Fintech · Wealth & Investing · 200–1000 · North America #b007_10

Context

We provide embedded investing infrastructure that lets apps and financial institutions offer equity trading to their customers across many countries.

Industry

Fintech · Wealth & Investing

Size

200–1000 employees

Region

North America

Tools budget

$5K–20K per month

Needs

Regulatory reporting. We build regulatory data products in-house and want sturdier tooling for producing accurate regulatory reports.

Today: compliance staff produce filings across several jurisdictions from regtech data products built by internal engineers · Urgency: this year

Data governance & catalog. Regulatory data flows through many systems, and we need lineage and ownership clearly documented for examiners.

Today: regtech team builds governed data products for compliance using a lakehouse catalog and declarative pipelines · Urgency: this year

Continuous compliance monitoring. We operate under several regulators and want continuous monitoring of our controls across jurisdictions.

Today: new local compliance officers hired per market to watch rule changes by hand · Urgency: now

Who decides

head of compliance · security review

Expects from suppliers

Handles multi-jurisdiction regulatory requirements; Strong data lineage features; Works with in-house data engineering

Not a fit

Single-country compliance tools; Black-box reporting we cannot audit

Stack

data warehouse: cloud, cloud: AWS-class hyperscaler, compliance tooling in place

Buying triggers

regulatory change, new market or product launch