SEC Compliance Consultants, Inc. (SEC3) is pleased to announce the addition of a new Director of Operations, Ji Kim. As Director of Operations, Ji will serve as a pivotal member of the Executive Team responsible for spearheading SEC3’s business development strategies and overseeing the firm’s growth and expanded service offerings. Additionally, he will be responsible for managing the expansion of SEC3’s consultants and the effective management of compliance programs.
Throughout his career, Ji has combined compliance, technology, and operations to identify efficiencies within the financial services industry. As a results-driven compliance-operations professional, Ji has developed invaluable insight marrying solutions with compliance applications. With deep insight and knowledge of Rule 206(4)-7 under the Investment Adviser Act of 1940, 38a-1 under the Investment Company Act, and FINRA Rule 3120, Ji has been able to navigate an everchanging industry for registered investment advisers, funds, and broker-dealers.
Prior to joining SEC3, Ji served in an integral role as Senior Compliance Consultant and Compliance Technology Specialist at Core Compliance & Legal Services, Inc (Core Compliance). 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. Ji also played a critical operational-compliance role as Compliance Director at Cipperman Compliance Services, LLC (Cipperman). During his tenure at Cipperman, he spearheaded operational efforts and collaborated with colleagues to build, develop, and manage the implementation of compliance technology and revamp their service offerings for clients and the financial services industry. Prior to Cipperman, Ji served in multiple compliance and back-office roles at JP Morgan Chase & Co.
Ji graduated from Pennsylvania State University earning a Bachelor of Science Degree and a Master of International Affairs with a concentration in International Finance.
For over two decades, we have been providing compliance consulting services and servicing as outsourced Chief Compliance Officers. Our professionals have served as SEC regulators and in senior leadership, guiding the industry’s principal compliance association. Our consultants also have hands-on industry experience as chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
What can SEC3 do for you?
SEC3 offers an extensive suite of customizable compliance services for investment advisers, private fund advisers, CPOs, CTAs, investment companies, institutional investors and broker-dealers which can complement your internal compliance program on a one-time or recurring basis depending on your needs.
Call us today at (212) 706-4029 x 229, or shoot us an email at info@SEC3compliance.com so we can set up a time for one of our consultants to discuss your needs and how we can help.
