KEN BARDEN – Senior Compliance Consultant

Kenneth Barden is a Senior Compliance Consultant with Bekker Compliance Consulting Partners, LLC (BCCP) and, under written contract with BCCP, provides regulatory compliance consulting services to BCCP’s financial services clientele.

Provide consulting on public finance, tax, trade, administration, banking, anti-money laundering and related matters to various development agencies, including UNDP, World Bank, Asian Development Bank, USAID.

Led reform effort at the Clerk’s Office of the Supreme Court in the Northern Mariana Islands on revising Court Clerk filing, docketing and case management. Helped implement e-filing system for electronic case management.

In 2003, Mr. Barden was selected by the Asian Development Bank to conduct a survey of money laundering vulnerabilities in the financial sector of several Central Asian Republics: Uzbekistan, Kazakhstan and Tajikstan. During that project, Mr. Barden interacted closely with the central banks of each nation to identify training and other capacity building needs. In 2004, Mr. Barden taught several courses on anti-money laundering, financial crime, and auditing for the National Bank of Ukraine at its banking academy.

In late 2004-2005, Mr. Barden served as an Assistant Attorney General for the Northern Mariana Islands (NMI), where he advised the Banking Supervisor in the Department of Commerce. During that time period, one of the major banks in the NMI was in a receivership. As a result of a banking examination conducted during Mr. Barden's tenure, the bank was able to become sufficiently rehabilitated and come out of receivership.

In 2005-2006, Mr. Barden was an advisor on an Asian Development Bank project in Indonesia where he developed the audit and compliance guidelines for the capital markets sector and other nonbank financial institutions.

In late 2006, Mr. Barden taught several courses on forensic analysis and anti-money laundering for bankers in Armenia.

Currently, Mr. Barden is senior anti-money laundering advisor on a major anticorruption project in Indonesia. There he has worked with Bank Indonesia with regard to AML and compliance measures relating to money changers and other financial institutions. In coming months, he will be developing compliance guidelines for other non bank financial institutions, including many shariah-based institutions. In January 2008, Mr. Barden worked with the National Bank of Azerbaijan in its banking supervisory office.

Mr. Barden has written a number of articles on banking compliance and related matters and has given a number of presentations on the subject.

Professional Experience

INDEPENDENT CONSULTANT 2006 – Present CONSULTING PROJECTS TO DATE

Project Name:

Indonesian Corruption Control Program

Client:

Millennium Challenge Threshold Program)

Location:

Jakarta, Indonesia

Year:

May 2007 – April 2008 (intermittent)

Duration:

12 months

Position Held:

Senior Anti-Corruption Advisor

Tasks:

Working with the Anti-Corruption Commission (KPK) and the Financial Intelligence Unit (PPATK) to increase capacity of law enforcement and regulators to combat high level political corruption through the tracing of illegally received assets. Design and implementation of reporting procedures. Design and conducting training activities.

Project Name:

Small Enterprise Program (SEP II)

Client:

Client:  Ministry of Development, Timor-Leste, funded by World Bank

Location:

Dili, Timor-Leste

Year:  

February 2007-June 2007

Duration:

4 months

Position Held:

Legal Advisor

Tasks:  

Provided legal advice on public-private dialogue program in small enterprise business development program.  Conducted workshop training programs in Portuguese and Tetum.

Project Name:

Reform of Clerk of Courts for Supreme Court    

Client:

Client:  Commonwealth of the Northern Mariana Islands

Location:

Northern Mariana Islands

Year:  

September 2006 – Feb 2007

Duration:

6 months

Position Held:

Advisor

Tasks:  

Implemented reform in filing and case management. Implemented automated electronic e-filing program.  Revised court rules.  Prepared draft policies on judicial ethics.

Project Name:

Review of Draft Business Organizations and Investment Laws for Vietnam

Client:

American Bar Association / UNDP

Location:

Vietnam

Year:  

April – June 2006

Duration:

2.5 months

Position Held:

Legal Assessment Advisor

Tasks:  

Served as legal assessment advisor to the American Bar Association/United Nations Development Program (UNDP) Legal  Resource Unit to review and provide an analysis of draft laws for business organizations and investment.

