David E. Link Email & Phone Number

I am a financial services & insurance industry compliance leader and a FINRA arbitrator who leverages a depth and breadth of experience to minimize risk to our clients while protecting brand reputation and ensuring a positive customer experience. My expertise revolves around managing compliance programs that meet SEC and FINRA regulations while simultaneously minimizing regulatory risk exposure and protecting our financial interests. My ability to build relationships with the Supervisors that I support, drives our compliance performance improvements in the field. I work hard to coach, train and provide the tools our partners need to succeed to monitor the compliance of their producers. I draw on my extensive industry experience and judgment to find creative solutions and make recommendations in the context of the company’s business. My work experience also extends to consumer complaint investigations where I support our Customer Relations team by working directly with producers, support personnel and clients during an investigation. I conduct thorough product documentation reviews and ensure all communications meet applicable standards. I create summary reports to present my findings and make recommendations for corrective actions.Additionally, I have also collaborated with my colleagues in support of the Anti-Money Laundering division, where I provide enhanced due diligence by reviewing transfer activities and facilitate transactions of accounts between broker-dealers.Areas of expertise:- FINRA & SEC Compliance Management- Risk Assessment & Mitigation- Interpersonal Skills- Relationship Building- Leadership & Coaching- Supervision- Data Analysis - Business Consulting- Investigations- Internal Compliance Audits/Reviews - FINRA Series 7, 63, 24 & 8 Licenses- Experienced FINRA Arbitrator- Anti-Money Laundering ReviewsI am always seeking opportunities to learn and grow professionally and share my experience with those who may find it useful. If you work in financial services, a related industry, or have similar interests, please connect with me on LinkedIn. I would be happy to add you to my expanding professional network.