I’m a Compliance Officer and former FINRA regulator. Here are a few tips.
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I am going to use analogies in this write up to hopefully avoid miscommunication. The big take away is this: hire/use a compliance architect as early as possible. You only need them for your initial blueprint stage, but without one you will fail. Let me explain. When people say “FinTechs fail because of compliance” this is the failure. Compliance is only a “bottleneck" if you don’t plan that part first . Imagine you are building an airplane ... Compliance is not emergency exits & oxygen
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