Kim is a regulatory compliance and operations professional with 10 years of experience in the financial services industry; she joined CRC Oyster in 2021.
She came to the firm from Eaton Vance, where as a Compliance Analyst she was involved in all aspects of the broker-dealer compliance program, leading supervisory controls testing, managing compliance training, conducting branch and non-branch inspections, maintaining written supervisory procedures, advising on gifts and entertainment, performing annual needs analyses, and assisting with employee registrations.
Kim holds an MBA and a Bachelor of Arts in Accounting and Economics from Assumption University, and maintains Series 7, 24, and 66 securities licenses.
