Gender

Male

Location

Omaha, NE

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Summary Bill Kimme began his career with Northern Lights Compliance Services in September 2011. Bill serves as Chief Compliance Officer to Series Trusts of Mutual Funds, including alternative mutual funds, as well as closed end interval funds. Prior to joining his current firm, Bill provided consulting and alternative investment and money manager due diligence services for broker-dealers and investment advisors. Prior to rejoining the private sector, Bill worked for the Financial Industry Regulatory Authority (“FINRA”) in a number of capacities,and was responsible for, amongst other things, strategy, rules and regulation development and implementation, investment adviser issues, and consulting and training services for global audiences. Before accepting employment at FINRA, Bill was involved with the private practice of law. Bill has an MBA from Thunderbird in Glendale, Arizona, and a JD and BA from Creighton University in Omaha, Nebraska. Bill also has a Certified Hedge Fund Professional designation (level 1). Experience Northern Lights Compliance Services, LLCSenior Compliance Officer Northern Lights Compliance Services, LLC September 2011 – Present (2 years 10 months)Greater Omaha Area On-boarded to provide expertise for alternative funds. Serves as Chief Compliance Officer to mutual fund series trusts, and closed end interval funds. Oversee all fund and trust compliance activities, including offshore advisers of US mutual funds. Review and evaluation of service provider compliance programs, including risk assessments. Drafting policies and procedures and risk assessments for clients. Provided consulting services to a captive broker-dealer with respect to its DPP program.

 Regulatory/Compliance Due Diligence Professional Mick & Associates August 2009 – September 2011 (2 years 2 months) Rendered reviews on Reg. D and registered offerings comprised of managed futures, commodity pool, venture capital, and hedge fund offerings, as well as business development corporations, registered investment companies and private equity. Provided due diligence review of investment advisers. Financial Industry Regulatory AuthorityAssistant Director Financial Industry Regulatory Authority January 2000 – August 2009 (9 years 8 months) Lead acquisition efforts for the department. Delivered expert counseling on capital market issues. Drafted domestic and international capital markets rules, regulations, and procedures. Training of staff, arbitrators, regulators, and trade groups. • Secured consulting assignment through the World Bank relating to the Romanian Capital Markets Authority. The first consulting agreement with an European union country. • Non-officer member of the original Task Force assembled to examine the role of the investment advisor and draft regulations for accountability. Staff Attorney/Senior Attorney NASD January 1991 – January 2000 (9 years 1 month) Educated and mentored staff, arbitrators, regulators, and trade groups. Served as faculty for continuing education programs. Managed regional staff. Furnished and maintained litigation management of arbitrations and mediations. AttorneyEditClick to add a video, image, document, presentation...Select from a list of options Kimme & Lamke January 1989 – July 1991 (2 years 7 months) Represented corporate clients in securities, corporate formation, and books and records matters.

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