Ian Cook is an associate managing director in the Business Intelligence and Investigations practice of Kroll, based in the São Paulo office. Ian has a wealth of knowledge and experience in the compliance field, with a particularly strong background in the finance sector in Latin America. He is highly skilled at translating best practice guidance into actionable strategies, including the management of policies, procedures, and monitoring activities.

A Brazilian national, Ian has experience working in cross-jurisdictional frameworks, which includes adhering to local and overseas regulations. He has led a number of engagements implementing local programs for ensuring compliance with global anti-money laundering standards as well as anti-corruption initiatives to ensure compliance with the U.S. Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act.

Ian joined Kroll from Barclays, where he was Vice President, Head of Compliance. In this role, he was responsible for compliance advisory and assurance for all product and infrastructure areas in Brazil. He was also the anti-money laundering officer for the bank’s Brazil operations and the primary liaison between the bank and regulators. Prior to joining Barclays, Ian was Manager, Anti-Money Laundering and Sanctions, for ASB Bank in New Zealand (the local subsidiary of the Commonwealth Bank of Australia), where he developed the financial crimes prevention strategy for the group. In addition he served in compliance-related roles with Unibanco and Deutsche Bank, both in São Paulo.

Ian holds multiple AML and compliance certifications and is frequently asked to speak about compliance and fraud matters.

Professional Experience
  • Anti-Corruption

Ian has conducted tailored reviews and investigations to identify risks under the FCPA, UK Bribery Act, and other legislation regarding corruption. Ian has also conducted reviews of client operations for corruption risks in different sectors.

Ian worked as an expert advisor to the New Zealand Parliament in drafting the Anti-Money Laundering and Countering Financing of Terrorism Act 2009, helping to ensure that the local legislation was aligned with global best practice, including the FCPA and international standards such as the United Nations Convention Against Corruption (UNCAC).

  • Anti-Money Laundering

Ian has conducted anti-money laundering reviews of financial institutions, focusing on identifying key risks and vulnerabilities and recommending corrective actions.

  • Compliance Program Implementation

Ian has overseen the implementation of compliance programs and training, both directly and in an advisory capacity, focusing on ensuring adherence to local laws and regulations and alignment with global best practice.

  • Fraud and Corruption Investigations

Ian has participated on investigations for clients into fraud and corruption allegations. These have included matters such as internal fraud, asset deviation, and leakage of confidential information, among other issues.

  • Asset Searches

Ian has partnered with local and international law firms to assist in complex asset tracing investigations to identify assets both in Brazil and abroad.

Select Speaking Engagements
  • “Implementation of a Corporate Compliance Culture”, panel held at the Compliance Forum held by B2G Group (São Paulo, Brazil), February 2016
  • “Brazil ABC Update”, panel held at the “IV Conferencia Anual del Hemisferio Sur sobre ALD y Delitos Financieros”, (Montevideo, Uruguay), November 2015
  • “Anti-Money Laundering – Complying with New Zealand’s new regulatory framework” (Auckland, New Zealand), August 2009

Education and Certifications
  • International Diploma, University of Manchester Business School
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Certified Compliance Professional, BM&FBovespa (São Paulo Securities, Commodities, and Futures Exchange)

Affiliations and Membership
  • Association of Certified Fraud Examiners, Associate Member
  • Association of Certified Anti-Money Laundering Specialists
  • Society of Corporate Compliance and Ethics, Associate Member
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