Charles Lim
About Charles Lim
Charles Lim serves as the Director of Securities Compliance at The Standard, a position he has held since 2021. He has extensive experience in compliance roles across various financial institutions, including Cetera Financial Group and Mirae Asset Wealth Management.
Work at The Standard
Charles Lim has been serving as the Director of Securities Compliance at The Standard since 2021. In this role, he is responsible for overseeing compliance with securities regulations and ensuring that the organization adheres to industry standards. His experience in compliance management contributes to the effectiveness of The Standard's operations in the financial sector.
Previous Experience in Compliance
Before joining The Standard, Charles Lim held several key positions in compliance within the financial services industry. He worked as the Regulatory Exam Manager at Cetera Financial Group from 2015 to 2017. He then served as the Vice President, Investment Advisory Compliance Manager at Union Bank from 2017 to 2019. His career also includes a role as Chief Compliance Officer at Mirae Asset Wealth Management (USA) Inc. from 2019 to 2021.
Career Progression in Financial Services
Charles Lim's career in financial services began at LPL Financial, where he worked as a Corporation Actions Specialist from 2005 to 2009. He then progressed to First Allied Securities, Inc., where he held multiple roles, including Investment Advisory Compliance Analyst from 2009 to 2012, Associate Vice President, Compliance from 2012 to 2014, and Vice President, Compliance from 2014 to 2015. This trajectory showcases his extensive experience in compliance roles.
Education and Expertise
Charles Lim earned a Bachelor of Arts degree in Cognitive Science from the University of California, San Diego. His educational background provides a foundation for his analytical skills and understanding of regulatory frameworks within the financial industry.