Kim serves as Chief Compliance Officer for Capstone Asset Management (CAMCO), and Capstone Asset Planning Company (CAPCO) the underwriter of the investment companies for which CAMCO provides investment. Acting as an independent and objective body, Kim oversees all compliance and risk management programs to ensure adherence with existing laws and regulations.
Kim has worked in various capacities within the financial industry since 2000. She joined Capstone’s Compliance Department in 2002; named CAPCO’s Chief Compliance Officer in 2006 and CAMCO’s Chief Compliance Officer in 2015. Her demonstrated expertise in both SEC and FINRA regulatory practices affords Capstone the distinction of a firm adhering to the highest industry standards.
Kim is Chair of Capstone’s Compliance & Risk Assessment and GIPS Committees, a member of Capstone’s Valuation Committee and actively participates in Capstone’s Investment Policy Committee. Additionally,Kim serves as an officer for the Capstone Funds managed by CAMCO. Kim is a graduate of the Center of Advanced Legal Studies in Houston, Texas and currently holds Series 7, 24, 63 and 99 securities licenses.