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Kevin Huynh
Experienced BSA/AML Risk Officer and Compliance Professional
Professional Background
Kevin Huynh is an accomplished financial professional with extensive experience in compliance, risk management, and financial advisory operations. Currently serving as the Senior Investigator in the Financial Crimes Compliance division at LPL Financial, Kevin utilizes his wealth of knowledge and various FINRA registrations to ensure adherence to industry regulations and compliance standards. His expertise encompasses a broad range of financial services, making him a vital resource for financial advisors as they navigate the complexities of compliance and regulatory requirements.
In his current role, Kevin is primarily responsible for keeping up-to-date with both company and industry regulations regarding the activities of financial institutions. He plays a critical role in ensuring that financial advisors meet the rigorous standards set by regulatory agencies, thus contributing to the integrity and trustworthiness of the financial advisory industry. Prior to this role, Kevin held several significant positions within LPL Financial, showcasing his upward trajectory in the organization.
Previously, Kevin served as the Manager of Compliance, Legal & Risk at LPL Financial, demonstrating his capability to lead teams and manage critical compliance functions. Additionally, he made significant contributions as a Senior Analyst in both Surveillance and Advisor Review departments, focusing on Governance, Risk, and Compliance (GRC). His career also includes experiences at AG Edwards & Sons and Washington Mutual Bank, where he honed his skills in investment operations and personal financial representation.
Education and Achievements
Kevin Huynh obtained his Bachelor's degree in Finance with an impressive GPA of 3.50 from San Diego State University, a reputable institution known for its dedication to providing quality education in business and finance. This academic foundation provided Kevin with the essential knowledge and analytical skills required to excel in the competitive financial services industry.
In addition to his degree, Kevin holds multiple prestigious FINRA registrations through LPL Financial, including the Series 7, General Securities Representative; Series 66, Uniform Combined State Law; Series 24, General Securities Principal; Series 4, Registered Options and Securities Futures Principal; and Series 53, Municipal Securities Principal. These certifications reflect his comprehensive understanding of the financial landscape and his commitment to maintaining professional standards and ethical practice in his work.
Kevin also possesses a CA Insurance License (#0I66406), allowing him to operate as a Life, Accident, and Health Agent. Furthermore, he has achieved Yellow Belt Certification, further emphasizing his commitment to continuous improvement and professional development.
Achievements
Throughout his career at LPL Financial and previous employers, Kevin has distinguished himself through his dedication to regulatory compliance and risk management. His ability to analyze complex financial data and his reliability as a resource for compliance issues demonstrate his excellent problem-solving skills and understanding of financial laws and regulations. Kevin’s keen insights and thorough investigations have significantly contributed to minimizing financial crimes and ensuring that LPL Financial remains in good standing with regulatory agencies.
As a leader in his field, Kevin cultivates strong working relationships with financial advisors, guiding them through the intricacies of compliance and helping them understand the importance of adhering to the established guidelines. His educational background paired with his industry experience positions him as a respected figure in the financial community, empowering others while upholding the highest standards of professional integrity.
In summary, Kevin Huynh exemplifies the qualities of a committed financial compliance professional. His dedication to regulation, risk management, and continued personal education makes him an invaluable asset to LPL Financial and the broader financial services industry.
