactional matters including business formations, estate planning, probate, and contracts.
