David Y. Kim
About David Y. Kim
David Y. Kim is a Senior Analyst in Advertising Regulation at FINRA, where he has worked since 2017. He has a strong background in finance and advertising compliance, with previous roles at Ipreo US, LLC and the IRIS Center at the University of Maryland.
Current Role at FINRA
David Y. Kim serves as a Senior Analyst in Advertising Regulation at the Financial Industry Regulatory Authority (FINRA) since 2017. In this role, he participates in cross-departmental initiatives aimed at enhancing the effectiveness of advertising regulation processes. His responsibilities include analyzing financial advertisements to ensure compliance with regulatory requirements and contributing to the development and implementation of advertising regulation policies that align with industry standards.
Previous Experience at FINRA
Prior to his current position, David Y. Kim held several roles at FINRA, starting as an Associate Analyst in Advertising Regulation from 2014 to 2015, followed by an Analyst position from 2015 to 2017. During his tenure, he gained extensive experience in evaluating broker-dealer communications to ensure adherence to advertising regulations, which laid the foundation for his current senior analyst role.
Professional Background
David Y. Kim has a diverse professional background that includes significant roles in financial analysis and research. Before joining FINRA, he worked at Ipreo US, LLC as a Senior Research Analyst on the Global Priority Team from 2010 to 2013 and as a Research Analyst on the Asian Pacific Team from 2007 to 2009. His early career included a position as a PC Support Technician at the IRIS Center, University of Maryland, from 2005 to 2006.
Educational Qualifications
David Y. Kim earned a Master of Business Administration (MBA) with a focus on Finance from the Robert H. Smith School of Business at the University of Maryland, completing his studies from 2013 to 2016. He also holds a Bachelor of Arts (BA) in Economics from the University of Maryland, which he obtained from 2004 to 2007. His educational background provides a strong foundation for his expertise in financial regulations and analysis.
Military Service
David Y. Kim served in the Republic of Korea Army as a Sergeant and Squad Leader from 2002 to 2004. This experience contributed to his leadership skills and discipline, which have been beneficial in his subsequent professional roles.