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Employee Kimberly Keating
Boston 100 Federal Street, 37th Floor Boston, MA 02110
FAX NUMBER: 617-357-9602
Kimberly L. Keating
Director, Private Wealth Compliance
Kim Keating is Director, Private Wealth Compliance in CIBC Private Wealth Management's Boston office, with 17 years of industry experience.
In this role, Kim reviews and monitors investment compliance, Code of Ethics, trade oversight, and policies and procedures in accordance with the Investment Advisers Act of 1940, 12 CFR Reg. 9, and other applicable laws and regulations. She also aids in the oversight of the firm's privacy program, including development and implantation of internal controls designed to ensure compliance with Regulation P and the Privacy of Consumer Financial Information as enacted by the Gramm-Leach-Bliley Act (GLBA).
Previously, Kim worked as a compliance associate at Geode Capital Management, where she monitored trade oversight, managed their code of ethics process and implemented regulatory requirements.
Kim earned a Bachelor of Arts in English and writing from Siena College and a Master of Business Administration from Suffolk University.
She is an Ironman triathlete, ran the Boston Marathon in 2006 and 2011, and qualified for the 2020 Boston Marathon. In 2016, she was honored with a CIBC Unsung Heroes Achievers Award.
Representing CIBC Private Wealth Group, LLC.
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