Charles Lim Email & Phone Number
Director, AMG Compliance @ The Standard
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Charles Lim Location
- Los Angeles, CA, US
Charles Lim Work
- Director, AMG Compliance @ (May 2021 - Present)
- Chief Compliance Officer @ Solariant Capital, LLC. (April 2021 - May 2021)
- Chief Compliance Officer @ Mirae Asset Wealth Management (USA) Inc. (May 2019 - April 2021)
- Vice President, Investment Advisory Compliance Manager @ (January 2017 - May 2019)
- Regulatory Exam Manager @ (April 2015 - January 2017)
- Vice President, Compliance @ (April 2014 - April 2015)
- Associate Vice President, Compliance @ (July 2012 - April 2014)
- Investment Advisory Compliance Analyst @ (August 2009 - July 2012)
- Corporation Actions Specialist @ (August 2005 - August 2009)
Charles Lim Education
- UC 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 @ UC 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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