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Fintech • HR Tech
Manage and execute the RIA and BD compliance program: registration and filings, surveillance, testing, advertising review, training, electronic communications monitoring, vendor due diligence, AI governance, exam readiness, and day-to-day program operations supporting SEC and FINRA requirements.
Fintech • HR Tech
Lead a Tier 2 Money Advanced Care team (10–12) to resolve complex banking, disputes, and money-movement escalations. Coach team members, drive continuous improvement, use data and AI/automation to improve workflows, partner cross-functionally, and deliver timely, compliant, customer-centered outcomes.
Fintech • HR Tech
Manage end-to-end onboarding for Gusto 401(k) plans (new setups and conversions). Serve as primary contact for sponsors/admins, drive tasks to activation and first contribution, coordinate cross-functionally, ensure data accuracy and compliance, monitor performance metrics, and use AI tools to improve workflows.














