Kin Lim
About Kin Lim
Kin Lim serves as the Senior Vice President of Risk & Credit at Wedbush Securities, where he oversees a team that reviews financial exposure for clients. With over 24 years of experience in the brokerage industry, he specializes in risk management and has held various roles at notable financial institutions.
Work at Wedbush Securities
Kin Lim serves as the Senior Vice President of Risk & Credit at Wedbush Securities, a position he has held since 2021. In this role, he manages a team that conducts daily reviews of financial exposure for both retail and institutional clients. His responsibilities include performing due diligence on client portfolios and market strategies to assess associated risks and establish trading parameters.
Education and Expertise
Kin Lim studied at Tufts University, where he achieved a Double Major in Economics and Political Science from 1992 to 1996. He possesses over 24 years of experience in the brokerage industry, with a focus on risk management. His expertise includes OTC equity trading, complex option strategies, market risk surveillance, credit risk management, and operational risk analytics.
Background in Risk Management
Prior to his current role, Kin Lim held several positions in risk management across various financial institutions. He worked as a Senior Risk Analyst at National Financial Services from 2004 to 2007 and as an Associate Director of Operational Risk at UBS Financial Services for 11 months in 2007. He also served as Vice President of Market Risk at Apex Clearing from 2007 to 2012 and as Vice President of Business Controls at JP Morgan Chase from 2012 to 2015.
Technical Skills and Licenses
Kin Lim possesses advanced skills in various technology platforms, including MS Excel, Bloomberg, Reuters, Nasdaq ACT, F-Ten, Broadridge, and Fidelity Mainframes. He holds multiple FINRA licenses, which include General Securities Representative, Equity Trader, Options Principal, Financial & Operations Principal, and State Law.
Client Relationship Management
Kin Lim is recognized for his strong client relationship management skills, particularly in dynamic market conditions. He emphasizes smart risk-taking and customer service, which are critical components of his approach to managing financial exposure for clients.