Charles Lim Email & Phone Number
Director, AMG Compliance @ The Standard
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Charles Lim Location
- Los Angeles, CA, US
Charles Lim Work
- 2021 -now Director, AMG Compliance @
- 2021 -2021 Chief Compliance Officer @ Solariant Capital, LLC.
- 2019 -2021 Chief Compliance Officer @ Mirae Asset Wealth Management (USA) Inc.
- 2017 -2019 Vice President, Investment Advisory Compliance Manager @
- 2015 -2017 Regulatory Exam Manager @
- 2014 -2015 Vice President, Compliance @
- 2012 -2014 Associate Vice President, Compliance @
- 2009 -2012 Investment Advisory Compliance Analyst @
- 2005 -2009 Corporation Actions Specialist @
Charles Lim Education
- University of California, San Diego
Bachelor of Arts (Cognitive Science)
Charles Lim Skills
- Problem Solving
- Cybersecurity
- Investment Advisory
- Securities Regulation
- ERISA
- Brokerage
- Project Management
- Internal Audit
- Trading
- Retirement
- Investments
- Mutual Funds
- Financial Services
- Securities
- Wealth Management
- Asset Management
- Alternative Investments
- Hedge Funds
- mutual fund
- Portfolio Management
- Financial Planning
- Risk Management
- Asset Allocation
- Equities
- Fixed Income
- Investment Banking
- Anti Money Laundering
- Regulatory Affairs
- 401(k) Retirement Savings Plans
- Due Diligence
- Strategic Planning
- Private Equity
- Financial Advisory
- Investment Management
- Microsoft Excel
- Microsoft Word
- Regulatory Audits
- Corporate Actions
- FINRA
- Compliance
- Series 24
- Separately Managed Accounts
- Compliance Management
- Bank Secrecy Act
- Real Estate Investment Trust (REIT)
- Private Placements
- Operational Due Diligence
- Wealth Management Services
- Investment Advisory Services
- Banking
Charles Lim Summary
- Charles Lim, based in Los Angeles, CA, US, is currently a Director, AMG Compliance at The Standard. Charles Lim brings experience from previous roles at Solariant Capital, LLC., Mirae Asset Wealth Management (USA) Inc., Union Bank and Cetera Financial Group. Charles Lim holds a Bachelor of Arts in Cognitive Science @ University of California, San Diego. With a robust skill set that includes Problem Solving, Cybersecurity, Investment Advisory, Securities Regulation, ERISA and more. Charles Lim has 1 emails and 1 mobile phone numbers on RocketReach.
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