Kim is a compliance and financial operations professional whose precision and depth of expertise have made her a trusted resource across the broker-dealer space, and a member of the CRC Oyster Leadership Team.
Joining the firm in 2023, she brought more than 25 years of experience across brokerage, insurance, and investment advisory firms, including service as Chief Financial Officer, AML Compliance Officer, and President of a brokerage firm. A seasoned FINOP, Kim navigates the complex financial reporting and regulatory requirements of FINRA and the SEC with a steady, methodical command that clients rely on. Earlier in her career, she completed a FINRA membership application as Operations Manager of a registered branch office and built operational workflows for regulatory reporting and compliance, experience that directly informs her work guiding firms through broker-dealer acquisitions and membership processes today.
Kim holds a Bachelor of Science in Finance and maintains Series 7, 24, 27, 63, 82, and 99 securities licenses.
