Linda Yoon - Compliance Specialist (BD & RIA)

Linda Yoon has had over a decade’s experience as a compliance professional in a variety of industries, including immigration law and healthcare. She is highly experienced in interpreting and synthesizing regulations as well as communicating with regulators on behalf of clients. She is also experienced in quality assurance auditing, compliance plan drafting, and complex license applications. Linda joined National Compliance Consultants, Inc. (“NCCI”) in January 2019 and focuses on assisting our broker-dealer and investment advisory clients with the creation and maintenance of firm policies and procedures, firm element training and annual compliance meeting materials, business continuity plans, off-site reviews of firms’ AML programs, preparation and amendment of regulatory filings (e.g., Form BD, Form ADV, U4, U5, BR, etc.) and preparation of financial filings. Linda also prepares applications for new SEC and State Registered Investment Advisers.

 Linda received her J.D. from Southwestern University School of Law and B.A. in English Literature from the University of California, Los Angeles (UCLA). She is an avid Bruins fan and enjoys reading in a variety of genres, writing, traveling, cold weather, a good cup of coffee or tea, constantly learning new subjects (she even took a course in the History of Dinosaurs) and discovering new dining gems wherever she goes.