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Lisa Kustron

Investor

Managing Director, Deputy CCO, Compliance at CIM Group

Los Angeles, California, United States

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About

Managing Director on the Compliance team, Deputy CCO of CIM's Advisers, and CCO of the CIM Real Assets & Credit Fund. She previously served at Oaktree, Morningstar, and FINRA.

Experience

  1. CIM GroupManaging Director, Deputy Chief Compliance Officercurrent2025 — present
  2. CIM GroupFirst Vice President, Deputy Chief Compliance Officer2017 — 2025Los Angeles, California
  3. Oaktree Capital Management, L.P.Vice President, Compliance2015 — 2017Los Angeles
  4. MorningstarChief Compliance Officer, EMEA and Asia Pacific2014 — 2015London and Hong Kong
  5. MorningstarSenior Compliance Officer and MLRO2012 — 2014London, United Kingdom
  6. MorningstarCompliance Officer2008 — 2012Greater Chicago Area
  7. Financial Industry Regulatory AuthoritySenior Examiner2007 — 2008Chicago
  8. NYSE EuronextNYSE Regulation - Examiner2006 — 2007Greater Chicago Area
  9. NYSE EuronextNYSE Arca - Senior Listing Analyst2004 — 2006Greater Chicago Area

Skills & more

Financial ServicesAsset ManagementPortfolio ManagementFixed IncomeFinancial MarketsEquitiesFinancial Analysis
  • Series 24 - General Securities Principal Examination — FINRA
  • Series 7 - General Securities Representative Examination — FINRA
  • SIE - Securities Industry Essentials Examination — FINRA
  • Series 27 - Financial and Operations Principal Examination — FINRA
  • Series 65 - Uniform Investment Adviser Law Examination — North American Securities Administrators Association

From Lisa's professional profile.

Colleagues at CIM Group

Albert Yang
Managing Director, Head of EMEA, Institutional Client Group at CIM Group
Andrew Beyeler
Managing Director, Client Engagement Group at CIM Group
Asa Yapa
Managing Director, Investments at CIM Group
Avi Shemesh
Co-Founder and Principal at CIM Group
Avraham Shemesh
Executive Officer at CIM Group
Bernie Ryan
Managing Director, Head of Financial Institutions Group at CIM Group
Bethany Chang
Executive Officer at CIM Group
Bradley Aaronson
Managing Director, Development at CIM Group

Frequently asked questions

Who is Lisa Kustron?
Managing Director on the Compliance team, Deputy CCO of CIM's Advisers, and CCO of the CIM Real Assets & Credit Fund. She previously served at Oaktree, Morningstar, and FINRA.
Where does Lisa Kustron work?
Lisa Kustron is Managing Director, Deputy CCO, Compliance at CIM Group.
Where did Lisa Kustron go to school?
Lisa Kustron studied at University of Newcastle, Newcastle, NSW, Australia (Finance); University of Northern Iowa (Bachelor of Arts (BA), Accounting and Finance).

Same school

Shared employers