Katherine Shim's Location
Englewood, New Jersey, United States
Katherine Shim's Work
- General Counsel @ SumRidge Partners
- Chief Compliance Officer @ SumRidge Partners
- Director, Compliance Department @ Newedge
- Chief Compliance Officer @ Braver Stern Securities
- Chief Compliance Officer @ Safdie Investment Services
- Senior Compliance Officer @ Ota
- Compliance Analyst @ Credit Suisse
- Compliance Analyst @ Deutsche Bank Securities
Katherine Shim's Education
- Rutgers Law School
Doctor of Jurisprudence (Law)
2016 - 2020 - Fordham University
Master of Business Administration (Management, Financial Management, Finance)
2006 - 2009 - University at Buffalo
Bachelor of Arts (Economics)
1995 - 2000
Katherine Shim's Skills
- FINRA
- Securities
- Capital Markets
- Financial Risk
- Trading
- Anti Money Laundering
- Fixed Income
- Series 4
- Series 7
- Equities
Katherine Shim's Summary
Katherine Shim, based in Englewood, New Jersey, United States, is currently a General Counsel at Sumridge Partners, bringing experience from previous roles at Sumridge Partners, Newedge, Braver Stern Securities and Safdie Investment Services. Katherine Shim holds a 2016 - 2020 Doctor of Jurisprudence in Law @ Rutgers Law School. With a robust skill set that includes FINRA, Securities, Capital Markets, Financial Risk, Trading and more, Katherine Shim contributes valuable insights to the industry. Katherine Shim has 1 email on RocketReach.
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