Lisa Derner Kustron

Lisa Derner Kustron has extensive experience in compliance and regulatory roles within the financial industry. Lisa Derner currently serves as the First Vice President and Deputy Chief Compliance Officer at CIM Group, L.P. since May 2017. Prior to that, they worked as a Vice President in Compliance at Oaktree Capital Management, L.P. from September 2015 to May 2017. Earlier in their career, Lisa served as the Chief Compliance Officer for EMEA and Asia Pacific at Morningstar from March 2014 to September 2015, and as a Senior Compliance Officer and MLRO from September 2012 to March 2014. Lisa Derner also worked as a Compliance Officer at Morningstar from April 2008 to September 2012. Lisa gained regulatory expertise as a Senior Examiner at the Financial Industry Regulatory Authority from January 2007 to April 2008, and as an Examiner and Senior Listing Analyst at NYSE Euronext from October 2004 to January 2007.

Lisa Derner Kustron's education history begins with their enrollment at the University of Northern Iowa from 1999 to 2003. During this time, they pursued a Bachelor of Arts (BA) degree in Accounting and Finance. In 2003, they also briefly attended the University of Newcastle in Newcastle, NSW, Australia, with a focus on Finance.

In addition to their academic qualifications, Lisa has obtained various certifications in the financial industry. In November 2006, they completed the Series 27 - Financial and Operations Principal Examination from FINRA. Later, in April 2011, Lisa obtained the Series 65 - Uniform Investment Adviser Law Examination, administered by the North American Securities Administrators Association.

More recently, Lisa has achieved several certifications from FINRA. In April 2019, they obtained the SIE - Securities Industry Essentials Examination. Subsequently, in May and July 2019, they completed the Series 7 - General Securities Representative Examination and the Series 24 - General Securities Principal Examination, respectively. These certifications reflect Lisa's dedication and expertise in the securities and financial industry.