Jennifer Lin, CAMS
Partner, Compliance Group Leader
Jennifer Lin is a Partner at DLA, LLC and heads the firm’s Compliance practice. She has over 15 years of compliance experience in the securities industry, and is an expert servicing broker-dealers and investment advisers. Jennifer’s broad securities compliance experience provides extensive expertise in securities regulation and the execution, analysis, testing and evaluation of the supervisory and internal controls of a compliance program.
Jennifer co-developed a global institutional compliance inspection program and conducted over 200 reviews including independent AML audits across business areas within subsidiaries focusing on broker-dealers, investment advisers and affiliated banking units. Her expertise covers sales and trading compliance for institutional equities, research, futures, commodities and investment advisory.
Jennifer has developed and implemented several compliance programs for various entities with a focus on SEC registered investment advisers and FINRA broker-dealers. She has orchestrated the implementation of the front office OMS trading system, developed synergies amongst global affiliates, and actively participated in global compliance initiatives. She has experience providing daily sales and trading compliance support, assessing and advising on new business initiatives and products, and liaising between the front office and other control functions. Download Jennifer’s biography.
Prior Work Experience
- Deutsche Bank
- Macquarie Group
Education, Certifications & Affiliations
- State University of New York, at Stony Brook – B.S. in Economics
- Certified Anti-Money Laundering Specialist (CAMS)
- Member of the Association of Certified Anti-Money Laundering Specialists (ACAMS)