Ling C. in

Ling C.

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Senior Associate at BNY
📍 New York, New York, United States

A financial regulatory professional with over ten years of experience at top-tier firms including BNY, JPMorgan Chase, and FINRA. Ling holds a Bachelor of Business Administration from Pace University and specializes in ensuring compliance with complex FINRA and SEC regulations, financial statement analysis, and advising management on regulatory requirements.

Outside of core financial roles, Ling is dedicated to staying current on market trends and business strategies by following publications like The Wall Street Journal and Harvard Business Review. This interest reflects a commitment to continuous learning and a broad understanding of the business landscape.

Interestingly, Ling has served as a Supervisor for the Bar of Law Examiners, ensuring protocol and integrity during law exams.

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Experience
19 Years
Current Role
Senior Associate
Location
New York, New York, United States
Personality Overview

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Communication Style
Decision Approach
Work Preference

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Priorities

Topics Ling cares about

Regulatory Compliance
Has extensive experience ensuring firms like BNY and JPMorgan Chase comply with FINRA and SEC rules, including Margin 4210, 15c3-1, and 15c3-3.
Financial Crime Prevention
Performed Anti-Money Laundering (AML) analysis at JPMorgan Chase, reviewing system-generated alerts to identify potential illicit activities.
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Career

Work history

9-2025
Senior Associate
BNY
7-2014
Supervisor
Bar of Law Examiners
11-2013 - 2-2014
Compliance Consultant
JPMorgan Chase & Co.
5-2011 - 2-2012
Financial Operations Examiner
FINRA (Financial Industry Regulatory Authority)
7-2010 - 1-2011
Financial Regulatory Consultant
Royal Bank of Scotland Business
In the press

Media appearances

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Education
Bachelor of Business Administration - BBA
Pace University
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

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