FINRA’s Digital Experience Transformation (DXT)
Kaia McIntyre
Kaia McIntyre: Digital Experience Engineer
Partnered with FINRA for their Digital Experience Transformation (DXT), a multi-year effort to integrate and simplify brokerage firms’ digital interactions with FINRA, facilitating more efficient and effective compliance programs. Served as a subject matter expert and thought leader in transitioning to FINRA Gateway, a next-generation compliance management platform.
Led the development of a modular micro-app that streamlined support systems, improving scalability and maintainability within the FINRA Gateway ecosystem.
Collaborated with cross-functional teams to deliver user-centric solutions, enhancing compliance task management and reducing industry operational burdens.
Played a key role in implementing frontend components that improved user experience, accessibility, and performance optimization.
Mentored junior engineers, sharing best practices and fostering a culture of continuous learning and high-quality code delivery.
Helped FINRA modernize legacy systems, integrating customizable reporting tools and streamlining complex regulatory processes for thousands of financial firms.
This experience strengthened my ability to drive impactful, user-friendly solutions in high-stakes, rapidly evolving environments.
Simplified Compliance
Before the Digital Experience Transformation, there was no unified solution for compliance.
May 14, 2019 Press Release
FINRA announced today that it is launching an initiative to transform the digital platform that firms use to engage with FINRA across several programs. The Digital Experience Transformation, as it is being called, is a wide-ranging, multi-year effort to integrate and simplify brokerage firms’ digital interactions with FINRA, facilitating more efficient and effective compliance programs. The initiative is the latest outgrowth of the ongoing FINRA360 organizational improvement initiative.
“We believe that there is significant opportunity to further enhance compliance and reduce costs by transforming firms’ digital experience when interacting with FINRA, whether that involves sending and receiving data and reports, managing compliance tasks and notifications, or accessing regulatory guidance,” said President and CEO Robert W. Cook.
The project has incorporated feedback from the industry through a series of focus groups with firms, as well as a survey of more than 50 firms, which provided insights into how the industry interacts with FINRA for compliance information and management, and how the processes can be improved.
The transformation, to be implemented in stages through 2022, is focused on six areas:
Efficiency – Centralized task management designed to help compliance professionals do their work faster and at lower cost;
Proactive Compliance – Actionable notifications for early warning of issues;
Simplified Experience – Customized and personalized user experience tailored to the role of the user;
Enhanced Interaction – Centralized workspace to facilitate interaction with FINRA staff;
Flexibility and Automation – Easier machine-to-machine integration with firm systems, plus enhanced access to FINRA compliance data;
Self Service – Access to online knowledge base and contextual support.
“This is a user-guided initiative, which helps ensure that the technology will enhance compliance reporting and management, not get in the way,” said Steve Randich, Executive VP and Chief Information Officer. “From the start we have invited users to help us design the future, and incorporated their feedback into our thinking and designs. We will be accelerating that process in the coming weeks and months.”
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