Project Name:

Strategic Planning and Preparation of Implementation Plan for Ministry of Commerce, Trade and Supply for Government of South Sudan

Client:

Client: USAID

Location:

Addis Ababa, Ethiopia

Year:  

April 2006

Duration:  

1 month

Position Held:

Legal Consultant

Tasks:  

Prepared a workshop and training materials for the newly created Ministry of Commerce, Trade and Supply for the Government of South Sudan which set forth an implementation program for the development and activities of the Ministry for the next 3 to 6 years.

Project Name:

Training for Chamber of Commerce and Trade Associations in    Ethiopia

Client:

Client:  USAID

Location:  

Addis Ababa, Ethiopia

Year:  

March 2006

Duration:

1 month

Position Held:

Legal Consultant

Tasks:  

Prepared a workshop and training materials for Ethiopian Chamber of Commerce and trade associations to improve leadership capabilities.  Workshop ultimately led to creation of a leadership academy for association officers.

Project Name:

AML for non-bank financial institutions  

Client:

Client:  Asian Development Bank

Location:

Jakarta, Indonesia

Year:  

August 2005 through February 2006

Duration:  

6 months

Position Held:

Legal Consultant

Tasks:  

Review, coordinate and draft policies and procedures for the capital market regulating agency (BAPEPAM) and the supervisory agency over insurance companies, pensions, and finance companies (DGFI) regarding anti-money laundering (AML) and other compliance and regulatory matters.  Developed training programs in AML for banking and non-banking regulators.

Project Name:  

Doing Business Guide

Client:

World Bank

Location:

Palau, Federated States of Micronesia, Marshall Islands

Year:  

May – June 2005

Duration:

2 months

Position Held:

Legal Assessment Advisor

Tasks:  

Surveyed various laws concerning business enterprises among three island nations in conjunction with annual Doing Business survey and publication by the World Bank.  Reviewed and commented on various laws affecting investment, trade, business organization, labor and related matters.

Project Name:

Review of Customs Law for Iraq  

Client:

Client:  USAID

Location:

Iraq

Year:  

May 2005

Duration:

20 days

Position Held:

Legal Assessment Advisor

Tasks:  

Reviewed existing Customs Law for Iraq in light of World Trade Organization (WTO), World Customs Organization (WCO), and GATT requirements.  Recommended legislative and regulatory changes for a new law to be implemented to bring Iraq into international compliance.

Project Name:

Intergovernmental Relations and Fiscal Decentralization

Client:

Client:  World Bank Institute

Location:

Global (via internet)

Year:  

February 2004 - Present

Duration:

Indefinite

Position Held:

Course Facilitator

Tasks:  

The World Bank Institute offers an online course in Intergovernmental Relations and Decentralization.  I have served as a moderator/course facilitator for the module on revenue and taxation.  Students I have taught have been from six continents.

 

Project Name:

Draft Enterprise Law for Vietnam

Client:

Client:  American Bar Association / UNDP

Location:

Vietnam

Year:  

April – May 2005

Duration:

2 months

Position Held:

Legal Assessment Advisor

Tasks:  

Served as legal assessment advisor to the American Bar Association/United Nations Development Program (UNDP) Legal  Resource Unit to review and provide an analysis of draft Uniform Enterprise Law.

Project Name:

Preparation of Proposal for Anti-Corruption Project in Philippines

Location:  

Philippines

Year:  

June 2004

Duration:

1 months

Position Held:

Legal Assessment Advisor

Tasks:  

Conducted review and analysis of anti-corruption activities in   Philippines in conjunction with the preparation of a bid by a  private contractor

Project Name:

Doing Business Guide  

Client:

World Bank

Location:

Palau, Federated States of Micronesia, Marshall Islands

Year:  

May – July 2004

Duration:

3 months

Position Held:

Legal Assessment Advisor

Tasks:  

Surveyed various laws concerning business enterprises among three island nations in conjunction with annual Doing Business survey and publication by the World Bank.  Reviewed and commented on various laws affecting investment, trade, business organization, labor and related matters.

