Mike (Gi Yong) Kim, Cpa
About Mike (Gi Yong) Kim, Cpa
Mike (Gi Yong) Kim is an Examination Manager at FINRA, where he supervises complex examinations and provides training to examiners. He previously worked as a Senior Auditor at AXA Equitable and holds a Bachelor's degree in Accounting from Baruch College.
Work at FINRA
Mike Kim has served as an Examination Manager at the Financial Industry Regulatory Authority (FINRA) since 2011. In this role, he supervises complex examinations, including both regular and special examinations, concurrently. He is responsible for modifying and enhancing existing examination scopes to align with changes in products and services offered by member firms. Additionally, he participates in the development of examination programs that address emerging regulatory concerns and new rules.
Previous Experience at AXA Equitable
Prior to his tenure at FINRA, Mike Kim worked at AXA Equitable as a Senior Auditor from 2007 to 2011. During this four-year period, he gained valuable experience in auditing processes and contributed to the organization's compliance and regulatory efforts.
Education and Expertise
Mike Kim earned his Bachelor's degree in Accounting from Baruch College, where he studied from 2005 to 2007. His educational background provides a solid foundation for his expertise in financial examinations and regulatory compliance.
Training and Support Responsibilities
In his current role at FINRA, Mike Kim provides in-the-field training and technical support to examiners with varying levels of expertise. This aspect of his work ensures that the examination team is well-equipped to handle the complexities of regulatory assessments.