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Kathleen T. Ives

Compliance &
Risk Management Rockstar

Kathleen T. Ives is Senior Vice President and Director of Internal Audit for OFI Global Asset Management, Inc., an investment management firm that manages more than $220 billion for mutual funds and institutional accounts.

Ms. Ives leads a team of 20 professionals who provide an independent assessment of risk management, governance and controls related to OppenheimerFunds’ processes, and identify actionable plans to help enhance the control environment.

Ms. Ives has 25+ years’ experience in legal, audit, compliance, corporate governance, and risk management at OppenheimerFunds. Prior to leading the Internal Audit team, Ms. Ives was Deputy General Counsel where her responsibilities included oversight of all reporting for the Boards of Trustees, coordination of all disclosure and regulatory filings, and the provision of legal services for the transfer agent, contract review team and 529 plans.

Ms. Ives received her bachelor’s degree from the University of Colorado and her J.D. Cum Laude from Saint Louis University School of Law. Ms. Ives is a Certified Internal Auditor, a Certified Fraud Examiner and is FINRA Series 7 and Series 24 licensed.

Kathleen T. Ives
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