Kim Keating Email & Phone Number
Assistant Director - Compliance @ Principal Global Investors
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Kim Keating Location
- Boston, MA, US
Kim Keating Work
- Assistant Director - Compliance @ (March 2026 - Present)
- Compliance Advisor @ (September 2023 - Present)
- Regulatory Compliance Director @ (October 2022 - August 2023)
- Regulatory Compliance Manager @ (June 2022 - October 2022)
- Director, Wealth Management Compliance @ (April 2012 - June 2022)
- Compliance Associate @ (August 2004 - April 2012)
Kim Keating Education
- Suffolk University - Sawyer Business School
MBA
2007-2010 - Siena University
BA (English, Writing)
1997-2001
Kim Keating Skills
- Series 24
- SIE exam
- Series 7
- Securities
- Equities
- Alternative Investments
- Mutual Funds
- Fixed Income
- Investment Company Act
- Investment Advisers Act
- SEC filings
- FINRA
- Bloomberg
- Investment Management
- Asset Management
- Wealth Management
- Investments
Kim Keating Summary
- Kim Keating, based in Boston, MA, US, is currently a Assistant Director - Compliance at Principal Asset Management. Kim Keating brings experience from previous roles at Principal Asset Management, Arrowstreet Capital, Limited Partnership and CIBC Private Wealth Management US. Kim Keating holds a 2007 - 2010 MBA @ Suffolk University - Sawyer Business School. With a robust skill set that includes Series 24, SIE exam, Series 7, Securities, Equities and more. Kim Keating has 6 emails and 3 mobile phone numbers on RocketReach.
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