Project Name:

Anti-money Laundering and Financial Crime Training

Client:

Ukraine

Year:  

February 2004

Duration:

10 days

Position Held:

Trainer

Tasks:  

Conducted training of bank supervisors on anti-money laundering and financial crime at the National Bank of Ukraine Training Academy in Cherkasy, Ukraine.

Project Name:

Assessment of Anti-money Laundering Laws in Central Asia

Location:

Uzbekistan, Tajiklistan, and Kazakhstan

Year:  

August - September 2003

Duration:

2 months

Position Held:

Consultant

Tasks:  

Conducted legal assessment and training and technical assistance needs of banking regulators and financial crime law enforcement personnel in Uzbekistan, Tajikistan and Kazakhstan for Asian Development Bank.

Project Name:

Doing Business Guide  

Client:

World Bank

Location:

Palau, Federated States of Micronesia, Marshall Islands

Year:  

May – July 2003

Duration:

3 months

Position Held:

Legal Assessment Advisor

Tasks:  

Surveyed various laws concerning business enterprises among three island nations in conjunction with annual Doing Business survey and publication by the World Bank.  Reviewed and commented on various laws affecting investment, trade, business organization, labor and related matters.

Project Name:

Tax and Customs Reform

Client:

Republic of Palau Ministry of Administration/Finance

Location:

Republic of Palau

Year:  

1998-2004

Duration:

66 months

Position Held:

Contractual advisor

Tasks:  

Contractual advisor to the National Government on tax, customs and banking issues Direct contractor with the Republic of Palau Ministry of Administration (Finance).  Serve as legal counsel, advisor, and Acting Director of the Bureau of Revenue, Customs and Taxation. Among the projects in which I took a major role are:  tax reform, customs reform, trade incentives, trade reform, personnel reform, Y2K conversion, water rate reform, motor vehicle licensing reform, business licensing reform, implementation of banking supervision and regulation, implementation of anti-money laundering programs and creation of a Financial Intelligence Unit.  Also served as a member of the Task Force on Anti-Terrorism and Homeland Security.  Served as representative for Palau to several international conferences and meetings.  Conducted training sessions for local government officials, business owners, and general public.  Drafted legislation to implement reforms.  Served as Vice President and Secretary of Palau Bar Association and Chair of the National Code Commission

Project Name:

Corporate Governance Reform for Kosovo Businesses

Client:

Kosovo Business Association – USAID funded

Location:  

Pristina, Kosovo

Year:  

October 5-November 6, 2002 and November 24-December 24, 2002

Duration:

3 months

Position Held:

Residential Advisor

Tasks:  

Served as short-term residential advisor to a program sponsored by Citizen Democracy Corps under a USAID-funded program providing assistance to the Kosovo Business Association.  Advised Kosovo local businesses on corporate governance and assisted in drafting appropriate legal documents for corporations to operate and expand in growth

Project Name:

Bankruptcy Law Reform for Vietnam

Client:

American Bar Association / UNDP

Location:

Vietnam

Year:  

May – September 2002

Duration:

5 months

Position Held:

Legal Assessment Advisor

Tasks:  

Served as legal assessment advisor to the American Bar Association/United Nations Development Program (UNDP) Legal Resource Unit to review and provide an analysis of draft Bankruptcy Law

Project Name:

Telecommunications Reform for Mongolia  

Client:

American Bar Association / UNDP

Location:

Mongolia

Year:  

November 2001

Duration:

one month

Position Held:

Legal Assessment Advisor

Tasks:  

Served as legal assessment advisor to the American Bar Association/United Nations Development Program (UNDP) Legal Resource Unit to review and provide an analysis of draft public Radio and Television Law.  This project was featured in the Annual Report for 2001 published by the ABA/UNDP Legal Resources Unit

Project Name:

Federalism and Decentralization in Samara Oblast, Russia  

Client:

American Bar Association Central and East European   Law Initiative - CEELI

Location:

Russia

Year:  

July 2001

Duration:

one month

Position Held:

Legal Assessment Advisor

Tasks:  

Legislative review and analysis of proposed federal administration (decentralization) law, American Bar Association Central and East European Law Initiative (CEELI)

Project Name:

