Niki Dillman Email & Phone Number

I entered the investment advisory industry over 10 years ago. My professional journey has recently transitioned my focus to the RIA fintech space to transform the industry’s approach to compliance through innovative solutions. My prior 3 years as a CCO for an RIA helped shape my skillset, leading me to help startups navigate complex regulatory landscapes.One of the aspects of my role that excite me is getting to collaborate with other teams. I particularly enjoy working cross-functionally on product launches and in creating unique compliance testing methodologies specific to this environment, helping to bridge the gap between technology and regulation.What excites me the most about my role? It’s the opportunity to use my risk-based mindset to help ensure regulatory compliance while focusing on business success.My passion lies in fostering collaboration and designing processes that align with each nuanced situation (every business has them, especially in fintech) and regulatory rules. I believe in the power of asking the right questions and truly understanding the situation in order to assess the underlying challenges. One must be capable of getting “in the weeds” to be able to provide the best support. This has allowed me to find effective solutions and foster meaningful collaboration.My time working in this industry has taught me that agility and creativity can pave the way for compliant innovation.

Listed skills include Marketing, Digital Marketing, Social Media Marketing, Digital Media, and 24 others.

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  University Of Kentucky

  Accounting