Kate Ward

Kate Ward is the Chief People & Compliance Officer at RedCAT Systems, based in Franklin, Tennessee, United States.1 She has been in this role since August 2023, bringing her extensive experience in both financial services and technological innovation to the position.1

Career at RedCAT Systems

Kate has been with RedCAT Systems since May 2018, where she initially joined as a Compliance Officer.1 Her responsibilities in this role included:

• Creating, updating, and maintaining policies and procedures
• Facilitating annual SOC 2 Type II audits
• Completing and documenting risk assessments
• Overseeing employee compliance with security requirements
• Implementing mobile device management software
• Maintaining nexus in multiple states1

In addition to her compliance role, Kate has also served as a Team Lead since June 2020, where she:

• Leads team meetings
• Facilitates team building sessions
• Assists with onboarding and offboarding
• Plans company offsites
• Handles other HR-related duties1

Kate has also worked as a Solutions Consultant at RedCAT Systems since August 2018, collaborating with clients to define software needs and working with software engineers to bring solutions to life.1

Previous Experience

Before joining RedCAT Systems, Kate worked as an Assistant Compliance Officer at Rocky Mountain Advisers, LLC in Boulder, CO, from September 2012 to May 2018.1 In this role, she gained valuable experience in various aspects of compliance, including:

• Drafting quarterly adviser compliance reports
• Leading annual compliance program reviews
• Conducting compliance testing
• Administering adviser policies and procedures
• Overseeing maintenance of adviser books and records
• Evaluating risk areas and monitoring risk management1

Personal Approach

Kate describes herself as passionate about working with people and making their lives better.1 She focuses on establishing and building team culture to ensure employee success, often by streamlining processes to create an efficient and productive work environment.1 Kate enjoys celebrating her team's wins, both big and small, demonstrating her commitment to fostering a positive workplace culture.1