Management Team

Kim serves as Head of Compliance with a high-level strategic view of best practices, as well as deep technical knowledge of law, rule, and regulatory compliance and is responsible for the development and implementation of regulatory programs and policies in alignment with federal and private stakeholder requirements. 

Kim has spent 14 years as a regulatory compliance professional in the financial services industry, most recently at the Financial Industry Regulatory Authority, Inc. (FINRA) as a regulator.  Kim’s prior experiences include legal practice at several of the top international law firms as well as in-house positions at a large hedge fund based in Greenwich, CT and as Chief Compliance Officer at a private equity fund.  

Earlier in her career, Kim worked in the Division of Trading and Markets, Office of Broker-Dealer Finance, at the US Securities and Exchange Commission (SEC).  She obtained her law degree at Vermont Law School, graduating summa cum laude in 2009.  

She also holds a Masters in Human Relations from the University of Oklahoma (2006) and a BA in History from Loyola University of New Orleans (1999).  Prior to attending law school, Kim served as a Surface Warfare Officer in the US Navy from 2000 to 2006. Her duty stations included the recently decommissioned USS ANZIO, the USS Chancellorsville, and the Icelandic Defense Force, where she served as the Deputy Director of Operations.