Anthony Link Email & Phone Number

Innovation & StrategyDevelop innovation practices and methodologies within the Clearing organization. Create and promote innovation strategy, provide guidance to leadership and influence practices to effect culture of open innovation. Introduce tools and processes that encourage creative thinking. Align and collaborate with Agile teams and Product Owners to apply innovation across value streams. o Identifying cross line-of-business opportunities to improve client experience and opportunities for scale and efficiency.o Influence leadership in creating vision to affect both client experience and scale.o Incorporated Design Thinking and Lean Canvas methodology use.VP Operations, Program Management, & RegulationBrokerage Operations Leadership TeamBusiness and Vender Owner for ScottradePRO. ScottradePRO is an introducing broker dealer relationship with Interactive Brokers LLC for the firm’s active traders/options trading clientele. Lead strategic initiatives related to active option trading clientele and growth of business.o Decommissioned introducing relationship with Apex Clearing and OptionsHouse, and formalized the relationship with Interactive Brokers, LLC, clearing firm conversion, and integration into Scottrade. o Increased revenue margins and decreased cost of introducing relationship by more than $600K per month.Brokerage Operations Efficiency Responsible for Brokerage Operations Efficiencies team which serves the enterprise through the creation and maintenance of automations, macros and reporting. o Automations save the company an estimated 250 thousand man hours per year.Active participant, thinking partner, problem solver and leader to various projects and groups across the enterprise. Including a Broadridge back office conversion, WORM solutions, client education, Business Intelligence Data Warehouse Governance, Commissions and Fees Group, and non-purpose lending.

QuantRiver Financial provides direct access, black box and algorithmic trading of global markets to an institutional and international clientele. Managed strategic initiatives, and oversaw compliance and operations of the broker/dealer. Responsible for financial oversight and daily operations, including trading, risk, settlements, client services, and company financials. As Chief Compliance Officer, responsible for the firm’s compliance program, including account surveillance, trading, options (ROP), AML, regulatory compliance, and interactions with regulators. o Developed and maintained operational systems to manage trading, risk, settlements and customer support. o Maximized foreign institutional business development efforts through streamlined onboarding systems.o Wrote and maintained the firm’s Written Supervisory Procedures and Written Supervisory Control Procedures and Operational Procedures.o Implemented and maintained AML Policy and Procedures.o Completed FINRA audits cleanly⎯no disciplinary sanctions or actions.

Provider of business expertise and compliance services to broker/dealers and investment advisory firms. Focus on business management, technical solutions, operations and compliance systems.Business and Compliance Expert Provided business guidance for build out of broker/dealers including online and software based platforms with a focus on trading, risk management, client management. Counsel and provide guidance to partnership efforts. Work with technology teams to identify improvements and prioritize projects for system enhancements. Create and implement solutions for broker/dealers including submissions of FINRA new membership applications, regulatory guidance, design of compliance systems, writing of operational procedures, and build out of brokerage operations/systems. Deliver compliance services to broker/dealers and investment advisors.o Successfully obtained 2 FINRA Membership Agreementso Guided build out of 2 securities broker dealerso Conducted multiple compliance audits and annual AML reviews for vendors

Provider of wealth management and investment services to high net worth clients.COO & Director of Client ServicesBuilt investment services and client services platforms, including portfolio rebalancing, reporting, billing, and client communications. Chair Investment Committee and ensure compliance with SEC, forms ADV Part I & II, Anti-Money Laundering, and Business Continuity Plan. o Increased new client revenue 300% by transitioning firm from a non-discretionary to a discretionary advisor. o Established firm’s investment philosophy and product platform for equities and fixed income securities⎯ differentiating company services in the marketplace.o Created The Capital Investment ApproachTM⎯a unique process for client acquisition and ongoing service⎯that effectively differentiated company services from competitors. o Developed record-keeping and compliance systems, including an update of firm’s compliance manual and business continuity plan to better prepare for future audits.

