Wesley Strickland

nnovative, detail-oriented compliance leader modernizing programs through training, technology, and risk-based design. I bring 15+ years of financial services experience across fintech and broker-dealer/RIA environments, with a focus on building lean, scalable compliance frameworks that stand up to regulatory scrutiny. My work centers on translating complex rules and enforcement trends into practical controls—surveillance/monitoring, testing, governance, third-party oversight, and clear escalation paths—while partnering closely with Legal, Product, Operations, and Engineering to enable growth.

I’m also committed to building strong compliance cultures through education, clear communication, and pragmatic guidance that helps teams make good decisions. Outside of work, I’ve supported community initiatives focused on inclusion and advocacy for underrepresented groups.

Disclaimer: Views are my own and do not represent any organization.