Ji Kim

Mr. Kim has been with SEC3 since December 2022. Throughout his career, he has developed a passion for combining compliance, technology, and operations to identify efficiency and efficacy within the financial services industry. As a results-driven compliance and operations professional, Mr. Kim has developed invaluable insight marrying in-house compliance application with external insight for improvement and risk mitigation. With substantive knowledge of Rule 206(4)-7 under the Investment Adviser Act of 1940, 38a-1 under the Investment Company Act, and FINRA Rule 3120, Mr. Kim has been able to navigate an everchanging industry for registered investment advisers, funds, and broker-dealers. Prior to joining SEC3, Mr. Kim served in an integral role as Senior Compliance Consultant and Compliance Technology Specialist at Core Compliance & Legal Services, Inc. While at Core Compliance, he worked with a wide range of clients with various business models to identify risks, construct effective compliance programs, and manage technology platforms for the firm and its clients. Mr. Kim also played a critical operational-compliance role as Compliance Director at Cipperman Compliance Services, LLC. During his tenure at Cipperman, he spearheaded the operational efforts and collaborated with colleagues to build, develop, and launch the implementation of compliance technology and reshape their business offerings for clients and the industry. It was his ability to combine his regulatory insight and analytical skills as an operational compliance professional that provided the foresight and innovative edge to marry compliance technology and operational efficiencies. Prior to Cipperman, Mr. Kim served in multiple compliance roles at JP Morgan Chase & Co. Mr. Kim graduated from Pennsylvania State University earning a Bachelor of Science Degree and a Master of International Affairs with a concentration in International Finance.