Internal Investigations In The Era Of COVID-19

Kim Reilly is Vice President and Associate General Counsel at Raymond James Financial, representing the Firm in regulatory enforcement matters before FINRA, the SEC, and other regulators. She also leads internal investigations of matters having a potential regulatory component.

A graduate of Fordham University Law School, Kim practiced at law firms in New York City before joining Raymond James in 2015. She has over 17 years of experience in industry-related regulatory enforcement, litigation, and internal investigation matters. Kim has a B.A. from William & Mary and an M.A. from the University of Richmond. She is a member of the New York bar.

My responsibilities are global, as part of a global Legal team. My work includes internal investigations in partnership with Internal Audit, managing workflows including conflicts of interest disclosures and due diligence of business partners, and working with, and developing and presenting training for, internal business partners regarding risk management.

Susan oversees matters involving corporate financial reporting, regulatory investigations, whistle-blower actions, Foreign Corrupt Practices Act (FCPA) enforcement, and internal controls. Formerly at the US Securities and Exchange Commission (SEC), she served as chief accountant of the enforcement division.

She has a Bachelor of Science in accounting from the University of Akron, is a CPA and certified in financial forensics. Susan has received several awards including the SEC’s Distinguished Service Award in 2006 and The National Law Journal's 2014 "Governance, Risk and Compliance Trailblazer and Pioneer". She is a speaker nationally and internationally on public reporting and accounting related to financial fraud investigations and other enforcement actions involving the SEC and other government entities.