Kim is the Senior Vice President/CCO – Head of Associate Activities Compliance for Raymond James. In her role, Kim is responsible for firm-wide programs and processes for compliance in connection with, conflicts management, such as gifts and entertainment, personal trading, political contributions, and outside business activities, registrations, firm-wide compliance training and Conduct and Ethics. Kim previously worked for Citigroup in New York, where she held a variety of roles, including Global Head of Compliance Training and Strategy. She has also held a variety of senior compliance roles at Morgan Stanley, General Electric Capital, and TIAA.
She has a master of business administration from Fordham University, a master of science in Industrial Management from Stony Brook University, and a bachelor’s degree in Sociology from Stony Brook University. She holds a Certified Regulatory Compliance Professional (CRCP) designation from the FINRA Institute at the Wharton School. Kim is beginning her third term as a Trustee at the Churchill School. She is the mother of a 20 year old daughter and a native New Yorker.