Senior Compliance Consultant, Compliance Technology Specialist
- Compliance Technology Customization and Implementation
- Regulatory Compliance Operations and Integration
- Risk Assessments, Annual Reviews, and Regulatory Mock Audits
- Compliance Program Development, Testing, and Surveillance
- Compliance Policies and Procedures, Training, and Education
BS, Pennsylvania State University
MIA, Pennsylvania State University
Ji Kim serves as an integral role at Core Compliance & Legal Services, Inc. SM (“Core Compliance”). As a Senior Compliance Consultant and our resident Compliance Technology Specialist, Mr. Kim provides a unique insight and approach in a dynamically evolving landscape. Throughout his career, he has developed a passion for combining compliance, technology, and operations to create a custom strategy geared towards efficiency and efficacy within the financial securities industry.
As a results-driven compliance professional, Mr. Kim has developed invaluable insight marrying in-house compliance application with external insight for improvement and risk mitigation. His experience, knowledge and vigor are assets to not only the Core Compliance team and its clients, but also the compliance industry.
With a decade in the regulatory landscape, Mr. Kim has developed his career with a focus on the complexities of the industry. With substantive knowledge of the SEC Rule 206(4)-7, 38a-1 and FINRA Rule 3120, Mr. Kim has been able to navigate an everchanging industry for registered investment advisers, funds, and broker-dealers. He works with a multitude of clients with various business models by assisting their teams with identifying risks, managing regulatory regulations, constructing compliance calendars and technology platforms, and overall maintenance of their compliance programs. His distinct business-centric approach to service allows for our client to leverage compliance, operations, and technology to develop strategies for continuous growth and success.
Prior to joining Core Compliance, Mr. Kim was Director at Foreside Financial Group, LLC (formerly Cipperman Compliance Services, LLC). During his tenure there, he took command and delivered invaluable guidance for their firm and their clients. He spearheaded the efforts and collaborated with colleagues to build, develop and launch the implementation and integration of compliance technology into their internal systems and reshape their business offerings for clients and the industry. It was his ability to combine his regulatory insight and analytical skills as a compliance professional that provided the foresight and innovative edge to develop a partnership of compliance technology and operational analysis. Prior to Cipperman, Mr. Kim also played critical operational compliance roles at JP Morgan Chase & Co. It was there where he developed his initial foundation and understanding of the compliance industry. Throughout his decade in the industry, he has focused his service on the analysis, efficacy and performance of compliance taking every component into consideration, including Code of Ethics (COE), regulatory filings, policies and procedures, annual reviews, risk assessments, and more. His dedication to guiding firms to embrace the technology evolution in the industry has made him an asset to the Core Compliance team and the industry.