Business Intelligence and Investigations
Providing firms with investigative expertise to help resolve conflict.Business Intelligence and Investigations
Ian Cook is an associate managing director in the Business Intelligence and Investigations practice of Kroll, a division of Duff & Phelps, 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.
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).
Ian has conducted anti-money laundering reviews of financial institutions, focusing on identifying key risks and vulnerabilities and recommending corrective actions.
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.
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.
Ian has partnered with local and international law firms to assist in complex asset tracing investigations to identify assets both in Brazil and abroad.