Telecommunications Law in Romania

Client:

American Bar Association Central and East European Law Initiative - CEELI

Location:

Romania

Year:  

1998

Duration:

two months

Position Held:

Legal Assessment Advisor

Tasks:  

Legislative Review and Analysis of Proposed Broadcast Media and Telecommunications Law, American Bar Association Central and East European Law Initiative (CEELI)

Project Name:

Alternative Dispute Resolution in Eastern Europe  

Client:

American Bar Association Central and East European Law Initiative - CEELI

Location:

Eastern Europe

Year:  

2000

Duration:

two months

Position Held:

Legal Assessment Advisor

Tasks:  

Contributor to Concept Paper on Use of Alternative Dispute Resolution in Insolvency Proceedings in East European Countries for American Bar Association Central and East European Law Initiative (CEELI)  

Professional History

COMMONWEALTH OF NORTHERN MARIANA ISLANDS

Assistant Attorney General, Office of the Attorney General
2004 -- 2006

Advised Departments of Finance, Commerce, and Public Works. Legal counsel to Banking Administrator and Insurance Administrator. Drafted tax, customs and public finance regulations. Drafted opinions on tax and customs issues. Drafted regulations and policies to deter money laundering and conducted training activities. Wrote insurance regulations. Conducted training in financial regulatory matters. Worked on homeland security issues.

REPUBLIC OF PALAU MINISTRY OF FINANCE

Legal Counsel/Acting Director of Bureau of Revenue, Customs and Taxation
1998 -- 2004

Provide legal counsel and other consultative services to President and Ministry of Administration (Finance). Provide legal advice and assistance in trade, tax and customs matters. Wrote tax and customs regulations, as well as proposed legislation. Conducted training for tax and customs personnel and law enforcement officials. Developed administrative manuals and information brochures for tax and customs officials. Testified on tax and customs reform before national legislature. Served as a member of the Task Force on Anti-Terrorism and Homeland Security and the Task Force on Bio-Terrorism. Develop, implement and enforce tax code and customs regulations for national government of Palau. Training of Customs officers. Assisted Property and Supply Division in procurement and contract matters. Work closely with political leaders, on a national and international basis, as well as with representatives of the International Monetary Fund, the World Bank, the United Nations and other NGOs. Served as member of Palau's Presidential Task Force on Y2K issues. Developed new banking and tax laws. Worked on budget reform. Worked on port development projects for seaport and airport. Worked on Free Trade Zone legislation. Wrote personnel job descriptions for tax and customs officers.

DEPARTMENT OF LAW, CITY OF DAYTON, OHIO

Chief General Counsel
1989 -- 1998

Advise all city agencies on legal issues. Author of legislation for the City Commission. Issue legal opinions on request from other offices and agencies. Prepare and review all city contracts. Supervise and evaluate a staff of attorneys and paralegals. Plan goals and objectives for the department and evaluation of success. Assist in developing budget for the city. Appear before various boards and committees of the city. Serve as a member of the Citizens Drug Commission in its efforts to combat illicit drug activity and other crime. Wrote several intergovernmental agreements. Rewrote comprehensive zoning code. Active member in municipal government associations. Conducted training programs for police and other law enforcement officials.

THE UNION INSTITUTE COLLEGE OF UNDERGRADUATE STUDIES, CINCINNATI, OHIO

Adjunct Professor of Business Law and Ethics
1995 -- 1998

Taught university-level courses in business law, ethics, and labor (employment) law.

CITY OF RICHMOND, INDIANA

City Attorney
1984 -- 1989

Served as primary legal counsel for the Mayor, City Council, all city departments and agencies, and the municipal electric and sewer utilities. Was Acting Mayor in the absence of the elected Mayor. President of Board of Public Works and Safety, including responsibility for approving expenditures of the city, supervision of the police and fire departments, handling appeals of various city-issued orders. Represented the city in all legal matters. Prepared all legislation and contracts for city offices. Wrote new purchasing and procurement code and procedures. Helped establish new personnel policy for city. Active member in municipal government organizations.

UNIVERSITY OF INDIANAPOLIS, INDIANAPOLIS, INDIANA

Adjunct Professor of Business Law
1983 -- 1984

Taught university courses in general and business law.

