As a Senior Compliance Officer, Cindy is responsible for enhancing Raistone’s compliance program including policy management, advising on compliance risks, and enhancing processes that monitor activities to ensure that the firm is meeting its compliance obligations.
Cindy began her career working as an attorney after graduating from St. Mary’s University School of Law. “I practiced law in several different areas, but my goal was to transition to a compliance position in the financial services industry,” she says. In addition to her Juris Doctor, she is also a Certified Regulatory Compliance Manager and Certified Trust and Fiduciary Advisor.
Looking to transition into working at a fintech after being at a large bank for 7 years, she joined the Raistone team in March 2023. “Being part of an organization that finds creative solutions for businesses, moves at a fast pace and is able to be nimble in its decision making has been a positive experience. I also appreciate how helpful and knowledgeable everyone at Raistone is. Whenever I have a question or want to learn more about an aspect of the business, someone is always willing to share their knowledge and experience,” she shares.
One of the things that Cindy enjoys most about her role is the opportunity to evolve Raistone’s compliance program as regulatory expectations continue to increase. “Whenever a law or regulation is published, I analyze it, determine what the impact to Raistone is, what the firm needs to do to be compliant, and work with various Raistone colleagues to ensure implementation,” she says.
As a Mexican woman in the legal and financial service industries, Cindy emphasizes the importance of seeking out role models and mentors with similar backgrounds, and says that she has always tried to be that person for other women in the industry or looking to enter the industry.
“I was shocked to recently learn that out of all the attorneys in the United States, approximately 2% are Hispanic women. That makes it challenging to navigate your career in a field that is not always friendly towards women,” she shares.
She also expresses that women shouldn’t hesitate to reach out to other women in roles they aspire to be in, to ask for advice, and build professional relationships.
“With it now being Hispanic Heritage Month, I think it’s important that not only individuals, but businesses as well celebrate and recognize the contributions and influence that the Hispanic and Latino population have throughout the United States. The culture in the U.S. is intertwined with Hispanic heritage,” Cindy says. “The Hispanic and Latino population is growing rapidly, and many are business owners themselves. Recognizing this community and its influence throughout the country is imperative for business.”
Outside of work, Cindy enjoys spending time with her husband and three children. Her oldest daughter dances in a local non-profit Ballet Folklórico group and most of their free time is spent traveling to and watching her folklórico performances.