OM Securities, LLC. dba tradeMONSTER an optionMONSTER company. (now E*Trade)Start-up broker/dealer specializing in options trading and offering a unique, web-based trading system. Chief Compliance OfficerOversaw compliance with FINRA, SEC, the Anti-Money Laundering program, and the U.S. Patriot Act Rules. Co-chaired Credit & Risk Committee, and served as firm’s designated Compliance Registered Options Principal (CROP). Created procedures and policies to guide business standards. Maintained CRD system for regulatory reporting and managed internal and external compliance audits and accounting relationships.Key member of executive management team that successfully launched firm:o Created and maintained Written Supervisory Procedures and Written Supervisory Control Procedures as mandated by FINRA.o Guided team in regulatory and compliance requirements⎯enabling the creation of a brokerage system that included services that met regulatory and business guidelines.o Obtained FINRA membership and state registrations ahead of scheduled targets.

Provider of unique Alternative Trading System (ATS) market center for individuals trading securities directly with one another, and other traditional and cash-based trading solutions. 24/7 operations.Chief Operating Officer & Chief Compliance OfficerLed daily operations and staff across finance, technology, compliance, and product development functions. Guided technology team regarding system specifications, user interface, ATS (trading) operative rules, and back office/system design, solutions and enhancements. Managed marketing and advertising, including online, TV, newsletter, PR, e-mail campaigns, promotions, and partnerships. Ensured compliance with FINRA, SEC, Anti-Money Laundering, and U.S. Patriot Act Rules. Administered annual budget, and was a Member of the board of directors for ex24, Inc., and parent, bidnask.com, Inc.o Developed and operated self-clearing broker/dealer with unique ATS featuring 24/7 trading and instantaneous settlements without a trade failure or glitch. • Obtained highest-level SEC clearances for precedent-setting ATS service⎯without No Action Letters. This avoided duplication of company services by competitors.• Gained NASD Membership and 2 Membership continuances expanding scope of business.• Secured rigorous Depository Trust & Clearing Corp. (DTCC) and National Securities Clearing Corp. memberships. • Built a paperless operations environment with staff estimated at 20% of traditional firms. • Completed FINRA audits cleanly⎯no disciplinary sanctions or actions. • Led creation of integrated marketing campaign that gained new broker/dealer clients at less than $300 per account, including design and content of new website.

Toronto, Ontario, Ca

VP & Regional Manager, San Francisco, CAVP & Assistant Regional Manager, San Francisco, CAVP & Branch Manager, Michigan Ave. Branch, Chicago, ILVP & Branch Manager, St. Louis, MOAssistant Branch Manager, Northbrook, ILBroker, LaSalle St. Branch, Chicago, IL.Fast-track promotions through progressively broader roles as a result of strong leadership skills, the ability to start up and turnaround branch sales offices, and a consistent record of client and sales successes.As VP & Regional Manager, generated brand awareness and growth of $19B regional portfolio spanning 26 branches and 315 employees across business development, client services, sales, and operations functions. Special emphasis on business planning and execution, and risk management. Collaborated with peers and executive staff to set goals, expectations and initiatives for unified, consistent national branch network. o Exceeded regional sales goals for net new assets and new accounts each quarter⎯consistently surpassing all other regions.o Achieved significant gains in new accounts, net new assets and breadth of client relationships by playing key role in the development and implementation of a pilot sales program that resulted in the conversion of branch operations into proactive sales centers for 160 retail branches. o Revitalized Western branch system suffering from low morale, poor communications, a recent acquisition, and related apprehension about converting from operations/service to sales centers.• Successfully integrated the Kennedy Cabot & Co. branches and instilled company standards region wide.• Converted branch operations to sales centers and built cohesive team of branch managers. o Opened numerous branch offices⎯meeting corporate initiatives for brand awareness, branch network expansion, demographic guidelines, cost parameters, and community partnership goals.

Education record

Education record

Scottrade Leadership Development Program