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100 Federal Street, 37th Floor
Boston, MA 02110
Kimberly L. Keating
Senior Compliance Officer
Kim Keating is a senior compliance officer in CIBC Private Wealth Management's Boston office, with 17 years of industry experience.
In this role, Kim reviews and monitors investment compliance, 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 Anti-Money Laundering (AML) and Bank Secrecy Act (BSA) compliance programs, including development and implementation of internal controls designed to ensure compliance with the USA PATRIOT Act, OFAC, SEC, FinCEN, BSA and various regulatory agencies.
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 and ran the Boston Marathon in 2006 and 2011. In 2016, she was honored with a CIBC Unsung Heroes Achievers Award.
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