Chief Compliance Officer
Kim started her career in compliance back in 1999. Most recently, she was responsible for the day-to-day functions of the compliance department for a boutique broker/dealer and investment adviser for the last four years. in Southfield, Michigan Kim served as a member of the executive committee, operations committee and shared her legal and compliance guidance wherever needed among the firm.
Prior, Kim was a compliance officer for Munder Capital Management in Birmingham, Michigan for more than seven years. She specialized in advertising regulation for more than 30 mutual funds and separate account disciplines. She advised senior management, portfolio managers, sales and marketing personnel on legal matters involving marketing, proper disclosure of information to the public, copyrights and record retention. Her duties included creating and testing various policies and procedures and evaluating performance-related investment advisor sales materials for adherence to the Global Investment Performance Standards (GIPS) advertising guidelines.
She also was previously employed as a Compliance Attorney for H&R Block Financial Advisors (now known as Ameriprise), where she counseled management on employment issues relating to federal and state securities regulations and corporate policy governing public disclosure of reportable information and statutory disqualifications. In addition, Kim was responsible for resolving licensing issues for more than 1000 registered representatives, as well as liaising with the regulators and customers on a variety of issues.
Kim is a graduate of the DePaul University College of Law in Chicago, Illinois where she received her Juris Doctor in 1999. She was also conferred a Bachelor of Arts in Social Science with a concentration in Sociology from Michigan State University in 1996.