Empowering a Fintech Innovator

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A fast-growing fintech company set out to modernize its operations and meet strict global regulations. But as customer demand surged, the cracks in its legacy systems became impossible to ignore: poor data quality, scattered compliance processes, and disengaged users left the business exposed to regulatory risk and operational inefficiency.

• Poor sales data quality – Inconsistent, incomplete, and duplicate records led to forecasting errors and weak customer insights.
• No unified data standards – Legacy systems lacked clear definitions (e.g., what qualifies as a “high-risk customer”).
• Weak user engagement – Business teams felt sidelined, limiting adoption of new platforms.
• Regulatory compliance pressure – Required to comply with KYC, AML, OFA screening, PCI DSS, GDPR/CCPA, SOX.

Additionally, Operational Resilience was under scrutiny via frameworks like the EU’s DORA (Digital Operational Resilience Act), which focuses on ICT risk, third-party dependencies, and incident management.

1. Stakeholder Re-engagement

• Ran cross-functional workshops across compliance, risk, finance, ops, sales, and IT.
• Formed a Fintech Transformation Council with compliance leads and user advocates.

2. Centralized Documentation & Standards

• Built a living compliance portal in ServiceNow with glossaries, end-to-end flows, audit logs, and domain data ownership.
• Captured SME knowledge through walkthroughs of legacy processes.

3. Integration, Governance & Compliance

• Retired brittle flows, deployed SAP Integration Suite to connect Salesforce ↔ SAP.
• Used AWS Lambda for pre-ingestion compliance checks (AML, OFAC).
• ServiceNow tracked exceptions, rejections, and corrective actions.
• Real-time monitoring pipelines flagged suspicious activity automatically.
• Enforced strict validation rules before Salesforce/SAP ingestion.

4. Secure & Resilient Cloud on AWS

• Encryption, IAM, automated backups, and global privacy controls.
• DORA-style resilience: incident orchestration, monitoring, and vendor risk assessments.

5. Training & Adoption

• Microlearning in Salesforce Trailhead & ServiceNow (“KYC in Salesforce,” “Handling OFAC Alerts”).
• Dashboards tracked onboarding success, data quality, and audit findings.
• Leadership KPIs tied to compliance adoption.