Compliance Risk and Diligence
Complying with anti-money laundering and anti-bribery and corruption regulations.Compliance Risk and Diligence
Steven Bock is managing director and global head for the Compliance Risk and Diligence practice of Kroll, a division of Duff & Phelps, based in the New York office. Steve manages Compliance operations and research teams worldwide to deliver globally consistent due diligence solutions of the highest quality. Steve joined the Compliance practice in August 2014 in the newly created position of Vice President, Business Operations & Process Excellence. His accomplishments include leading the implementation of an overall quality program, performance-based metrics, and an automated case assignment process.
Prior to Kroll, Steve had a successful 17-year career at Goldman Sachs, where he held a variety of senior roles spanning the disciplines of business intelligence, anti-money laundering compliance, process control, and crisis management. He served as Vice President and Business Continuity Coordinator, Vice President and Crisis Management Coordinator, and Vice President for Global Compliance, in which he was tasked with building the firm’s global anti-money laundering (AML) program. Prior to that, he was Vice President for the Business Intelligence Group, where he developed the firm’s AML risk guidelines and overall process for regulatory reporting.
Earlier in his career, Steve worked at Automatic Data Processing (ADP), where he was Vice President Data Processing, Investor Communications Services in the company’s Brokerage Services Division. Steve also spent five years with the U.S. Army Corps of Engineers, retiring at the rank of Captain.