Kim serves as Chief Compliance Officer for Keel Point, having joined the firm in February 2016. She has 10+ years of experience in the financial services industry and began her career in Compliance with Sterne Agee & Leach, Inc. in Birmingham, AL. She developed her career in compliance through her numerous roles (Senior Compliance Officer and Chief Compliance Officer) for subsidiary firms of Sterne Agee & Leach. In 2011, Kim completed the FINRA Institute at the Wharton School of Business Certified Regulatory Compliance Professional TM program, thereby earning her CRCP TM designation. The program provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. Most recently, Kim worked for Morgan Stanley as a Complex Risk Officer supervising the two largest branches in the state of Alabama. She is a registered representative, a municipal securities principal, a registered securities principal and a registered sales supervisor for Keel Point Capital, LLC. Kim earned her Bachelor of Science degree in Finance from the University of Alabama at Birmingham. A recent graduate of the Birmingham School of Law, she has also earned her Juris Doctorate.
Outside of her work at Keel Point, Kim has been involved in a number of volunteer opportunities with the Boy Scouts, The Children’s Hospital and The Ronald McDonald House in Birmingham, AL.