Charles Lim

Charles Lim has a diverse work experience in the financial industry. Charles currently works as the Director of Securities Compliance at The Standard. Prior to this role, they served as the Chief Compliance Officer at Solariant Capital, LLC. for a brief period. Charles also held the position of Chief Compliance Officer at Mirae Asset Wealth Management (USA) Inc. from 2019 to 2021. Earlier in their career, Charles worked as a Vice President at Union Bank, where they managed investment advisory compliance. Charles also worked as a Regulatory Exam Manager at Cetera Financial Group. Charles has extensive experience in compliance roles, having served as a Vice President and Associate Vice President of Compliance at First Allied Securities, Inc., as well as an Investment Advisory Compliance Analyst at the same company. Charles began their career as a Corporation Actions Specialist at LPL Financial.

Charles Lim holds a Bachelor of Arts degree in Cognitive Science from UC San Diego. Charles has also obtained additional certifications including Leadership Training for Managers from Dale Carnegie Training and a Certified Securities Compliance Professional from the National Society of Compliance Professionals.