Kim Samrock
About Kim Samrock
Kim Samrock serves as the Head of Risk Control & Audit at Piper Sandler, a position he has held since 2020. With over two decades of experience in finance and regulatory compliance, he has previously worked in various roles at U.S. Bank and Piper Jaffray, demonstrating expertise in implementing compliance strategies.
Current Role at Piper Sandler
Kim Samrock serves as the Head of Risk Control & Audit at Piper Sandler, a role she has held since 2020. In this position, she oversees the risk management and audit functions, ensuring that the organization adheres to regulatory standards and internal policies. Her leadership in this area is critical for maintaining the integrity and reliability of the firm's financial operations.
Previous Experience at U.S. Bank
Before joining Piper Sandler, Kim Samrock worked at U.S. Bank as the Continuous Improvement Director from 2017 to 2020. During her three years in this role, she focused on enhancing operational efficiency and implementing process improvements across the organization. Her experience at U.S. Bank contributed to her expertise in risk management and compliance.
Career at Piper Jaffray
Kim Samrock has extensive experience at Piper Jaffray, where she held several key positions from 2001 to 2017. She started as a Senior Financial Analyst and progressed to roles such as Vice President Finance in both the Capital Markets and Equity Capital Markets divisions. Additionally, she served as Principal for both Global Financial Planning and Analysis and the Compliance Program, demonstrating her versatility and depth of knowledge in finance and compliance.
Educational Background
Kim Samrock earned her Bachelor of Arts (B.A.) in Accounting and Finance from Augsburg College, where she studied from 1988 to 1993. This educational foundation has been instrumental in her over two decades of experience in finance and regulatory compliance, equipping her with the necessary skills to navigate complex financial landscapes.
Military Service and Early Career
Before her extensive career in finance, Kim Samrock served in the Army National Guard as a Patient Admin Sergeant & Section Leader from 1987 to 1993. This experience, combined with her early roles in financial analysis and auditing at companies like 3M and UPS, laid the groundwork for her professional development in finance and compliance.