Charles Lim Email & Phone Number

Director, AMG Compliance @ The Standard

5 free lookup(s).

Charles Lim Location

Los Angeles, CA, US

Charles Lim Work

2021 - now Director, AMG Compliance @ The Standard
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 @ Union Bank
2015 - 2017 Regulatory Exam Manager @ Cetera Financial Group
2014 - 2015 Vice President, Compliance @ First Allied Securities, Inc.
2012 - 2014 Associate Vice President, Compliance @ First Allied Securities, Inc.
2009 - 2012 Investment Advisory Compliance Analyst @ First Allied Securities, Inc.
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2005 - 2009 Corporation Actions Specialist @ LPL Financial
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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

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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 2 emails and 1 mobile phone numbers on RocketReach.

Charles Lim Emails

Found 2 emails

Charles Lim Phone Numbers

Found 4 phone numbers

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