UNITED STATES DISTRICT COURT, INDIANAPOLIS, INDIANA

Law Clerk
1981 -- 1984

Assisted in researching and drafting judicial opinions on various matters before the Court. Wrote draft decisions on appeals from various Federal administrative agencies. Reviewed and wrote draft decisions on Social Security appeals and prisoner petitions. Supervised legal interns serving with court.

MARION COUNTY SUPERIOR COURT, INDIANAPOLIS, INDIANA

Public Defender
1981 -- 1981

Represented criminal defendants at all stages of the criminal process. Was defense counsel in several cases involving armed robbery, burglary, theft, rape and murder.

MARION COUNTY MUNICIPAL COURT, INDIANAPOLIS, INDIANA

Special Judge Pro Tem
1981 -- 1981

Presided as civil court judge in various matters, including jury and bench trials. Supervised court staff. Reviewed and issued search warrants.

Education

  • Doctor of Jurisprudence, Indiana University 1981 (studies in international and government law)
  • Bachelor of Arts cum laude in Political Science and Business Administration, University of Indianapolis 1977
  • Master’s of Business Administration, American Management and Business Administration Institute, 2005
  • Masters in Public Administration, Trinity College and University (Spain), 2003
  • Post-graduate fellowship, Workshop: “Rebuilding Torn Societies – Issues of Governance and International Organizations”, held by Academic Council on the United Nations System (ACUNS), Yale University 1999 (This was a scholarly workshop focusing on issues facing post-conflict societies.)
  • Certificate, Summer Program of Instruction for Lawyers Harvard University 1983 (post-graduate coursework in International Comparative Law, Banking, and Land Use Law)
  • Post Graduate Diploma in International Humanitarian Law, NALSAR Law School, Hyderabad, India (2006)
  • Post Graduate Diploma in International Environmental Law, UNITAR, 2005
  • Courses on Use of Logical Framework for Project Design and Project Evaluation and Monitoring, Inter-American Development Bank, 2002-2003
  • Course on Anti-Corruption, USAID, 2002
  • Conference on Money Laundering, Asia Pacific Group on Money Laundering, Brisbane, Australia, 2002
  • Certificate, “Understanding Global Terrorism”, Graduate School, USDA /United Nations Institute for Training and Research (UNITAR) July 2002
  • Several certificates in Emergency Management and Preparedness Training Courses sponsored by the U. S. Federal Emergency Management Agency (FEMA) through its Emergency Management Institute
  • Study in several courses on emergency management and refugees sponsored by the United Nations High Commissioner on Refugees (UNHCR) e-centre distance learning program and Human Rights Education Association (HREA)
  • Study in several courses on conflict resolution sponsored by the Conflict Resolution Consortium, Colorado State University
  • Additional training in economics, finance, and project management.

LANGUAGE SKILLS

  • English – Native fluency
  • Spanish – fluent in reading, writing and speaking
  • Tagalog – basic understanding in reading, writing and speaking
  • Palauan – basic understanding in reading and speaking
  • Bahasa Indonesian –basic understanding in reading and speaking
  • Have worked in Portuguese speaking environment in Timor Leste.
  • Have worked in Armenian speaking environment.

MEMBERSHIP IN PROFESSIONAL SOCIETIES

  • Certified Anti-Money Laundering Specialist (since 2004)
  • Member, Association of Certified Anti-Money Laundering Specialists (ACAMS)
  • Member of Education Task Force
  • Admitted to practice law in:
    • Indiana (1981)
    • Ohio (1989)
    • Palau (1998)
    • Northern Mariana Islands (2004)
    • U S Supreme Court
    • U S Court of International Trade
    • US Courts of Appeal for the 6th, 7th, and 9th Circuits
  • American Bar Association
    • * Victims Committee of Section of Criminal Justice, member 1985 present
    • Wrote several papers on victims’ rights issues

PUBLICATIONS

Author of several articles on tax, finance, and development issues published in World Tax Daily, World Tax International, Pacific Legal Network newsletter, Banknotes newsletter, and other professional and trade publications.