Roy Kim Joins ACA Compliance Group to Grow Banking Asset Management Practice

ACA Compliance Group (“ACA”) announced today that Roy Kim has joined ACA’s regulatory compliance team as Director of Banking Asset Management. He is based in New York City.

Roy joins ACA from the Office of the Comptroller of the Currency (“OCC”) where he was a bank examiner supervising the asset management activities for national banks. In his role at the OCC, Roy managed supervisory activities for a portfolio of banks; led examinations; and provided comprehensive evaluations of operational, compliance, regulatory, strategic, and fiduciary risks.  Roy also played a leading role in developing regulatory technology for examiners to more efficiently and effectively supervise asset management activities. 

At ACA, Roy will work closely with the leaders of ACA’s diversified financial practice, Jack Rader and Charlie Stout, to expand ACA’s thought leadership efforts and consulting practice for banks. Roy will leverage his experiences from both public and private sector roles in internal audit, consulting, compliance, and risk management to assist in developing solutions for ACA’s bank asset management clients.

“ACA strongly believes a team built with intimate knowledge of regulatory best practices and private sector operations provides a unique, well-rounded experience for servicing our clients,” said Jack Rader, Partner and Diversified Financial Practice Leader at ACA. “Roy’s recent experience at the OCC coupled with his private sector experience as a compliance officer, risk manager, and internal auditor adds to the foundation of ACA. Adding Roy to the ACA team will provide our clients with a resource to address their banking asset management regulatory and risk concerns.”

Roy holds a B.S. degree in finance from the University of Maryland. He is a Certified Internal Auditor® (CIA®), Certified Fiduciary and Investment Risk Specialist® (CFIRS®), and holds a certification in Risk Management Assurance.

About ACA Compliance Group

ACA Compliance Group (“ACA”) is a leading provider of risk management and technology solutions that focus on regulatory compliance, performance, financial crime, and cybersecurity. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks inherent in their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks. Our products include standard and customized compliance packages; cybersecurity, AML, and risk assessments; GIPS® verifications and other performance services; and a wide variety of business advisory and technology solutions for financial services firms.

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