Kristin Kaepplein
Managing Director

kkaepplein@sedaexperts.com 

EXPERTISE

  • Regulatory Compliance

  • NRSRO Rulemaking

  • Broker-Dealers Business Practices

  • Investment Advisers Business Practices

  • Financial Services Technologies

With over 30 years of industry experience as former SEC Director, Goldman Sachs VP, and Consultant, Kristin Kaepplein is an expert in financial intermediaries’ regulation and compliance, broker-dealer and investment adviser business practices, and technologies employed in provisioning financial services to institutional and retail investors.

In her nearly-10 years at the SEC, first as Director of the Office of Investor Education and Advocacy, then as Senior Adviser and Managing Executive of the Division of Economic and Risk Analysis, and finally as a Senior Officer in the Office of Information Technology, Kristin led or was engaged in numerous significant initiatives, including:

  • the SEC’s 3rd Annual Senior Summit,

  • the creation of the Mutual Fund Summary Prospectus,

  • eXtensible Business Reporting Language (XBRL)

  • research on topics of interest to the Commission including life settlements and recentness of data used in municipal securities ratings,

  • regulation of equity-indexed annuities,

  • NRSRO rulemaking,

  • IA/BD standards of care,

  • Section 404 guidance,

  • the Plain Language initiative,

  • removal of references to credit ratings from SEC rules,

  • plans for Consolidated Audit Trail data,

  • FOIA procedures and

  • the agency's strategic plan and strategic technology plan.


Before joining the Securities and Exchange Commission, Ms. Kaepplein spent nearly twenty years in the financial services industry. She was a Vice President for Global Compliance Operations at Goldman Sachs and through her career, she worked with many of the financial services industry's largest broker-dealers and investment managers as a management consultant with PricewaterhouseCoopers

and as a self-employed contractor.


As a management consultant, Kristin focused on improving buy and sell-side firms’ efficiency and effectiveness through process improvements, technological innovations, and structural and organizational changes.


Ms. Kaepplein received her B.A. from Georgetown University and her MBA from the University of Pennsylvania's Wharton School of Business.

EDUCATION

 

The Wharton School of Business

MBA

 

Georgetown University

BA, Government (International Relations)

EMPLOYMENT HISTORY

 

SEDA Experts, LLC

Managing Director

2019-Current

US Securities and Exchange Commission

Associate Director, Office of Information Technology

2016-2017

 

Managing Executive, Division of Economic

and Risk Analysis

2012-2016

 

Senior Adviser

2009-2012

 

Director of Investor Education and Advocacy

2007-2009

Goldman Sachs

VP, Global Compliance Operations

2005-2007​

IBM Consulting

Independent Subcontractor/Management Consultant

2004-2005

TIAA-CREF

Internal Management Consultant

2002-2003​

Investor’s Bullhorn

Founder and CEO

2000-2002

 

PricewaterhouseCoopers Consulting

Managing Associate

1993-2000

 

Shearson Lehman Brothers

Chief of Staff to Chief Technology Officer
1991 -1993

Prudential Mutual Funds
1987-1989

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