scott williams

Fintech Compliance Adviser

San Francisco, CA

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About

I am a financial services professional with over 20 years of experience including most recently 10 years in the start-up FinTech sector. Worked with the top banking and brokerage institutions including Morgan Stanley, Citicorp, US Bancorp and Banc of America. Recent experience in legal/compliance wearing a variety of hats including compliance, AML, KYC, state licensing, regulatory reporting and consumer/mortgage exam management. Experience includes working with consumer lending, broker dealers, money services business, investment advisers and asset management. Worked successfully with and supported all business teams enterprise wide. Excited about an opportunity to utilize my skills and experience to help companies compete and thrive in the competitive FinTech space. I work well with all business partners and have always been respected and well liked.

Ask me about
Fintech Compliance - Lending & Securities
Work experience
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Apr 2019 - May 2020

Figure

Regulatory Director

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Apr 2012 - Apr 2019

SoFi

Chief Compliance Officer

Jun 2008 - Apr 2012

College Rocket

Chief Compliance Officer

Chief Compliance Officer for online college savings plan broker dealer. Responsible for all aspects including onboarding, KYC, AML, State and Federal Regulatory Reporting, Trade Monitoring and Reconciliation, Financial Reporting, Portfolio Management.

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