Sora Kwak, Cams
About Sora Kwak, Cams
Sora Kwak is a Senior Compliance Officer at Carta, focusing on compliance matters for a diverse client base, including global investment banks and foreign financial institutions. With a background in financial crime investigations, she has extensive experience in compliance with the Bank Secrecy Act and Anti-Money Laundering regulations.
Current Role at Carta
Sora Kwak serves as a Senior Compliance Officer at Carta since 2023. In this role, she focuses on compliance matters for a diverse client base, which includes Global Investment Banks and Foreign Financial Institutions. Her responsibilities involve ensuring adherence to regulatory standards and managing compliance risks within the organization.
Previous Experience in Compliance
Before her current position, Sora Kwak worked at Carta as a Compliance Officer from 2021 to 2023. Her prior experience includes significant roles in compliance and risk advisory at various financial institutions, enhancing her expertise in the field. She has also held positions at EY and Deloitte, where she participated in leadership and mentorship programs.
Expertise in Financial Crime Investigations
Sora Kwak possesses expertise in financial crime investigations, particularly in compliance with the Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) regulations. She has provided advisory services related to the Office of Foreign Assets Control (OFAC) for various financial institutions, contributing to the development of compliance frameworks and risk management strategies.
Educational Background
Sora Kwak earned a Bachelor of Arts (BA) in Accounting and Finance from Queens College, where she studied from 2001 to 2005. This educational foundation has supported her career in compliance and financial services, equipping her with the necessary skills to navigate complex regulatory environments.
Career Progression
Sora Kwak has a diverse career trajectory in the financial services sector. She has held roles at notable institutions such as J.P. Morgan, where she worked as a Private Client Banker/AVP from 2011 to 2014, and at Societe Generale Corporate and Investment Banking as Vice President - Senior Auditor from 2018 to 2021. Her experience spans various aspects of compliance and risk management.