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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Kim Ryan

Senior Regulatory Compliance and Financial Operations Professional

Kim is a highly experienced professional with over 22 years of expertise in accounting, tax, and financial operations. Throughout her successful career, she has held prominent positions such as Chief Financial Officer and AML Compliance Officer for various brokerage, insurance, and investment advisory firms. Additionally, she served as the President of a brokerage firm, where she demonstrated her exceptional leadership abilities.

One of Kim's key responsibilities in these roles was serving as the firm's FINOP, ensuring compliance with the financial reporting and regulatory requirements mandated by FINRA and the SEC. Her in-depth knowledge and expertise in this area allowed her to effectively navigate the complex landscape of financial regulations.

Earlier in her career, Kim served as an Operations Manager for a registered branch office. During this time, she was entrusted with completing the FINRA membership application, showcasing her meticulous attention to detail and proficiency in regulatory processes. Her involvement in the FINRA membership process sparked her interest in assisting other firms in acquiring broker/dealer firms. In this capacity, she developed operational workflows for reporting and regulatory compliance, further solidifying her reputation as a skilled professional in the field.

Kim holds a Bachelor of Science degree in Finance and a range of licenses, including series 7, 24, 27, 63, 82, and 99, demonstrating her commitment to professional growth and staying updated on industry standards.

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